EN   EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, 17.11.2021  
COM(2021) 709 final  
ANNEXES 1 to 16  
 
ANNEXES  
to the  
Proposal of the European Parliament and the Council  
on shipments of waste and amending Regulations (EU) No 1257/2013 and (EU) No 
2020/1056      
 
{SEC(2021)  402 final}  - {SWD(2021)  330 final}  - {SWD(2021)  331 final}  -
 {SWD(2021)  332 final}    
EN 1  EN ANNEX IA  
Notificat ion document for transboundary m ovements /shipments  of waste   
1. Exporter - Notifier 
Registration N°:   3. Notification N°:   
Name:   Notification concerning   
Address:   A.(i) Individual shipment:   
 (ii) Multiple shipments:   
Contact person:   B.(i) Disposal (1):  
Tel:  Fax:  (ii) Recovery :   
Email:   C.  Pre-consented recovery facility (2;3)  Yes  No  
2. Importer - Consignee  
Registration N°:   4. Total intended number of shipments :  
Name:   5. Total intended quantity (Tonnes (Mg) /litres ) (4):  
Address:   6. Intended period of time for shipment(s) (4): 
 First departure:   Last departure:   
Contact person:   7. Packaging type(s) (5):  
Tel:  Fax:  Special handling requirements (6): Yes:  No:  
Email:   11. Disposal / recovery operation(s) (2)  
8. Intended carrier(s)  Registration N°:   D code / R code (5) :  
Name (7):  Technology employed (6):  
Address:    
  
Contact person:   Reason for export (1;6):   
Tel:  Fax:   
Email:   12. Designation and composition of the waste  (6): 
Means of transport  (5):   
9. Waste generator(s) -producer(s)  (1;7;8)  Registration 
N°:   
Name:    
Address:    
 13. Physical characteristics  (5):  
Contact person:    
Tel:  Fax:  14. Waste identification (fill in relevant codes)  
Email:   (i) Basel Annex VIII (or IX if applicable):   
Site & process of generation (6)  (ii) OECD code (if different from (i)):   
 (iii) EU  list of wastes:   
10. Disposal facility (2):  or Recovery facility (2):  (iv) National code in country of export:   
Registration N°:   (v) National code in country of import:   
Name:   (vi) Other (specify):   
Address:   (vii) Y -code:   
 (viii) H -code (5):  
Contact person:   (ix) UN class (5):  
Tel:  Fax:  (x) UN  Number:   
Email:   (xi) UN Shipping name:   
Actual site of disposal/recovery:   (xii) Customs code(s) (HS):   
15. (a) Countries/states concerned , (b) code N° of competent authorities where applicable, (c) specific points of exit or entry (border crossing or port)  
State of Export  State(s) of Transit (entry and exit)  State of Import  
(a)        
(b)        
(c)        
16.Customs offices of entry and/or exit and/or export: (European 
Union):  Entry:   Exit:   Export:   
17. Exporter’s - Notifier's / Generator’s  - producer’s (1) declaration:  
I certify that the information is complete and correct to my best knowledge. I also certify that legally -enforceable written contractual obligations have been  
entered into and that any applicable insurance or other financial guarantee is or shall be in force covering the tr ansboundary movement.  18. Number of  
Name:   Signature:   annexes attached  
   
Date:    
FOR USE BY COMPETENT AUTHORITIES  
19. Acknowledgement from the relevant competent  
authority of countries of import - destination/ transit (1) / export - dispatch (9): 20. Written consent (1;8) to the movement provided by the  
competent authority of  (country):   
Country:   Consent given on:   
Notification received on:   Consent valid from:   until:   
Acknowledgement sent on:   Specific conditions:  No:  If Yes, see block 21 (6): 
Name of competent authority:   Name of competent authority:   
Stamp and/or signature:   Stamp and/or signature:   
  
21. SPECIFIC CONDITIONS ON CONSENTING TO THE MOVEMENT OR REASONS FOR OBJECTING  
 
(1) Required by the Basel Convention  
(2) In case of R12/R13 or D13 -D15 operation, also attach corresponding information  
on the subsequent R1 -R11 or D1 -D12 facilit(y)ies when required.  
(3) To be completed for movements within the OECD area and only if B(ii) applies.  
(4) Attach detailed list i f multiple shipments  (5) See list of abbreviations and codes on the next page  
(6) Attach details if necessary  
(7) Attach list if more than one  
(8) If required by national legislation  
(9) If applicable under the OECD Decision   
EN 2  EN List of Abbreviations and Codes Used in the Notification Document  
DISPOSAL OPERATIONS (Block 11)  
D1 Deposit into or onto land, (e.g., landfill, etc.)  
D2 Land treatment, (e.g., biodegradation of liquid or sludgy discards in soils, etc.)  
D3 Deep injection, (e.g., injection of pumpable discards into wells, salt domes or naturally occurring repositories, etc.)  
D4 Surface impoundment, (e.g., placement of liquid or sludge discards into pits, ponds or lagoons, etc.)  
D5 Specially  engineered landfill, (e.g., placement into lined discrete cells which are capped and isolated from one another and the enviro nment, etc.)  
D6 Release into a water body except seas/oceans  
D7 Release into seas/oceans including sea -bed insertion  
D8 Biological  treatment not specified elsewhere in this list which results in final compounds or mixtures which are discarded by means of a ny of the 
operations in this list  
D9 Physico - chemical treatment not specified elsewhere in this list which results in final compo unds or mixtures which are discarded by means of any 
of the operations in this list (e.g., evaporation, drying, calcination, etc.)  
D10 Incineration on land  
D11 Incineration at sea  
D12 Permanent storage, (e.g., emplacement of containers in a mine, etc.)  
D13 Blending or mixing prior to submission to any of the operations in this list  
D14 Repackaging prior to submission to any of the operations in this list  
D15 Storage pending any of the operations numbered in this list  
RECOVERY OPERATIONS (Block 11)  
R1 Use as a fuel (other than in direct incineration) or other means to generate energy (Basel/OECD) – Use principally as a fuel or other means to 
generate energy (EU)  
R2 Solvent reclamation/regeneration  
R3 Recycling/reclamation of organic substances which are not  used as solvents  
R4 Recycling/reclamation of metals and metal compounds  
R5 Recycling/reclamation of other inorganic materials  
R6 Regeneration of acids or bases  
R7 Recovery of components used for pollution abatement  
R8 Recovery of components from catalysts  
R9 Used oil re -refining or other reuses of previously used oil  
R10 Land treatment resulting in benefit to agriculture or ecological improvement  
R11 Uses of residual materials obtained from any of the operations numbered R1 -R10 
R12 Exchange of wastes for s ubmission to any of the operations numbered R1 -R11 
R13 Accumulation of material intended for any operation in this list.  
PACKAGING TYPES (Block 7)  
1. Drum  
2. Wooden barrel  
3. Jerrican  
4. Box 
5. Bag 
6. Composite packaging  
7. Pressure receptacle  
8. Bulk  
9. Other (specify)  H CODE AND UN CLASS (Block 14)  
UN H code  Characteristics  
Class  
1 H1 Explosive  
3 H3 Flammable liquids  
4.1 H4.1  Flammable solids  
4.2 H4.2  Substances or wastes liable to spontaneous combustion  
4.3 H4.3  Substances or wastes which, in contact with water, emit 
flammable gases  
5.1 H5.1  Oxidizing  
5.2 H5.2  Organic peroxides  
6.1 H6.1  Poisonous (acute)  
6.2 H6.2  Infectious substances  
8 H8 Corrosives  
9 H10 Liberation of toxic gases in contact with air or water  
9 H11 Toxic (delayed or chronic)  
9 H12 Ecotoxic  
9 H13 Capable, by any means, after disposal of yielding another 
material, e. g., leachate, which possesses any of the 
characteristics listed above  MEANS OF TRANSPORT (Block 8)  
R = Road  
T = Train/Rail  
S = Sea  
A = Air  
W = Inland Waterways  
PHYSICAL CHARACTERISTICS (Block 13)  
1. Powdery/powder  
2. Solid  
3. Viscous/paste  
4. Sludgy  
5. Liquid  
6. Gaseous  
7. Other (specify)  
Further information, in particular related to waste identification (block 14), i.e. on Basel Annexes VIII and IX codes,  OECD codes and Y codes, can be found in 
a Guidance/Instruction Manual available from OECD and the Secretariat of the Basel Convention 
EN 3  EN ANNEX IB  
Movement document for transboundary m ovements /shipments  of waste  
1. Corresponding to Notification N°:   2. Serial/total number of shipments:   /  
2a. Container identification number, if 
applicable   
3. Exporter  - Notifier  Registration N°:   4. Importer - Consignee  Registration N°:   
Name:   Name:   
Address:   Address:   
  
Contact person:   Contact person:   
Tel:  Fax:  Tel:  Fax:  
Email:   Email:   
5. Actual quantity : Tonnes (Mg):   m³:  6 Actual date of shipment:   
7. Packaging  Type(s) (1):  Number of packages:   
Special handling requirements: (2) Yes:  No:  
8.(a) 1st Carrier (3): 8.(b) 2nd Carrier:  8.(c) Last  Carrier:  
Registration N°:   Registration N°:   Registration N°:   
Name:   Name:   Name:   
Address:   Address:   Address:   
Tel:  Tel:  Tel:  
Fax:  Fax:  Fax:  
Email:   Email:   Email:   
- - - - - - - To be completed by carrier’s representativ e - - - - - - - More than 3 
carriers (2)   
Means of transport (1):  Means of transport (1):  Means of transport (1):  
Date of transfer:   Date of transfer:   Date of transfer:   
Signature:   Signature:   Signature:   
 
9. Waste generator(s) – producer(s) (4;5;6) : 12. Designation and composition of the waste  (2): 
Registration N°:    
Name:    
Address:    
Contact person:   13.Physical characteristics  (1):  
Tel:  Fax:   
Email:   14.Waste identification (fill in relevant codes)  
Site of generation (2):  (i) Basel Annex VIII (or IX if applicable):   
10. Disposal facility   or Recovery facility   (ii) OECD code (if different from (i)):   
Registration N°:   (iii) EU  list of wastes:   
Name:   (iv) National code in country of export:   
Address:   (v) National code in country of import:   
 (vi) Other (specify):   
Contact person:   (vii) Y -code:   
Tel:  Fax:  (viii) H -code (1):  
Email:   (ix) UN  class (1):  
Actual site of disposal/recovery (2)  (x) UN Number:   
11. Disposal/recovery operation(s)  (xi) UN Shipping name:   
D code / R code (1):  (xii) Customs code(s) (HS):   
15. Exporter’s - Notifier's / Generator’s – producer’s (4) declaration:  
I certify that the above information is complete and correct to my best knowledge. I also certify that legally -enforceable written contractual obligations have been entered into, that any applicable 
insurance or other financial guarantee is in force covering the transboundary movement and that all necessary consents have b een received from the competent authorities of the countries 
concerned.  
Name:   Signature:  
Date:   
16. For use by any person involved in the transboundary movement in case additional information is required  
 
17. Shipment received by importer – consignee (if not facility):  
Name:   Signature:  
Date:   
 
TO BE COMPLETED BY DISPOSAL / RECOVERY FACILITY  
18. Shipment received at disposal facility   or recovery facility   19. I certify that the disposal/recovery of the  
Date of reception:   Accepted:   Rejected*:   waste described above has been completed.  
Quantity received:  kg:  litre:   *immediately contact 
competent authorities   Quantity prepared for re -use or recycled : 
Approximate date of disposal/recovery:    Quantity recover ed in other manner : 
Disposal/Recovery operation (1):   Date:  
Date:   Name:  
Name:   Signature and stamp:  
Signature:   
EN 4  EN (1) See list of abbreviations and codes on the next page  
(2) Attach details if necessary  
(3) If more than 3 carriers, attach information as required in blocks 8 (a,b,c).  (4) Required by the Basel Convention  
(5) Attach list if more than one  
(6) If required by national legislation   
EN 5  EN  
FOR USE BY CUSTOMS OFFICES (if required by national legislation)  
20. COUNTRY OF EXPORT - DISPATCH OR CUSTOMS OFFICE OF EXIT  21.COUNTRY OF IMPORT - DESTINATION  OR CUSTOMS OFFICE OF ENTRY  
The waste described in this movement document has left the  The waste described in this movement document has entered  
Country on:   The country on:   
Signature:   Signature:   
Stamp:   
 Stamp:   
 
22. STAMPS OF CUSTOMS OFFICES OF TRANSIT COUNTRIES  
Name of country:  Name of country:  
Entry:  Exit:  Entry:  Exit::  
 
    
Name of country:  Name of country:  
Entry:  Exit::  Entry:  Exit::  
 
    
List of Abbreviations and Codes Used in the Movement Document  
DISPOSAL OPERATIONS (Block 11)  
D1 Deposit into or onto land, (e.g., landfill, etc.)  
D2 Land treatment (e.g. biodegradation of liquid or sludgy discards in soils, etc.)  
D3 Deep injection, (e.g., injection of pumpable discards into wells, salt domes or  
 naturally occurring repositories, etc.)  
D4 Surface impoundment, (e.g., placement of liquid or sludge discards into pits,  
 ponds or lagoons, etc.)  
D5 Specially engineered landfill, (e.g., placement into lined discrete cells which  
 are capped and isolated from one another and the environme nt) 
D6 Release into a water body except seas/oceans  
D7 Release into seas/oceans including sea -bed insertion  
D8 Biological treatment not specified elsewhere in this list which results  
 in final compounds or mixtures which are discarded by means of any of t he 
 operations in this list  
D9 Physico - chemical treatment not specified elsewhere in this list which results in  
 final compounds or mixtures which are discarded by means of any of the operations  
 in this list (e.g., evaporation, drying, calcination)  
D10 Incineration on land  
D11 Incineration at sea  
D12 Permanent storage, (e.g., emplacement of containers in a mine, etc.)  
D13 Blending or mixing prior to submission to any of the operations in this list  
D14 Repackaging prior to submission to any of the operatio ns in this list  
D15 Storage  pending any of the operations in this list  RECOVERY OPERATIONS (Block 11)  
R1 Use as a fu el (other than in direct incine ration) or 
other means to generate energy (Basel/OECD) – Use principally 
as a fuel or other means to generate  energy (EU)  
R2 Solvent reclamation/regeneration  
R3 Recycling/reclamation of organic substances which are 
not used as solvents  
R4 Recycling/reclamation of metals and metal compounds  
R5 Recycling/reclamation of other inorganic materials  
R6 Regeneration of a cids or bases  
R7 Recovery of components used for pollution abatement  
R8 Recovery of components from catalysts  
R9 Used oil re -refining or other reuses of previously used 
oil 
R10 Land treatment resulting in benefit to agriculture or 
ecological improvement  
R11 Uses of residual materials obtained from any of the 
operations numbered R1 -R10 
R12 Exchange of wastes for submission to any of the 
operations numbered R1 -R11 
R13 Accumulation of material intended for any operation in 
this list  
PACKAGING TYPES (Block 7 ) 
1. Drum  
2. Wooden barrel  
3. Jerrican  
4. Box 
5. Bag 
6. Composite packaging  
7. Pressure receptacle  
8. Bulk  
9. Other (specify)  H CODE AND UN CLASS (Block 14)  
UN class  H code Characteristics  
1 H1 Explosive  
3 H3 Flammable liquids  
4.1 H4.1  Flammable solids  
4.2 H4.2  Substances or wastes  liable to spontaneous combustion  
4.3 H4.3  Substances or wastes which, in contact with water,  
 emit flammable gases  
5.1 H5.1  Oxidizing  
5.2 H5.2  Organic peroxides  
6.1 H6.1  Poisonous (acute)  
6.2 H6.2  Infectious substances  
8 H8 Corrosives  
9 H10 Liberation of toxic gases in contact with air or water  
9 H11 Toxic (delayed or chronic)  
9 H12 Ecotoxic  
9 H13 Capable, by any means, after disposal of yielding another 
material, e. g., leachate, which possesses any of the 
characteristics listed above  MEANS OF TRANSPORT (Block 8)  
R = Road  T = Train/Rail   
S = Sea  A = Air  
W = Inland Waterways  
PHYSICAL CHARACTERISTICS (Block 13)  
1. Powdery / powder  
2. Solid  5. Liquid  
3. Viscous / paste  6. Gaseous  
4. Sludgy  7. Other         
                                                                        (specify)   
EN 6  EN Further information, in particular related to waste identification (block 14), i.e. on Basel Annexes VIII and IX codes, OECD codes and Y 
codes, can be found in a Guidance/Instruction Manual available from OECD and the Secretariat of the Basel Convention.  
ANNEX IC  
SPECIFIC INSTRUCTIONS FOR COMPLETING THE NOTIFICATION AND MOVEMENT 
DOCUMENTS  
I. Introduction  
1. The present instructions provide the necessary explanations for completing the notification and 
movement documents. Both documents are compatible with the Basel Convention1, the OECD Decision2 
(which only covers shipments of wastes destined for recovery operations within the OECD area) and this 
Regulat ion, since they take into account the specific requirements set out in these three instruments.  
From [ OP: Please insert the date two years after the date of entry into force of the Regulation ], documents 
and information must be submitted via electronic me ans in accordance with Article 26, as required in the 
relevant provisions in the Regulation. In the cases of shipments involving third countries (as per Titles IV, 
V and VI), for which paper documents can be used, these instructions remain valid. In the ot her cases, they 
should be considered taking into account of the features of the electronic exchange of information and 
documentation.  
Because the documents have been made broad enough to cover all three instruments, however, not all 
blocks in the document will be applicable to all of the instruments and it therefore may not be necessary to 
complete all of the blocks in a given case. Any specific requirements relating to only one control system 
have been indicated with the use of footnotes. It is also possib le that national implementing legislation may 
use terminology that differs from that adopted in the Basel Convention and the OECD Decision. For 
example, the term ‘shipment’ is used in this Regulation instead of ‘movement’ and the titles of the 
notification  and movement documents therefore reflect this variation by employing the term 
‘movement/shipment’.  
2. The documents include both the term ‘disposal’ and ‘recovery’, because the terms are defined 
differently in the three instruments. The European Union  Regulation and the OECD Decision use the term 
‘disposal’ to refer to disposal operations listed in Annex IV.A of the Basel Convention and Appendix 5.A 
of the OECD Decision and ‘recovery’ for recovery operations listed in Annex IV.B of the Basel 
Convention an d Appendix 5.B of the OECD Decision. In the Basel Convention itself, however, the term 
‘disposal’ is used to refer to both disposal and recovery operations.  
3. Until [ OP: Please insert the date two years after the date of entry into force of the Regulatio n] the 
competent authorities of dispatch are responsible for providing and issuing the notification and movement 
documents (in both paper and electronic versions). From [ OP: Please insert the date two years after the 
date of entry into force of the Regulat ion], the notification shall be submitted and the required information 
and documentation exchanged via electronic means in accordance with Article 26.  
The competent authorities will use a numbering system, which allows a particular consignment of waste to  
be traced. The numbering system should be prefixed with the country code of the country of dispatch that 
                                                 
1 Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal, 22 March 
1989. See www.basel.int   
2 Decision C(2001)107/FINAL of the OECD Council, concerning the revision of Decision C(92)39/FINAL on the 
control of transboundary movements of waste destined for recovery operations; the former Decision is a consolidation 
of texts adopted by the Council on 14 June 2001 and on 28 February 2002 (with amendments). See 
https://legalinstruments.oecd.org/en/instruments/OECD -LEGAL -0266    
EN 7  EN can be found in the ISO standard 3166 abbreviation list. Within the EU, the two -digits country code must 
be followed by a space. This may be followed by an optional code of up to four digits specified by the 
competent authority of dispatch followed by a space. The numbering system must end with a six -digit 
number. For illustration, if the country code is XY and the six -digit number 123456, the notificat ion 
number would be XY 123456 if no optional code were specified. Where an optional code, for example 12, 
is specified, the notification number would be XY 12 123456. However, in case a notification or 
movement document is transmitted electronically and no  optional code is specified, ‘0000’ should be 
inserted instead of the optional code (e.g. XY 0000 123456); in case an optional code of less than four 
digits is specified, for example 12, the notification number would be XY 0012 123456.  
4. Countries may wi sh to issue the documents in a paper size format that conforms to their national 
standards (normally ISO A4, as recommended by the United Nations). In order to facilitate their use 
internationally, however, and to take into account the difference between I SO A4 and the paper size used 
in North America, the frame size of the forms should not be greater than 183 × 262 mm with margins 
aligned at the top and the left side of the paper. The notification document (block 1 -block 21 including 
footnotes) should be o n one page and the list of abbreviations and codes used in the notification document 
should be on a second page. With regard to the movement document, block 1 -block 19 including footnotes 
should be on one page and block 20 -22 and the list of abbreviations and codes used in the movement 
document should be on a second page.  
 
II. Purpose of the notification and movement documents  
5. The notification document is intended to provide the competent authorities concerned with the 
information they need to assess the acceptability of proposed waste shipments. It also provides space for 
them to acknowledge receipt of the notification and, where required, to consent in writing to a proposed 
shipment.  
6. The movement document is intended to travel with a consignment of waste at all times from the moment 
it leaves the waste producer to its arrival at a disposal or recovery facility in another  country. Each person 
who takes charge of a shipment (carriers and possibly consignee1) is to sign the movement document either 
upon delivery or receipt of the wastes in question. There are also spaces in the movement document for 
recording passage of the consignment through the customs offices of all countries concerned (required by 
this Regulation). Finally, the document is to be used by the relevant disposal or recovery facility to certify 
that the waste has been received and that the recovery or disposa l operation has been completed.  
 
III. General requirements  
7. A planned shipment subject to the procedure of prior written notification and consent may take place 
only after the notification and movement documents have been completed pursuant to this Reg ulation, 
taking into account Articles 16(1)  and (2) , and during the period of validity of the written or tacit consents 
of all competent authorities concerned.  
8. Until [ OP: Please insert the date two years after the date of entry into force of the Regula tion], those 
filling out printed copies of the documents should use typescript or block capitals in permanent ink 
throughout. Until that same date, signatures should always be written in permanent ink and the name of the 
                                                 
1 Outside the European Union , the term ‘importer’ may be used instead of ‘consignee’.   
EN 8  EN authorised representative should ac company the signature in capital letters. In the event of a minor 
mistake, for example the use of the wrong code for a waste, a correction can be made with the approval of 
the competent authorities. The new text must be marked and signed or stamped, and th e date of the 
modification must be noted. For major changes or corrections, a new form must be completed.  
From [date when Article 26 becomes applicable], the notification shall be submitted and the required 
information and documentation exchanged via elec tronic means in accordance with Article 26.  
9. To simplify translation, the documents require a code, rather than text, for the completion of several 
blocks. Where text is required, however, it must be in a language acceptable to the competent authorities  in 
the country of destination and, where required, to the other concerned authorities.  
10. A six -digit format should be used to indicate the date. For example, 29 January 2024 should be shown 
as 29.01.24 (Day.Month.Year).  
11. Where it is necessary to ad d annexes to the documents providing additional information, each annex 
should include the reference number of the relevant document and cite the block to which it relates.  
 
IV. Specific instructions for completing the notification document  
12. The notif ier1 is to complete blocks 1 –18 (except the notification number in block 3) at the time of 
notification. In some third countries which are not OECD member countries, the competent authority of 
dispatch may complete these blocks. When the notifier is not th e same person as the original producer, this 
producer or one of the persons indicated in Article 3(6)(a)(ii) or (iii) is, where practicable, also to sign in 
block 17 a s specified in the Article 5(2) , and point 26 of Part 1 of Annex II.  
13. Blocks 1 (See points 2 and 4 of Part 1 of Annex II) and 2 (point 6 of Part 1 of Annex II): Provide the 
required information (give registration number only where applicable, address including the name of the 
country and telephone and fax numbers including the countr y code; contact person should be responsible 
for the shipment including if incidents during shipment occur). In some third countries, information 
relating to the competent authority of dispatch may be given instead. The notifier may be a dealer or broker 
in accordance with Article 3(6) of this Regulation. In this case, provide a copy of the contract or evidence 
of the contract (or a declaration certifying its existence) between the producer, new producer or collector 
and the broker or dealer in an annex (se e point 23 of Part 1 of Annex II). The phone and fax numbers and 
the e -mail address should facilitate contact of all relevant persons at any time regarding an incident during 
shipment.  
14. Normally, the consignee would be the disposal or recovery facility  given in block 10. In some cases, 
however, the consignee may be another person, for example a dealer, a broker2, or a corporate body, such 
as the headquarters or mailing address of the receiving disposal or recovery facility in block 10. In order to 
act as a consignee, a dealer, broker or corporate body must be under the jurisdiction of the country of 
destination and possess or have some other form of legal control over the waste at the moment the 
shipment arrives in the country of destination. In such cas es, information relating to the dealer, broker or 
corporate body should be completed in block 2.  
                                                 
1 Outside the European Union , the term ‘export er’ may be used instead of ‘notifier’.  
2 In some third countries which are OECD member countries, the term recognised trader may be used according to the 
OECD Decision.   
EN 9  EN 15. Block 3 (See points 1, 5, 11 and 19 of Part 1 of Annex II): When issuing a notification document, a 
competent authority will, according to its own system,  provide an identification number which will be 
printed in this block (see paragraph 3 above). Under A, ‘individual shipment’ refers to a single notification 
and ‘multiple shipments’ to a general notification. Under B, give the type of operation the waste being 
shipped is destined for. Under C, pre -consent refers to Article 14 of this Regulation.  
 
16. Blocks 4 (See point 1 of Part 1 of Annex II), 5 (See point 1 7 of Part 1 of Annex II) and 6 (See point 12 
of Part 1 of Annex II): Give the number of shipments in block 4 and the intended date of a single shipment 
or, for multiple shipments, the dates of the first and last shipments, in block 6. In block 5, give the 
estimated minimum and maximum w eight in tonnes (1 tonne equals 1 megagram (Mg) or 1 000 kg) or 
volume in litres of the waste. In some third countries, giving the volume in cubic metres (1 cubic metre 
equals 1 000 litres) or other metric units, such as kilograms or litres, may also be ac ceptable. When other 
metric units are used, the unit of measure may be indicated and the unit in the document may be crossed 
out. The total quantity shipped must not exceed the maximum quantity declared in block 5. The intended 
period of time for shipments  in block 6 may not exceed one year, with the exception of multiple shipments 
to pre -consented recovery facilities according to Article 14 of this Regulation (see paragraph 15), for 
which the intended period of time may not exceed three years. All shipment s must take place within the 
validity period of the written or tacit consents of all competent authorities concerned issued by the 
competent authorities according to Article 9(4) of this Regulation. In the case of multiple shipments, some 
third countries m ay, based on the Basel Convention, require the expected dates or the expected frequency 
and the estimated quantity of each shipment to be quoted in blocks 5 and 6 or attached in an annex. Where 
a competent authority issues a written consent to the shipment  and the validity period of that consent in 
block 20 differs from the period indicated in block 6, the decision of the competent authority overrides the 
information in block 6.  
17. Block 7 (See point 18 of Part 1 of Annex II): Types of packaging should be  indicated using the codes 
provided in the list of abbreviations and codes attached to the notification document. If special handling 
precautions are required, such as those required by producers’ handling instructions for employees, health 
and safety info rmation, including information on dealing with spillage, and instructions in writing for the 
transport of dangerous goods, tick the appropriate box and attach the information in an annex.  
18. Block 8 (See point 7 and 13 of Part 1 of Annex II): Provide the  required information (give registration 
number only where applicable, address including the name of the country and telephone and fax numbers 
including the country code; contact person should be responsible for the shipment). If more than one 
carrier is i nvolved, append to the notification document a complete list giving the required information for 
each carrier. Where the transport is organised by a forwarding agent, the agent’s details and the respective 
information on actual carriers should be provided in an annex. Provide evidence of registration of the 
carrier(s) regarding waste transports (e.g. a declaration certifying its existence) in an annex (see point 15 of 
Part 1 of Annex II). Means of transport should be indicated using the abbreviations provid ed in the list of 
abbreviations and codes attached to the notification document.  
19. Block 9 (See point 3 and 16 of Part 1 of Annex II): Provide the required information on the producer of 
the waste1. The registration number of the producer should be give n where applicable. If the notifier is the 
producer of the waste then write ‘Same as block 1’. If the waste has been produced by more than one 
producer, write ‘See attached list’ and append a list providing the requested information for each producer. 
                                                 
1 Outside the European Union, the term ‘generator’ may be used instead of ‘producer’.   
EN 10  EN Wher e the producer is not known, give the name of the person in possession or control of such waste 
(holder). Also provide information on the process by which the waste was produced and the site of 
production.  
20. Block 10 (See point 5 of Part 1 of Annex II):  Provide the required information (give destination of the 
shipment by ticking either disposal or recovery facility, registration number only where applicable and 
actual site of disposal or recovery if it is different from the address of the facility). If the disposer or 
recoverer is also the consignee, state here ‘Same as block 2’. If the disposal or recovery operation is a 
D13–D15 or R12 or R13 operation (according to Annexes I or II of Directive 2008/98/EC on waste), the 
facility performing the operation  should be mentioned in block 10, as well as the location where the 
operation will be performed. In such a case, corresponding information on the subsequent facility or 
facilities, where any subsequent R12/R13 or D13 –D15 operation and the D1 –D12 or R1 –R11 operation or 
operations takes or take place or may take place should be provided in an annex. If the recovery or disposal 
facility is listed in Annex I, Category 5 of Directive 2010/75/E U, evidence  (e.g. a declaration certifying its 
existence) of a valid p ermit issued in accordance with Articles 4 and 5 of that Directive must be provided 
in an annex in case a facility is located in the Union.  
21. Block 11 (See points 5, 19 and 20 of Part 1 of Annex II): Indicate the type of recovery or disposal 
operation b y using R -codes or D -codes of Annexes I or II of Directive 2008/98/EC on waste (see also the 
list of abbreviations and codes attached to the notification document)1. If the disposal or recovery operation 
is a D13 –D15 or R12 or R13 operation, corresponding information on the subsequent operations (any 
R12/R13 or D13 –D15 as well as D1 –D12 or R1 –R11) should be provided in an annex. Also indicate the 
technology to be employed. If the waste is destined for recovery, provide the planned method of disposal 
for the  non-recoverable fraction after recovery, the amount of recovered material in relation to non -
recoverable waste, the estimated value of the recovered material and the cost of recovery and the cost of 
disposal of the non -recoverable fraction in an annex. In  addition, in cases of imports into the Union  of 
wastes destined for disposal, indicate a prior duly motivated request from the country of dispatch according 
Article 4 7(4) of this Regulation under ‘reason for export’ and attach this request in an annex. So me third 
countries outside the OECD may, based on the Basel Convention, also require that the reason for export is 
specified.  
22. Block 12 (See point 16 of Part 1 of Annex II): Give the name or names by which the material is 
commonly known or the commercia l name and the names of its major constituents (in terms of quantity 
and/or hazard) and their relative concentrations (expressed as a percentage), if known. In the case of a 
mixture of wastes, provide the same information for the different fractions and in dicate which fractions are 
destined for recovery. A chemical analysis of the composition of the waste may be requested in accordance 
with point 7 of Part 3 of Annex II of this Regulation. Attach further information in an annex if necessary.  
23. Block 13 (See point 16 of Part 1 of Annex II). Indicate physical characteristics of the waste at normal 
temperatures and pressures.  
24. Block 14 (See point 16 of Part 1 of Annex II): State the code that identifies the waste according to 
Annexes III, IIIA, IIIB, IV of this Regulation. Give the code according to the system adopted under the 
                                                 
1 In the European Union , the definition of operation R1 in the list of abbreviations is different from that used in the Basel 
Convention and the OECD Decision; both wordings are therefore provided. There are other differences between the terminology 
used in  the Union and that used in the Basel Convention and the OECD Decision, which are not contained in the list of 
abbreviations.  
  
EN 11  EN Basel Convention (under subheading (i) in block 14) and, where applicable, the systems adopted in the 
OECD Decision (under subheading (ii)) and other accepted classification system s (under subheadings (iii) 
to (xii)). According to Article 5( 8) of this Regulation, give only one waste code (from Annexes III, IIIA, 
IIIB, IV  of this Regulation) with the following two exceptions: In the case of wastes not classified under 
one single entr y in either Annex III, IIIB, IV, give only one type of waste. In the case of mixtures of wastes 
not classified under one single entry in either Annex III, IIIB, IV, unless listed in Annex IIIA, provide the 
code of each fraction of the waste in order of imp ortance (in an annex if necessary).  
 
(a) Subheading (i):  Basel Convention Annex VIII codes should be used for wastes that are subject to the 
procedure of prior written notification and consent (see Part I of Annex IV of this Regulation); Basel 
Annex IX codes should be used for wastes that are not usually subjec t to the procedure of prior written 
notification and consent but which, for a specific reason such as contamination by hazardous substances 
(cf. first paragraph  of Annex III of this Regulation) or national regulations1, are subject to the procedure of 
prior written notification and consent (see Part I of Annex III of this Regulation). Basel Annexes VIII and 
IX can be found in Annex V of this Regulation, in the text of the Basel Convention as well as in the 
Instruction Manual available from the Secretariat o f the Basel Convention. If a waste is not listed in 
Annexes VIII or IX of the Basel Convention, insert ‘not listed’.  
(b) Subheading (ii):  OECD member countries should use OECD codes for wastes listed in Part II of 
Annexes III and IV of this Regulation, i. e. wastes that have no equivalent listing in the Annexes of the 
Basel Convention or that have a different level of control under this Regulation from the one required by 
the Basel Convention. If a waste is not listed in Part II of Annexes III and IV of thi s Regulation, insert ‘not 
listed’.  
(c) Subheading (iii):  European Union Member States should use the codes included in the European Union  
list of wastes (see Commission Decision 2000/532/EC as amended)2.  
(d) Subheadings (iv) and (v): Where applicable, nat ional identification codes other than the E U list of 
wastes used in the country of dispatch and, if known, in the country of destination should be used.  
(e) Subheading (vi):  If useful or required by the relevant competent authorities, add here any other c ode or 
additional information that would facilitate the identification of the waste.  
Such codes may be included in Annexes IIIA, IIIB or IV (EU48) of this Regulation. In that case, the 
Annex number should be stated in front of the codes. As regards Annex IIIA, the relevant code(s) as 
indicated in Annex IIIA should be used, as appropriate in sequence. Certain Basel entries such as B1100 
and B3020 are restricted to particular waste streams only, as indicated in Annex IIIA.  
(f) Subheading (vii ): State the ap propriate Y -code or Y -codes according to the ‘Categories of wastes to be 
controlled’ (see Annex I of the Basel Convention and Appendix 1 of the OECD Decision), or according to 
the ‘Categories of wastes requiring special consideration’ given in Annex II of the Basel Convention (see 
Annex IV Part I of this Regulation or Appendix 2 of the Basel Instruction Manual), if it or they exist(s). Y - 
codes are not required by this Regulation and the OECD Decision except where the waste shipment falls 
                                                 
1 Commission Regulation (EC) No 1418/2007 of 29 November 2007 concerning the export for recovery of certain waste 
listed in Annex  III or IIIA to Regulation (EC) No 1013/2006 to certain countries to which the OECD Decision on the control of 
transboundary movements of wastes does not apply, OJ L 316, 4.12.2007, p. 6.  
2 See https://eur -lex.europa.eu/legal -content/EN/TXT/?uri=CELEX%3A02000D0532 -20150601&qid=1632818732876    
EN 12  EN under one of the t wo ‘Categories requiring special consideration’ under the Basel Convention (Y46 and 
Y47 or Annex II wastes), in which case the Basel Y -code should be indicated. Nevertheless, indicate the 
Y-code or Y -codes for wastes defined as hazardous according Article 1(1)(a) of the Basel Convention in 
order to fulfil the reporting requirements under the Basel Convention.   
(g) Subheading (viii):  If applicable, state here the appropriate H -code or H - codes, i.e. the codes indicating 
the hazardous characteristics exhibit ed by the waste (see the list of abbreviations and codes attached to the 
notification document). If there is no hazardous characteristic covered by the Basel Convention, but the 
waste is hazardous according to Annex III to Directive 2008/98/EC of the Europ ean Parliament and of the 
Council, state the HP - code or HP -codes according to this Annex III and insert ‘EU’ after the HP code (e.g. 
HP14 EU).  
(h) Subheading (ix):  If applicable, state here the United Nations class or classes which indicate the 
hazardous characteristics of the waste according to the United Nations classification (see the list of 
abbreviations and codes attached to the notification document) and are required to comply with 
international rules for the transport of dangerous goods (see the Un ited Nations Recommendations on the 
Transport of Dangerous Goods. Model Regulations (Orange Book), latest edition)1.  
(i) Subheadings (x and xi):  If applicable, state here the appropriate United Nations number or numbers and 
United Nations shipping name or names. These are used to identify the waste according to the United 
Nations classification system and are required to comply with international rules for transport of dangerous 
goods (see the United Nations Recommendations on the Transport of Dangerous Goods. Model 
Regulations (Orange Book), latest edition).  
(j) Subheading (xii):  If applicable, state here customs code or codes, which allow identi fication of the 
waste by customs offices (see the list of codes and commodities in the ‘Harmonised commodity 
description and coding system’ produced by the World Customs Organisation).  
25. Block 15 (See points 8 -10, 14 of Part 1 of Annex II): On line (a) of block 15, provide the name of the 
countries2 of dispatch, transit and destination or the codes for each country by using the ISO standard 3166 
abbreviations3. On line (b), provide, where applicable, the code number of the respective competent 
authority for each country and on line (c) insert the name of the border crossing or port and, where 
applicable, the customs office code number as the point of entry to or exit from a particular country. For 
transit countries give the information in line (c) for poi nts of entry and exit. If more than three transit 
countries are involved in a particular shipment, attach the appropriate information in an annex. Provide the 
intended route between points of exit and entry, including possible alternatives, also in cases o f unforeseen 
circumstances, in an annex.  
26. Block 16 (See point 14 of Part 1 of Annex II): Provide the required information in case shipments 
enter, pass through or leave the European Union.  
27. Block 17 (See points 21 -22 and 24 -26 of Part 1 of Annex II ): Each copy of the notification document is 
to be signed and dated by the notifier (or by dealer or broker if acting as a notifier) before being forwarded 
to the competent authorities of the countries concerned. In some third countries, the competent auth ority of 
dispatch may sign and date. When the notifier is not the same person as the original producer, this 
                                                 
1 See https://unece.org/transport/dangerous -goods   
2 In the Basel Convention, the term ‘State’ is used instead of ‘country’.  
3 Outside the European Union, the terms ‘export’ and ‘import’ may be used instead of ‘dispatch’ and ‘destination’.   
EN 13  EN producer, the new producer or the collector is, where practicable, also to sign and date; it is noted that this 
may not be practicable in cases whe re there are several producers (definitions regarding practicability may 
be contained in national legislation). Further, where the producer is not known, the person in possession or 
control of the waste (holder) should sign. This declaration should also ce rtify the existence of insurance 
against liability for damage to third parties. Some third countries may require proof of insurance or other 
financial guarantees and a contract to accompany the notification document.  
From [date when Article 26 becomes app licable], the notification shall be submitted and the required 
information and documentation exchanged via electronic means in accordance with Article 26.  
28. Block 18: Indicate the number of annexes containing any additional information supplied with the 
notification document1. Each annex must include a reference to the notification number to which it relates, 
which is indicated in the corner of block 3.  
29. Block 19: Under the Basel Convention, the competent authority or authorities of the country or 
countries of destination (where applicable) and transit issue such an acknowledgement. Under the OECD 
Decision, the competent authority of the country of destination issues the acknowledgement. Some third 
countries may, according to their national legislation , require that the competent authority of dispatch also 
issues an acknowledgement.  
30. Blocks 20 and 21: Block 20 is for use by competent authorities of any country concerned when 
providing a written consent. The Basel Convention (except if a country has d ecided not to require written 
consent with regard to transit and has informed the other Parties thereof in accordance with Article 6(4) of 
the Basel Convention) and certain countries always require a written consent (according Article 9(1) of this 
Regulati on, competent authorities of dispatch and transit may provide a tacit consent) whereas the OECD 
Decision does not require a written consent. Indicate the name of the country (or its code by using the ISO 
standard 3166 abbreviations). If the shipment is sub ject to specific conditions, the competent authority in 
question should tick the appropriate box and specify the conditions in block 21 or in an annex to the 
notification document. If a competent authority wishes to object to the shipment it should do so b y writing 
‘OBJECTION’ in block 20. Block 21, or a separate letter, may then be used to explain the reasons for the 
objection.  
V. Specific instructions for completing the movement document  
31. At the time of notification, the notifier is to complete block s 3, 4 and 9 –14. After receipt of the 
consents from the competent authorities of dispatch, destination and transit or, in relation to the competent 
authority of transit, tacit consent can be assumed, and before the actual start of the shipment, the notifie r is 
to complete blocks 2, 5 –8 (except the means of transport, the date of transfer and the signature), 15 and, if 
appropriate, 16. In some third countries which are not OECD member countries, the competent authority of 
dispatch may complete these blocks i nstead of the notifier. At the time of taking possession of the 
consignment, the carrier or its representative is to complete the means of transport, the date of transfer and 
the signature, which appear in blocks 8(a) to 8(c) and, if appropriate, 16. The c onsignee is to complete 
block 17 in the event that it is not the disposer or recoverer and when it takes charge of a shipment of waste 
after it arrives in the country of destination and, if appropriate, 16.  
32. Block 1: The competent authority of dispatch  is to enter the notification number (this is to be copied 
from block 3 in the notification document).  
                                                 
1 See blocks 5, 6, 7, 8, 9, 10, 11, 12, 14, 15, 20 or 21 and, if additional information and documentation is requested by 
the competent authorities, see points in Annex II Part 3 of this Regulation which are not covered by any block.   
EN 14  EN 33. Block 2a: Provide the identification number of the container that carries the concerned waste during 
transport, if applicable.  
34. Block 2 (See poin t 1 of Part 2 of Annex II): For a general notification for multiple shipments, enter the 
serial number of the shipment and the total intended number of shipments indicated in block 4 in the 
notification document (for example, enter ‘4/11’ for the fourth sh ipment out of eleven intended shipments 
under the general notification in question). In the case of a single notification, enter ‘1/1’.  
35. Blocks 3 and 4: Reproduce the same information on the notifier1 and consignee as given in blocks 1 
and 2 in the not ification document.  
36. Block 5 (See point 6  of Part 2 of Annex II): Give the actual weight in tonnes (1 tonne equals 1 
megagram (Mg) or 1 000 kg of the waste. In some third countries, giving the volume in cubic metres (1 
cubic metre equals 1 000 litres) or other metric units, such as kilograms or litres, may be acceptable. When 
other metric units are used, the unit of measure may be indicated and the unit in the form may be crossed 
out. Attach, wherever possible, copies of weighbridge tickets.  
37. Block 6 (See point 2 of Part 2 of Annex II): Enter the date when the shipment actually starts (see also 
instructions on block 6 of the notification document).  
38. Block 7 (See points 7 and 8 of Part 2 of Annex II): Types of packaging should be indicated u sing the 
codes provided in the list of abbreviations and codes attached to the movement document. If special 
handling precautions are required, such as those prescribed by producers’ handling instructions for 
employees, health and safety information, inclu ding information on dealing with spillage, and transport 
emergency cards, tick the appropriate box and attach the information in an annex. Also enter the number of 
packages making up the consignment.  
39. Blocks 8 (a), (b) and (c) (See points 3 and 4 of Pa rt 2 of Annex II): Provide the required information 
(give registration number only where applicable, address including the name of the country and telephone 
and fax numbers including the country code). When more than three carriers are involved, appropriat e 
information on each carrier should be attached to the movement document. The means of transport, the 
date of transfer and a signature should be provided by the carrier or carrier’s representative taking 
possession of the consignment. A copy of the signed  movement document is to be retained by the notifier. 
Upon each successive transfer of the consignment, the new carrier or carrier’s representative taking 
possession of the consignment will have to comply with the same request and also sign the document. A  
copy of the signed document is to be retained by the previous carrier.  
From [date when Article 26 becomes applicable], the notification shall be submitted and the required 
information and documentation exchanged via electronic means in accordance with Ar ticle 26.  
40. Block 9: Reproduce the information given in block 9 of the notification document.  
41. Blocks 10 and 11: Reproduce the information given in blocks 10 and 11 in the notification document. 
If the disposer or recoverer is also the consignee, wri te in block 10: ‘Same as block 4’. If the disposal or 
recovery operation is a D13 –D15 or R12 or R13 operation (according to Annexes I or II of Directive 
2008/98/EC on waste), the information on the facility performing the operation provided in block 10 is 
sufficient. No further information on any subsequent facilities performing R12/R13 or D13 –D15 
operations and the subsequent facility(ies) performing the D1 –D12 or R1 –R11 operation(s) needs to be 
included in the movement document.  
                                                 
1 In some third countri es, information relating to the competent authority of dispatch may be given instead.   
EN 15  EN 42. Blocks 12, 13 and 14:  Reproduce the information given in blocks 12, 13 and 14 in the notification 
document.  
43. Block 15 (See point 9 of Part 2 of Annex II): At the time of shipment, the notifier (or the dealer or 
broker if acting as a notifier) shall sign and date the movement document. In some third countries, the 
competent authority of dispatch, or the generator of the waste according to the Basel Convention, may sign 
and date the movement document. According to Article 16( 1) of this Regulation, en sure that the 
inform ation in the movement  document is made electronically available, including during the time of 
transport, to the relevant authorities.   
44. Block 16 (See point 5 of Part 2 of Annex II): This block can be used by any person involved in a 
shipment (notifier o r the competent authority of dispatch, as appropriate, consignee, any competent 
authority, carrier) in specific cases where more detailed information is required by national legislation 
concerning a particular item (for example, information on the port whe re a transfer to another transport 
mode occurs, the number of containers and their identification number, or additional proof or stamps 
indicating that the shipment has been consented by the competent authorities). Give the routing (point of 
exit from and entry into each country concerned, including customs offices of entry into and/or exit from 
and/or export from the Union ) and route (route between points of exit and entry), including possible 
alternatives, also in case of unforeseen circumstances either i n block 16 or attach it in an annex.  
45. Block 17: This block is to be completed by the consignee in the event that it is not the disposer or 
recoverer (cf. paragraph 14 above) and in case the consignee takes charge of the waste after the shipment 
arrives in the country of destination.  
46. Block 18: This block is to be completed by the authorised representative of the disposal or recovery 
facility upon receipt of the waste consignment. Tick the box of the appropriate type of facility. With regard 
to the qu antity received, please refer to the specific instructions on block 5 (paragraph 36). A signed copy 
of the movement document is given to the last carrier. If the shipment is rejected for any reason, the 
representative of the disposal or recovery facility m ust immediately contact his or her competent authority. 
According to Articl e 16(3) or, if appropriate, 15(3 ) of this Regulation and the OECD Decision, 
confirmation to the notifier and the relevant authorities that the waste has been received  must be provided 
within one  day (with the exception of those OECD transit countries which have informed the OECD 
Secretariat that they do not wish to receive such copies of the movement document). The original 
movement document shall be retained by the disposal or  recovery facility.  
From [date when Article 26 becomes applicable], the notification shall be submitted and the required 
information and documentation exchanged via electronic means in accordance with Article 26.  
47. Receipt of the waste consignment must be certified by any facility performing any disposal or recovery 
operation, including any D13 –D15 or R12 or R13 operation. A facility performing any D13D15 or 
R12/R13 operation or a D1 –D12 or R1 –11 operation subsequent to a D13 –D15 or R12 or R13 operation in 
the same country, is not, however, required to certify receipt of the consignment from the D13 –D15 or R12 
or R13 facility. Thus, block 18 does not need to be used for the final receipt of the consignment in such a 
case. Indicate also the type of disposa l or recovery operation by using R -codes or D codes of Annexes I or 
II of Directive 2008/98/EC on waste and the approximate date by which the disposal or recovery of waste 
will be completed.  
48. Block 19: This block is to be completed by the disposer or r ecoverer to certify the completion of the 
disposal or recovery of the w aste. According to Article 16( 4) or, if appropriate, 15(4) of this Regulation 
and the OECD Decision, signed copies of the movement document with block 19 completed should be sent  
EN 16  EN to the  notifier and competent authorities of dispatch, transit (not required by the OECD Decision) and 
destination as soon as possible, but no later than 30 days after the completion of the recovery or disposal 
and no later than one calendar year following the r eceipt of the waste. Some third countries which are not 
OECD member countries may require in accordance with the Basel Convention that signed copies of the 
document with block 19 completed must be sent to the notifier and the competent authority of dispatc h. 
For disposal or recovery operations D13 –D15 or R12 or R13, the information on the facility performing 
such an operation provided in block 10 is sufficient, and no further information on any subsequent 
facilities performing R12/R13 or D13 –D15 operations and the subsequent facility(ies) performing the D1 –
D12 or R1 –R11 operation(s) need be included in the movement document.  
49. The disposal or recovery of waste must be certified by any facility performing any disposal or recovery 
operation, including a D13 –D15 or R12 or R13 operation. Therefore, a facility performing any D13 –D15 
or R12/R13 operation or a D1 –D12 or R1 –R11 operation, subsequent to a D13 –D15 or R12 or R13 
operation in the same country, should not use block 19 to certify the recovery or disposa l of the waste, 
since this block will already have been completed by the D13 –D15 or R12 or R13 facility. The means of 
certifying disposal or recovery in this particular case must be ascertained by each country.  
50. In case of waste shipped for preparation  for re -use or recycling, the actual quantity  of the waste that 
was recycled or prepared for re -use by the receiving facility must be provided in block 19. If the waste was 
shipped for other recovery  operations , including energy recovery, the amount recove red must be provided 
in block 19. The applicable U nion rules on th e calculation , verification and reporting  of data  must be taken 
into account when completing this block1. 
51. Blocks 20, 21 and 22: The blocks must be used for control by customs offices at the borders of the 
Union .
                                                 
1 Commission implementing Decision  (EU) 2019/1004 of 7 June 2019 laying down rules for the calculation, verification 
and reporting of data on waste in accordance with Dir ective 2008/98/EC of the European Parliament and of the Council 
and repealing Commission Implementing Decision C(2012) 2384 ; OJ L163, 20.6.2019 , p.66     
EN 17  EN ANNEX II  
INFORMATION AND DOCUMENTATION RELATED TO NOTIFICATION  
Part 1: Information to be supplied when submitting the notification document:  
1. Serial number or other accepted identifier of the notification document and intended 
total number of shipments.  
In case the notifier has previously obtained consent(s) for the shipment of the same 
types of waste to the same facility, the serial number or other accepted identifier of 
notification document of these previously consented shipments may also be 
indicated.  
2. Notifier's name, address, telephone number , e-mail address, registration number and 
contact person.  
3. If the notifier is not the producer: prod ucer's (producers') name, address, telephone 
number,  e-mail address and contact person.  
4. Dealer's (dealers') or broker's (brokers') name, address, telephone number,  e-mail 
address and contact person, where the notifier has authorised him in accordance with  
Article 3(6).  
5. Recovery or disposal facility's name, address, telephone number, fax number, e -mail 
address, registration number, contact person, technologies employed and possible 
status as pre -consented in accordance with Article 14.  
If the waste is destined for an interim recovery or disposal operation, similar 
information regarding all facilities where subsequent interim and non -interim 
recovery or disposal operations are envisaged shall be indicated.  
If the recovery or disposal fac ility is listed in Annex I, Category 5 of Directive 
2010/75 /EU, evidence (e.g. a declaration certifying its existence) of a valid permit 
issued in accordance with Articles 4 and 5 of that Directive shall be provided.  
6. Consignee's name, address, telephone n umber , e-mail address, registration number 
and contact person.  
7. Intended carrier's (carriers') and/or their agent's (agents') name, address, telephone 
number, e -mail address, registration number and contact person.  
8. Country of dispatch and relevant compete nt authority.  
9. Countries of transit and relevant competent authorities.  
10. Country of destination and relevant competent authority.  
11. Single notification or general notification. If general notification, period of validity 
requested.  
12. Date(s) envisaged for st art of the shipment(s).  
13. Means of transport envisaged.  
14. Intended routing (point of exit from and entry into each country concerned, including 
customs offices of entry into and/or exit from and/or export from the Union) and 
intended route (route between poin ts of exit and entry), including possible 
alternatives, also in case of unforeseen circumstances.  
15. Evidence of registration of the carrier(s) regarding waste transports (e.g. a 
declaration certifying its existence).   
EN 18  EN 16. Designation of the waste on the appropr iate list, the source(s), description, 
composition and any hazardous characteristics. In the case of waste from various 
sources, also a detailed inventory of the waste.  
17. Estimated maximum and minimum quantities.  
18. Type of packaging envisaged.  
19. Specification of the recovery or disposal operation(s) as referred to in Annexes I and 
II to Directive 200 8/98/EC.  
20. If the waste is destined for recovery:  
(a) the planned method of disposal for the non -recoverable fraction after recovery;  
(b) the amount of recovered material in relation to non -recoverable waste;  
(c) the estimated value of the recovered material;  
(d) the cost of recovery and the cost of disposal of the non -recoverable fraction.  
21. Evidence of insurance against liability for damage to third parties (e.g. a declaration 
certifying its existence).  
22. Evidence of a contract (or a declaration certifying its existence) between the notifier 
and consignee for the recovery or disposal of the waste that has been concluded and 
is effective at the time of the notification, as required  in Article 6.  
23. A copy of the contract or evidence of the contract (or a declaration certifying its 
existence) between the producer, new producer or collector and the broker or dealer, 
in the event that the broker or dealer acts as notifier.  
24. Evidence of a  financial guarantee or equivalent insurance (or a declaration certifying 
its existence if the competent authority so allows) that has been established and is 
effective at the time of the notification or, if the competent authority which approves 
the finan cial guarantee or equivalent insurance so allows, at the latest when the 
shipment starts, as required in Article 5(6) and Article 7.  
25. Certification by the notifier that the information is complete and correct to the best of 
his/her knowledge.  
26. When the notifier is not the producer in accordance with Article 3(6)(a)(i), the 
notifier shall ensure that the producer or one of the persons indicated in Article 
3(6)(a)(ii) or (iii), where practicable, also signs the notification document provided 
for in Annex I A. 
 
Part 2: Information to be supplied on, or annexed to, the movement document:  
Supply all information listed in Part 1, updated in accordance with the points set out below, 
and the other additional information specified:  
1. Serial and total number of shipments.  
2. Date shipment started.  
3. Means of transport.  
4. Carrier's (carriers') name, address, telephone number, fax number and e -mail address.  
5. Routing (point of exit from and entry into each country concerned, including customs 
offices of entry into and/or exit from and/or export from the Union) and route (route  
EN 19  EN between points of exit and entry), including possible alternatives, also in case of 
unforeseen circumstances.  
6. Quantities.  
7. Type of packaging.  
8. Any special precautions to  be taken by the carrier(s).  
9. Declaration by the notifier that all necessary consents have been received from the 
competent authorities of the countries concerned. This declaration must be signed by 
the notifier.  
10. Appropriate signatures for each custody tr ansfer.  
 
Part 3: Additional information and documentation that may be requested by the 
competent authorities:  
1. The type and duration of the authorisation pursuant to which the recovery or disposal 
facility operates.  
2. Copy of the permit issued in accordanc e with Articles 4 and 5 of Directive 
2010/75/E U.  
3. Information concerning the measures to be taken to ensure transport safety.  
4. The transport distance(s) between the notifier and the facility, including possible 
alternative routes, also in case of unforesee n circumstances and, in the event of 
intermodal transport, the place where the transfer will take place.  
5. Information about costs of transport between the notifier and the facility.  
6. Copy or evidence of the registration of the carrier(s) regarding the wast e transport.  
7. Chemical analysis of the composition of the waste.  
8. Description of the production process of the waste.  
9. Description of the treatment process of the facility, which receives the waste.  
10. The financial guarantee or equivalent insurance or a copy or evidence thereof.  
11. Information concerning the calculation of the financial guarantee or equivalent 
insurance as required in Article 5( 6) and in Article 7.  
12. Copy of the contracts referred to in Part 1, points 22 and 23.  
13. Copy of the policy of insurance against liability for damage to third parties.  
14. Any other information, which is pertinent to the assessment of the notification in 
accordance with this Regulation and national legislation.    
EN 20  EN ANNEX III  
LIST OF WASTES SUBJECT TO THE GENERAL INFORMATION 
REQUIREMENTS LAID DOWN IN ARTICLE 18 (‘GREEN’ LISTED WASTE)  
Regardless of whether or not wastes are included on this list, they may not be subject to the 
general information requirements laid down in Article 18 if they are contaminated by other 
materials to an extent which  
(a) increases the risks associated with the w astes sufficiently to render them 
appropriate for submission to the procedure of prior written notification and 
consent, when taking into account the hazardous characteristics listed in Annex 
III to Directive 2008/98/EC; or  
(b) prevents the recovery of the wa stes in an environmentally sound manner.   
 
Part  I: 
Wastes listed in Annex IX of the Basel Convention1. 
For the purposes of this Regulation:  
(a) Any reference to list A in Annex VIII of the Basel Convention shall be understood as 
a reference to Annex IV of this  Regulation;  
(b) In Basel entry B1020 the term “bulk finished form” includes all metallic non -
dispersible2 forms of the scrap listed therein;  
(c) Basel entry B1030 shall read: ‘Residues containing refractory metals’;  
(d) The part of Basel entry B1100 that refers to “S lags from copper processing” etc. does 
not apply and (OECD) entry GB040 in Part II applies instead;  
(e) Basel entry B1110 does not apply and (OECD) entries GC010 and GC020 in Part II 
apply instead.  
(f) Basel entry B2050 does not apply and (OECD) entry GG040 in Par t II applies 
instead.  
(g) For waste shipped within the Union, Basel entry B3011 does not apply and the 
following entry applies instead:  
EU3011  Plastic waste (note the related entry AC300 in part II of Annex IV, and the 
related entry EU48 in part I of Annex IV ): 
 Plastic waste listed below, provided it is almost free from contamination 
and other types of waste s3 and destined for recycling:  
— Plastic waste almost exclusively4 consisting of one non -halogenated 
polymer, including but not limited to the following polymers:  
— Polyethylene (PE)  
                                                 
1 Annex IX to the Basel Convention is listed in this Regulation in Annex V, Part 1, List B.  
2 “Non -dispe rsible” does not include any wastes in the form of powder, sludge, dust or solid items 
containing encased hazardous waste liquids.  
3 In relation to ‘almost free from contamination and other types of wastes’, international and national 
specifications may of fer a point of reference.  
4 In relation to ‘almost exclusively’, international and national specifications may offer a point of 
reference.    
EN 21  EN — Polypropylene (PP)  
— Polystyrene (PS)  
— Acrylonitrile butadiene styrene (ABS)  
— Polyethylene terephthalate (PET)  
— Polycarbonates (PC)  
— Polyethers  
 
— Plastic waste almost exclusively1 consisting of one cured resin or 
condensation product, including but not limited to the following resins:  
— Urea formaldehyde resins  
— Phenol formaldehyde resins  
— Melamine formaldehyde resins  
— Epoxy resins  
— Alkyd resins  
 
— Plastic waste almost ex clusively1 consisting of one of the following 
fluorinated polymers2:  
— Perfluoroethylene/propylene (FEP)  
— Perfluoroalkoxy alkanes:  
— Tetrafluoroethylene/perfluoroalkyl vinyl ether (PFA)  
— Tetrafluoroethylene/perfluoromethyl vinyl ether (MFA)  
— Polyvi nylfluoride (PVF)  
— Polyvinylidenefluoride (PVDF)  
— Polytetrafluoroethylene (PTFE)  
— Polyvinyl chloride (PVC).  
 
Part  II: 
Metal bearing wastes arising from melting, smelting and refining of metals  
GB040  7112  
262030  
26209 1 Slags from precious metals and copper processing for further 
refining  
 
Other wastes containing metals  
GC010   Electrical assemblies consisting only of metals or alloys  
GC020   Electronic scrap (e.g. printed circuit boards, electronic 
components, wire, etc.) and reclaimed electronic components 
suitable for base and precious metal recovery  
                                                 
1 In relation to ‘almost exclusively’, international and national specifications may offer a point of 
reference.  
2 Post consumer wastes are excluded   
EN 22  EN GC030  ex 890800  Vessels and other floating structures for breaking up, properly 
emptied of any cargo and other materials arising from the 
operation of the vessel which may have been classified as a 
dangerous substance or waste1 
GC050   Spent Fluid Catalytic Cracking (FCC) Catalysts (e.g.: aluminium 
oxide, zeolites)  
 
Glass waste in non -dispersible form  
GE020  ex 7001  
ex 701939  Glass Fibre Waste  
 
Ceramic wastes in non -dispersible form  
GF010   Ceramic wastes which have been fired after shaping, including 
ceramic vessels (before and/or after use)  
 
Other wastes containing principally inorganic constituents, which may contain metals and organic 
materials  
GG030  ex 2621  Bottom ash and slag tap from coal fir ed power plants  
GG040  ex 2621  Coal fired power plants fly ash  
 
Wastes arising from tanning and fellmongery operations and leather use  
GN010  ex 0502  Waste of pigs’, hogs’ or boars’ bristles and hair or of badger hair 
and other brush making hair  
GN020  ex 051199  Horsehair waste, whether or not put up as a layer with or without 
supporting material  
GN030  ex 050590  Waste of skins and other parts of birds, with their feathers or 
down, of feathers and parts of feathers (whether or not with 
trimmed edges) and down, not further worked than cleaned, 
disinfected or treated for preservation  
                                                 
1 The term “properly emptied” is understood as presuming full compliance with internationally 
recognised rules and guidelines on ship recycling.   
EN 23  EN ANNEX IIIA  
MIXTURES OF TWO OR MORE WASTES LISTED IN ANNEX III AND NOT CLASSIFIED 
UNDER ONE SINGLE ENTRY AS REFERRED TO IN ARTICLE 4(2)  
1. Regardless of whether or not mixtures are included on this list, they may not be 
subject to the general information requirements laid down in Article 18 if they are 
contaminated by other materials to an extent which:  
(a) increases the risks associated with th e wastes sufficiently to render them 
appropriate for submission to the procedure of prior written notification and 
consent, when taking into account the hazardous characteristics listed in Annex 
III to Directive 2008/98/EC; or  
(b) prevents the recovery of the  wastes in an environmentally sound manner.  
 
2. The following mixtures of wastes are included in this Annex:  
(a) mixtures of wastes classified under Basel entries B1010 and B1050;  
(b) mixtures of wastes classified under Basel entries B1010 and B1070;  
(c) mixtures of wastes classified under Basel entries B3040 and B3080;  
(d) mixtures of wastes classified under (OECD) entry GB040 and under Basel 
entry B1100 restricted to hard zinc spelter, zinc -containing drosses, aluminium 
skimmings (or skims) excluding salt s lag and wastes of refractory linings, 
including crucibles, originating from copper smelting;  
(e) mixtures of wastes classified under (OECD) entry GB040, under Basel entry 
B1070 and under Basel entry B1100 restricted to wastes of refractory linings, 
including crucibles, originating from copper smelting.  
The entries referred to in points (d) and (e) shall not apply for exports to countries to which 
the OECD Decision does not apply.  
 
3. The following mixtures of wastes classified under separate indents or sub - indents of 
one single entry are included in this Annex:  
(a) mixtures of wastes classified under Basel entry B1010;  
(b) mixtures of wastes classified under Basel entry B2010;  
(c) mixtures of wastes classified under Basel entry B2030;  
(d) mixtures of wastes classified under Basel entry B3020 restricted to unbleached 
paper or paperboard or of corrugated paper or paperboard, other paper or 
paperboard, made mainly of bleached chemical pulp, not colou red in the mass, 
paper or paperboard made mainly of mechanical pulp (for example, 
newspapers, journals and similar printed matter);  
(e) mixtures of wastes classified under Basel entry B3030;  
(f) mixtures of wastes classified under Basel entry B3040;  
(g) mixtures of wa stes classified under Basel entry B3050.  
  
EN 24  EN 4. The following mixtures of wastes classified under separate indents or sub - indents of 
one single entry are included in this Annex only for the purposes of shipments 
destined for recycling within the Union:  
(a) mixtures  of wastes classified under entry EU3011 and listed under the indent 
referring to non -halogenated polymers;  
(b) mixtures of wastes classified under entry EU3011 and listed under the indent 
referring to cured resins or condensation products;  
(c) mixtures of wastes classified under entry EU3011 and listed under 
‘perfluoroalkoxy alkanes’.  
 
   
EN 25  EN ANNEX IIIB  
ADDITIONAL GREEN LISTED WASTE  
 
1. Regardless of whether or not wastes are included on this list, they may not be subject 
to the general information requirements laid down in Article 18 if they are 
contaminated by other materials to an extent which:  
(a) increases the risks associated with the wastes sufficiently to render them 
appropriate for submission to the procedure of prior written notification and 
consent, when taking into account the hazardous characteristics listed in Annex 
III to Directive 2008/98/EC of the European Parliament and of t he Council1); 
or  
(b) prevents the recovery of the wastes in an environmentally sound manner.  
 
2. The following wastes are included in this Annex:  
 
BEU04  Composite packaging consisting of mainly paper and some plastic, not containing 
residues and not covered by Basel entry B3020  
 
BEU05  Clean biodegradable waste from agriculture, horticulture, forestry, gardens, parks 
and cemeteries  
 
 
3. The shipments of waste listed in this Annex are without prejudice to the provisions 
of Regulation (EU) 2016/2031.  
  
                                                 
1 OJ L 312, 22.11.2008, p. 3.   
EN 26  EN ANNEX IV  
LIST OF WASTES SUBJECT TO THE PROCEDURE OF PRIOR WRITTEN 
NOTIFICATION AND CONSENT (‘AMBER’ LISTED WASTE)1  
 
Part I  
 
The following wastes will be subject to the procedure of prior written notification and 
consent:  
 
Wastes listed in Annexes II and VIII to the Basel Convention2.  
 
For the purposes of this Regulation:  
(a) Any reference to list B in Annex IX to the Basel Conve ntion shall be 
understood as a reference to Annex III to this Regulation.  
(b) In Basel entry A1010, the term ‘excluding such wastes specifically listed on 
List B (Annex IX)’ is a reference both to Basel entry B1020 and the note on 
B1020 in Annex III to this R egulation, Part I(b).  
(c) Basel entries A1180 and A2060 do not apply and OECD entries GC010, 
GC020 and GG040 in Annex III, Part II apply instead when appropriate.  
(d) Basel entry A4050 includes spent potlinings from aluminium smelting because 
they contain Y33 in organic cyanides. If the cyanides have been destroyed, 
spent potlinings are assigned to Part II entry AB120 because they contain Y32, 
inorganic fluorine compounds excluding calcium fluoride.  
(e) Basel entry A3210 does not apply and entry AC300 in part II applies instead.  
(f)  For waste shipped within the Union, Basel entry Y48 does not apply and the 
following entry applies instead:  
 
EU48  Plastic waste not covered by entry AC300 in part II or by entry 
EU3011 in part I of Annex III, as well as mixtures of plasti c waste 
not covered by point 4 of Annex IIIA.  
 
 
 
  
                                                 
1 This list originates from the OECD Decision, Appendix 4.  
2 Annex VIII to the Basel Convention is listed in this Regulation in Annex V, Part 1, List A. Annex II to the Basel Convention contains the following 
entries: Y46 Waste collected from households unless appropriately classified under a single en try in Annex III. Y47 Residues arising from the 
incineration of household wastes.   
EN 27  EN Part  II: 
The following wastes will also be subject to the procedure of written notification and consent:  
Metal bearing wastes  
AA010  261900  Dross, scalings and other wastes from the manufacture of iron 
and steel1  
AA060  ex 2620 99 Vanadium ashes and residues1 
AA190  810420  
ex 810430  Magnesium waste and scrap that is flammable, pyrophoric or 
emits, upon contact with water, flammable gases in dangerous 
quantities  
 
Wastes containing principally inorganic constituents, which may contain metals and organic 
materials  
AB030   Wastes from non -cyanide based systems which arise from 
surface treatment of metals  
AB070   Sands used in foundry operations  
AB120  ex 281290  
ex 3824  Inorganic halide compounds, not elsewhere specified or included  
AB130   Used blasting grit  
AB150  ex 3824 99 Unrefined calcium sulphite and calcium sulphate from flue gas 
desulphurisation (FGD)  
 
Wastes containing principally organic constituents, which may contain metals and inorganic 
materials  
AC020   Bituminous materials (asphalt waste) not elsewhere specified or 
included  
AC060  ex 381900  Hydraulic fluids  
AC070  ex 381900  Brake fluids  
AC080  ex 382000  Antifreeze fluids  
AC150   Chlorofluorocarbons  
AC160   Halons  
                                                 
1 This listing includes wastes in the form of ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake, unle ss a 
material is expressly listed elsewhere.   
EN 28  EN AC170  ex 44031 1 
ex 440312  Treated cork and wood wastes  
AC250   Surface active agents (surfactants)  
AC260  ex 3101  Liquid pig manure; faeces  
AC270   Sewage sludge  
AC300   Plastic waste, including mixtures of such wastes, containing or 
contaminated with Annex I constituents, to an extent that it 
exhibits an Annex III characteristic (note the related entry 
EU3011 in part I of Annex III, and the related entry EU48 in part 
I) 
 
Wastes which may contain either inorganic or organic constituents  
AD090  ex 38249 9 Wastes from productio n, formulation and use of reprographic 
and photographic chemicals and materials not elsewhere 
specified or included  
AD100   Wastes from non -cyanide based systems which arise from 
surface treatment of plastics  
AD120  ex 391400 
ex 3915  Ion exchange resins  
AD150   Naturally occurring organic material used as a filter medium 
(such as bio -filters)  
 
Wastes Containing Principally Inorganic Constituents, Which May Contain Metals and 
Organic Materials  
RB020  ex 6815  Ceramic based fibres of physico -chemical characteristics similar 
to those of asbestos   
EN 29  EN ANNEX V  
WASTE LISTS FOR THE PURPOSE OF  ARTICLE 36  
Introductory notes  
1. This Annex applies without prejudice to Directive 2008/98/EC.  
2. This Annex consists of two parts. Article 36 further  refers to the list of waste as 
referred to in Article 7 of Directive 2008/98/EC. For the purposes of this Regulation 
and to determine whether a specific waste is listed as referred to in Art. 36 of this 
Regulation, the list of waste as referred to in Arti cle 7 of Directive 2008/98/EC 
applies only when Part 1 of this Annex is not applicable. If a waste is not listed in 
Part 1 of this Annex or in the list of waste as referred to in Article 7 of Directive 
2008/98/EC , only then it should be checked if it is l isted in Part 2 of this Annex.  
Part 1 of this Annex is divided into two sub -sections: List A lists wastes which are 
classified as hazardous by Article 1(1)(a) of the Basel Convention, and therefore 
covered by the export prohibition, and List B lists wastes  which are not covered by 
Article 1(1)(a) of the Basel Convention, and therefore not covered by the export 
prohibition.  
Thus, if a waste is listed in Part 1, a check must be made to ascertain whether it is 
listed in List A or in List B. Only if a waste is not listed in either List A or List B of 
Part 1, must a check be made to ascertain whether it is listed either among the 
hazardous waste listed in the list of waste as referred to in Article 7 of Directive 
2008/98/EC (i.e. types of waste marked with an ast erisk) or in Part 2 of this Annex, 
and if this is the case, it is covered by the export prohibition.  
3. Wastes listed in List B of Part 1 or which are among the non -hazardous waste listed 
in the list of waste as referred to in Article 7 of Directive 2008/98/E C (i.e. wastes not 
marked with an asterisk) are covered by the export prohibition if they are 
contaminated by other materials to an extent which  
(a) increases the risks associated with the waste sufficiently to render it 
appropriate for submission to the procedure of prior written notification and 
consent, when taking into account the hazardous characteristics listed in Annex 
III to Directive 2008/98/EC; or  
(b) prevents the recovery of the waste in an environmentally sound manner. 
EN 30  EN Part 11 
List A (Annex VIII to the Basel Convention)  
A1 Metal and metal bearing wastes  
A1010  Metal wastes and waste consisting of alloys of any of the following:  
– Antimony  
– Arsenic  
– Beryllium  
– Cadmium  
– Lead  
– Mercury  
– Selenium  
– Tellurium  
– Thallium  
but excluding such  wastes specifically listed on list B.  
A1020  Waste having as constituents or contaminants, excluding metal waste in massive 
form, any of the following:  
– Antimony; antimony compounds  
– Beryllium; beryllium compounds  
– Cadmium; cadmium compounds  
– Lead; lead compou nds 
– Selenium; selenium compounds  
– Tellurium; tellurium compounds  
A1030  Wastes having as constituents or contaminants any of the following:  
– Arsenic; arsenic compounds  
– Mercury; mercury compounds  
– Thallium; thallium compounds  
A1040  Wastes having as constituents  any of the following:  
– Metal carbonyls  
– Hexavalent chromium compounds  
A1050  Galvanic sludges  
A1060  Waste liquors from the pickling of metals  
A1070  Leaching residues from zinc processing, dust and sludges such as jarosite, hematite, 
etc. 
                                                 
1 References in Lists A and B to Annexes I, III and IV refer to Annexes of the Basel Convention   
EN 31  EN A1080  Waste zinc res idues not included on list B, containing lead and cadmium in 
concentrations sufficient to exhibit Annex III characteristics  
A1090  Ashes from the incineration of insulated copper wire  
A1100  Dusts and residues from gas cleaning systems of copper smelters  
A1110 Spent electrolytic solutions from copper electrorefining and electrowinning 
operations  
A1120  Waste sludges, excluding anode slimes, from electrolyte purification systems in 
copper electrorefining and electrowinning operations  
A1130  Spent etching solutio ns containing dissolved copper  
A1140  Waste cupric chloride and copper cyanide catalysts  
A1150  Precious metal ash from incineration of printed circuit boards not included on list B1 
A1160  Waste lead -acid batteries, whole or crushed  
A1170  Unsorted waste batteries excluding mixtures of only list B batteries. Waste batteries 
not specified on list B containing Annex 1 constituents to an extent to render them 
hazardous.  
A1180  Waste electrical and electronic assemblies or scrap2 containing components such as 
accumulators and other batteries included on list A, mercury -switches, glass from 
cathode -ray tubes and other activated glass and PCB -capacitors, or contaminated 
with Annex I constituents (e.g. cadmium, mercury, lead, polychlorinated biphenyl) to 
an extent that they possess any of the characteristics contained in Annex III (note the 
related entry on list B, B1110)3 
A1190 Waste metal cables coated or insulated with plastics containing or contaminated with 
coal tar, PCB4, lead, cadmium, other organohalogen compounds or other Annex I 
constituents, to the extent that they exhibit Annex III characteristics  
 
A2 Wastes containing principally inorganic constituents, which may contain metals 
and organic materials  
A2010  Glass waste from cathode -ray tubes and other activated glasses  
A2020  Waste inorganic fluorine compounds in the form of liquids or sludges but excluding 
such wastes specified on list B  
A2030  Waste catalysts but excluding such wastes specified on list B  
A2040  Waste gypsum arising from chemical industry  processes, when containing Annex I 
constituents to the extent that it exhibits an Annex III hazardous characteristic (note 
the related entry on list B, B2080)  
A2050  Waste asbestos (dusts and fibres)  
A2060  Coal -fired power plant fly -ash containing Annex I substances in concentrations 
sufficient to exhibit Annex III characteristics (note the related entry on list B, B2050)  
                                                 
1 Note that mirror entry on list B (B1160) does not specify exceptions.  
2 This entry does not include scrap assemblies from electric power generation.  
3 PCBs are at a concentration level of 50 mg/kg or more.  
4 PCBs are at a concentration level of 50 mg/kg or more.   
EN 32  EN  
 
A3 Wastes containing principally organic constituents, which may contain metals 
and inorganic materials  
A3010  Waste from the production or processing of petroleum coke and bitumen  
A3020  Waste mineral oils unfit for their originally intended use  
A3030  Wastes that contain, consist of or are contaminated with leaded anti -knock 
compound sludges  
A3040  Waste thermal (heat transfer) fl uids 
A3050  Wastes from production, formulation and use of resins, latex, plasticizers, 
glues/adhesives excluding such wastes specified on list B (note the related entry on 
list B, B4020)  
A3060  Waste nitrocellulose  
A3070  Waste phenols, phenol compounds incl uding chlorophenol in the form of liquids or 
sludges  
A3080  Waste ethers not including those specified on list B  
A3090  Waste leather dust, ash, sludges and flours when containing hexavalent chromium 
compounds or biocides (note the related entry on list B, B 3100)  
A3100  Waste paring and other waste of leather or of composition leather not suitable for the 
manufacture of leather articles containing hexavalent chromium compounds or 
biocides (note the related entry on list B, B3090)  
A3110  Fellmongery wastes conta ining hexavalent chromium compounds or biocides or 
infectious substances (note the related entry on list B, B3110)  
A3120  Fluff - light fraction from shredding  
A3130  Waste organic phosphorous compounds  
A3140  Waste non -halogenated organic solvents but exclu ding such wastes specified on list 
B 
A3150  Waste halogenated organic solvents  
A3160  Waste halogenated or unhalogenated non -aqueous distillation residues arising from 
organic solvent recovery operations  
A3170  Wastes arising from the production of aliphatic halogenated hydrocarbons (such as 
chloromethane, dichloro -ethane, vinyl chloride, vinylidene chloride, allyl chloride 
and epichlorhydrin)  
A3180  Wastes, substances and articles containing, consisting of or contaminated with 
polychlorinated biphenyl (PCB), polychlorinated terphenyl (PCT), polychlorinated 
naphthalene (PCN) or polybrominated biphenyl (PBB), or any other polybrominated 
analogues of these compounds, at a con centration level of 50 mg/kg or more1 
                                                 
1 The 50 mg/kg level is considered to be an internationally practical level for all wastes. However, many 
individual countries have established lower reg ulatory levels (e.g. 20 mg/kg) for specific wastes.   
EN 33  EN A3190  Waste tarry residues (excluding asphalt cements) arising from refining, distillation 
and any pyrolitic treatment of organic materials  
A3200 Bituminous material (asphalt waste) from road construction and maintenance, 
containing tar (note the related entry on list B B2130)  
A3210 Plastic waste, inc luding mixtures of such waste, containing or contaminated with 
Annex I constituents, to an extent that it exhibits an Annex III characteristic (note the 
related entry B3011, in list B of this Part, an d entry Y48, in list A of Part 2 ) 
 
A4 Wastes which may contain either inorganic or organic constituents  
A4010  Wastes from the production, preparation and use of pharmaceutical products but 
excluding such wastes specified on list B  
A4020  Clinical and related wastes; that is wastes arising from medical, nursing , dental, 
veterinary, or similar practices, and wastes generated in hospitals or other facilities 
during the investigation or treatment of patients, or research projects  
A4030  Wastes from the production, formulation and use of biocides and 
phytopharmaceuti cals, including waste pesticides and herbicides that are off -
specification, out -dated 1, or unfit for their originally intended use  
A4040  Wastes from the manufacture, formulation and use of wood -preserving chemicals 2 
A4050  Wastes that contain, consist of or are contaminated with any of the following:  
– Inorganic cyanides, excepting precious -metal -bearing residues in solid form 
containing traces of inorganic cyanides  
– Organic cyanides  
A4060  Waste oils/water, hydrocarbons/water mixtures, emulsions  
A4070  Wastes from the production, formulation and use of inks, dyes, pigments, paints, 
lacquers, varnish excluding any such waste specified on list B (note the related entry 
on list B, B4010)  
A4080  Wastes of an explosive nature (but excluding such wastes specified on l ist B)  
A4090  Waste acidic or basic solutions, other than those specified in the corresponding entry 
on list B (note the related entry on list B, B2120)  
A4100  Wastes from industrial pollution control devices for cleaning of industrial off -gases 
but excluding such wastes specified on list B  
A4110  Wastes that contain, consist of or are contaminated with any of the following:  
– any congenor of polychlorinated dibenzo -furan  
– any congenor of polychlorinated dibenzo -dioxin  
A4120  Wastes that contain, consist o f or are contaminated with peroxides  
A4130  Waste packages and containers containing Annex I substances in concentrations 
sufficient to exhibit Annex III hazard characteristics  
                                                 
1 ”Out -dated” means unused within the period recommended by the manufacturer.  
2 This entry does not include wood treated with wood -preserving chemicals.   
EN 34  EN A4140  Waste consisting of or containing off -specification or out -dated1 chemicals 
corresponding to Annex I categories and exhibiting Annex III hazard characteristics  
A4150  Waste chemical substances arising from research and development or teaching 
activities which are not identified and/or are new and whose effects on human h ealth 
and/or the environment are not known  
A4160  Spent activated carbon not included on list B (note the related entry on list B, B2060)  
 
 
List B (Annex IX to the Basel Convention)  
B1 Metal and metal bearing wastes  
B1010  Metal and metal -alloy wastes in me tallic, non -dispersible form:  
– Precious metals (gold, silver, the platinum group, but not mercury)  
– Iron and steel scrap  
– Copper scrap  
– Nickel scrap  
– Aluminium scrap  
– Zinc scrap  
– Tin scrap  
– Tungsten scrap  
– Molybdenum scrap  
– Tantalum scrap  
– Magnesium scrap  
– Cobalt scrap  
– Bismuth scrap  
– Titanium scrap  
– Zirconium scrap  
– Manganese scrap  
– Germanium scrap  
– Vanadium scrap  
– Scrap of Hafnium, Indium, Niobium, Rhenium and Gallium  
– Thorium scrap  
– Rare earths scrap  
– Chromium scrap  
B1020  Clean, uncontaminated metal scrap, including alloy s, in bulk finished form (sheet, 
plate, beams, rods, etc):  
                                                 
1 “Out -dated” means unused within the period recomm ended by the manufacturer.   
EN 35  EN – Antimony scrap  
– Beryllium scrap  
– Cadmium scrap  
– Lead scrap (but excluding lead -acid batteries)  
– Selenium scrap  
– Tellurium scrap  
B1030  Refractory metals containing residues  
B1031 Molybdenum, tungsten, t itanium, tantalum, niobium and rhenium metal and metal 
alloy wastes in metallic dispersible form (metal powder), excluding such wastes as 
specified in list A under entry A1050, Galvanic sludges.  
B1040  Scrap assemblies from electrical power generation not c ontaminated with lubricating 
oil, PCB or PCT to an extent to render them hazardous  
B1050  Mixed non -ferrous metal, heavy fraction scrap, not containing Annex I materials in 
concentrations sufficient to exhibit Annex III characteristics1 
B1060  Waste Selenium  and Tellurium in metallic elemental form including powder  
B1070  Waste of copper and copper alloys in dispersible form, unless they contain Annex I 
constituents to an extent that they exhibit Annex III characteristics  
B1080  Zinc ash and residues including zinc alloys residues in dispersible form unless 
containing Annex I constituents in concentration such as to exhibit Annex III 
characteristics or exhibiting hazard characteristic H4.32 
B1090  Waste batteries conforming to a specification, excluding those mad e with lead, 
cadmium or mercury  
B1100  Metal -bearing wastes arising from melting, smelting and refining of metals:  
– Hard zinc spelter  
– Zinc-containing drosses:  
– Galvanizing slab zinc top dross (>90 % Zn)  
– Galvanizing slab zinc bottom dross (>92 % Zn)  
– Zinc die casting dross (>85 % Zn)  
– Hot dip galvanizers slab zinc dross (batch) (>92 % Zn)  
– Zinc skimmings  
– Aluminium skimmings (or skims) excluding salt slag  
– Slags from copper processing for further processing or refining not containing 
arsenic, lead or cad mium to an extent that they exhibit Annex III hazard 
characteristics  
                                                 
1 Note that even where low level contamination with Annex I materials initially exists, subsequent 
processes, including recycling processes, may result in separated fractions containing significantly 
enhanced concentrations of th ose Annex I materials.  
2 The status of zinc ash is currently under review and there is a recommendation with United Nations 
Conference on Trade and Development (UNCTAD) that zinc ashes should not be dangerous goods.   
EN 36  EN – Wastes of refractory linings, including crucibles, originating from copper 
smelting  
– Slags from precious metals processing for further refining  
– Tantalum bearing tin slags with less than 0. 5 % tin  
B1110  Electrical and electronic assemblies:  
– Electronic assemblies consisting only of metals or alloys  
– Waste electrical and electronic assemblies or scrap1 (including printed circuit 
boards) not containing components such as accumulators and other batteries 
included on list A, mercury -switches, glass from cathode -ray tubes and other 
activated glass and PCB -capacitors, or not contaminated with Annex I 
constituents (e.g. cadmium, mercury, lead, polychlorinated biphenyl) or from 
which these have been r emoved, to an extent that they do not possess any of 
the characteristics contained in Annex III (note the related entry on list A, 
A1180)  
– Electrical and electronic assemblies (including printed circuit boards, 
electronic components and wires) destined for direct re -use2 and not for 
recycling or final disposal3 
B1115 Waste metal cables coated or insulated with plastics, not included in entry A 1190, 
excluding those destined for Annex IVA operations or any other disposal operations 
involving, at any stage, unc ontrolled thermal processes, such as open -burning  
B1120  Spent catalysts excluding liquids used as catalysts, containing any of:  
– Transition Metals, excluding waste 
catalysts (spent catalysts, liquid  
used catalysts or other catalysts)  
on list A  Scandium  
Vanadium  
Manganese  
Cobalt  
Copper  
Yttrium  
Niobium  
Hafnium  
Tungsten  Titanium  
Chromium  
Iron 
Nickel  
Zinc 
Zirconium  
Molybdenum  
Tantalum  
Rhenium  
– Lanthanides (rare earth metals):  Lanthanum  
Praseodymium  
Samarium  
Gadolinium  
Dysprosium  
Erbium  
Ytterbium  Cerium  
Neodymium  
Europium  
Terbium  
Holmium  
Thulium  
Lutetium  
B1130  Cleaned spent precious -metal -bearing catalysts  
B1140  Precious -metal -bearing residues in solid form, which  contain traces of inorganic 
cyanides  
                                                 
1 This entry does not include scrap from  electrical power generation.  
2 Re-use can include repair, refurbishment or upgrading, but not major reassembly.  
3 In some countries, these materials destined for direct re -use are not considered wastes.   
EN 37  EN B1150  Precious metals and alloy wastes (gold, silver, the  platinum group, but not mercury) 
in a dispersible, non -liquid form with appropriate packaging and labeling  
B1160  Precious -metal ash from the incineration of printed circuit boards (note the related 
entry on list A, A1150)  
B1170  Precious -metal ash from th e incineration of photographic film  
B1180  Waste photographic film containing silver halides and metallic silver  
B1190  Waste photographic paper containing silver halides and metallic silver  
B1200  Granulated slag arising from the manufacture of iron and stee l 
B1210  Slag arising from the manufacture of iron and steel including slags as a source of 
TiO² and Vanadium  
B1220  Slag from zinc production, chemically stabilized, having a high iron content (above 
20%) and processed according to industrial specifications  (e.g. DIN 4301) mainly for 
construction  
B1230  Mill scaling arising from the manufacture of iron and steel  
B1240  Copper oxide mill -scale  
B1250 Waste end -of-life motor vehicles, containing neither liquids nor other hazardous 
components  
 
B2 Wastes containin g principally inorganic constituents, which may contain metals 
and organic materials  
B2010  Wastes from mining operations in non -dispersible form:  
– Natural graphite waste  
– Slate waste, whether or not roughly trimmed or merely cut, by sawing or 
otherwise  
– Mica  waste  
– Leucite, nepheline and nepheline syenite waste  
– Feldspar waste  
– Fluorspar waste  
– Silica wastes in solid form excluding those used in foundry operations  
B2020  Glass waste in non -dispersible form:  
– Cullet and other waste and scrap of glass except for glass from cathode -ray 
tubes and other activated glasses  
B2030  Ceramic wastes in non -dispersible form:  
– Cermet wastes and scrap (metal ceramic composites)  
– Ceramic based fibres not elsewhere specified or included  
B2040  Other wastes containing principally ino rganic constituents:  
– Partially refined calcium sulphate produced from flue -gas desulphurization 
(FGD)   
EN 38  EN – Waste gypsum wallboard or plasterboard arising from the demolition of 
buildings  
– Slag from copper production, chemically stabilized, having a high iron con tent 
(above 20%) and processed according to industrial specifications (e.g. DIN 
4301 and DIN 8201) mainly for construction and abrasive applications  
– Sulphur in solid form  
– Limestone from the production of calcium cyanamide (having a pH less than 9)  
– Sodium, potassium, calcium chlorides  
– Carborundum (silicon carbide)  
– Broken concrete  
– Lithium -Tantalum and Lithium -Niobium containing glass scraps  
B2050  Coal -fired power plant fly -ash, not included on list A (note the related entry on list 
A, A2060)  
B2060  Spent activated carbon resulting from the treatment of potable water and processes of 
the food industry and vitamin production (note the related entry on list A, A4160)  
B2070  Calcium fluoride sludge  
B2080  Waste gypsum arising from chemical industry processes not  included on list A (note 
the related entry on list A, A2040)  
B2090  Waste anode butts from steel or aluminium production made of petroleum coke or 
bitumen and cleaned to normal industry specifications (excluding anode butts from 
chlor alkali electrolyses a nd from metallurgical industry)  
B2100  Waste hydrates of aluminium and waste alumina and residues from alumina 
production excluding such materials used for gas cleaning, flocculation or filtration 
processes  
B2110  Bauxite residue ("red mud") (pH moderated to  less than 11.5)  
B2120  Waste acidic or basic solutions with a pH greater than 2 and less than 11.5, which are 
not corrosive or otherwise hazardous (note the related entry on list A, A4090)  
 
B3 Wastes containing principally organic constituents, which may contain metals 
and inorganic materials  
B3011 Plastic waste (note the related entry A3210, in list A of this Part, and entry Y48, in list 
A of Part 2) 
– Plastic waste listed below, provided it is destined for recycling1 in an 
environmentally sound manner and  almost free from contamination and other 
types of wastes2: 
                                                 
1 Recycling/reclamation of organic substances that a re not used as solvents (R3 in Annex IV, sect. B) or, 
if needed, temporary storage limited to one instance, provided that it is followed by operation R3 and 
evidenced by contractual or relevant official documentation.  
2 In relation to ‘almost free from contamination and other types of wastes’, international and national 
specifications may offer a point of reference.   
EN 39  EN – Plastic waste almost exclusively1 consisting of one non -halogenated polymer, 
including but not limited to the following polymers:  
– Polyethylene (PE)  
– Polypropylene (PP)  
– Polystyrene (PS)  
– Acrylonitrile butadiene styrene (ABS)  
– Polyethylene terephthalate (PET)  
– Polycarbonates (PC)  
– Polyethers  
– Plastic waste almost exclusively consisting of one cured resin or condensation 
product, including but not limited to the following resins:  
– Urea formaldehy de resins  
– Phenol formaldehyde resins  
– Melamine formaldehyde resins  
– Epoxy resins  
– Alkyd resins  
– Plastic waste almost exclusively consisting of one of the following fluorinated 
polymers2:  
– Perfluoroethylene/propylene (FEP)  
– Perfluoroalkoxy alkanes:  
– Tetrafluoroethylene/perfluoroalkyl vinyl ether (PFA)  
– Tetrafluoroethylene/perfluoromethyl vinyl ether (MFA)  
– Polyvinylfluoride (PVF)  
– Polyvinylidenefluoride (PVDF)  
– Mixtures of plastic waste, consisting of polyethylene (PE), polypropylene (PP) 
and/or polyethyl ene terephthalate (PET), provided they are destined for 
separate recycling3 of each material and in an environmentally sound manner, 
and almost free from contamination and other types of wastes.  
  
B3020  Paper, paperboard and paper product wastes  
The follow ing materials, provided they are not mixed with hazardous wastes:  
Waste and scrap of paper or paperboard of:  
– unbleached paper or paperboard or of corrugated paper or paperboard  
                                                 
1 In relation to ‘almost exclusively’ , international and national specifications may offer a point of 
reference.  
2 Post-consumer wastes are excluded.  
3 Recycling/reclamation of organic substances that are not used as solvents (R3 in Annex IV, sect. B), 
with prior sorting and, if needed, temporary storage limited to one instance, provided that it is followed 
by operation R3 and evidenced by con tractual or relevant official documentation.   
EN 40  EN – other paper or paperboard, made mainly of bleached chemical pulp, not 
coloured in the mass  
– paper or paperboard made mainly of mechanical pulp (for example, 
newspapers, journals and similar printed matter)  
– other, including but not limited to  
1) laminated paperboard;  
2) unsorted scrap  
 
B3026 The following waste from the pre -treatmen t of composite packaging for liquids, not 
containing Annex I materials in concentrations sufficient to exhibit Annex III 
characteristics:  
– Non-separable plastic fraction  
– Non-separable plastic -aluminium fraction  
 
B3027 Self -adhesive label laminate waste cont aining raw materials used in label material 
production  
B3030  Textile wastes  
The following materials, provided they are not mixed with other wastes and are 
prepared to a specification:  
– Silk waste (including cocoons unsuitable for reeling, yarn waste and garnetted 
stock)  
– not carded or combed  
– other  
– Waste of wool or of fine or coarse animal hair, including yarn waste but 
excluding garnetted stock  
– noils of wool or of fine animal hair  
– other waste of wool or of fine animal hair  
– waste of coarse animal hair  
– Cotton waste (including yarn waste and garnetted stock)  
– yarn waste (including thread waste)  
– garnetted stock  
– other  
– Flax tow and waste  
– Tow and waste (including yarn waste and garnetted stock) o f true hemp 
(Cannabis sativa L.)  
– Tow and waste (including yarn waste and garnetted stock) of jute and other 
textile bast fibres (excluding flax, true hemp and ramie)  
– Tow and waste (including yarn waste and garnetted stock) of sisal and other 
textile fibres  of the genus Agave   
EN 41  EN – Tow, noils and waste (including yarn waste and garnetted stock) of coconut  
– Tow, noils and waste (including yarn waste and garnetted stock) of abaca 
(Manila hemp or Musa textilis Nee)  
– Tow, noils and waste (including yarn waste and garnetted stock) of ramie and 
other vegetable textile fibres, not elsewhere specified or included  
– Waste (including noils, yarn waste and garnetted stock) of man -made fibres  
– of synthetic fibres  
– of artificial fibres  
– Worn clothing and other worn textile arti cles 
– Used rags, scrap twine, cordage, rope and cables and worn out articles of 
twine, cordage, rope or cables of textile  
– sorted  
– other  
B3035 Waste textile floor coverings, carpets  
B3040  Rubber wastes  
The following materials, provided they are not mixed with other wastes:  
– Waste and scrap of hard rubber (e.g. ebonite)  
– Other rubber wastes (excluding such wastes specified elsewhere)  
B3050  Untreated cork and wood waste:  
– Wood waste and scrap, whether or not agglomerated in logs, briquettes, pellets 
or similar  forms  
– Cork waste: crushed, granulated or ground cork  
B3060  Wastes arising from agro -food industries provided it is not infectious:  
– Wine lees  
– Dried and sterilized vegetable waste, residues and byproducts, whether or not 
in the form of pellets, or a kind u sed in animal feeding, not elsewhere specified 
or included  
– Degras; residues resulting from the treatment of fatty substances or animal or 
vegetable waxes  
– Waste of bones and horn -cores, unworked, defatted, simply prepared (but not 
cut to shape), treated wit h acid or degelatinised  
– Fish waste  
– Cocoa shells, husks, skins and other cocoa waste  
– Other wastes from the agro -food industry excluding by -products which meet 
national and international requirements and standards for human or animal 
consumption  
B3065 Waste edible fats and oils of animal or vegetable origin (e.g. frying oils), provided 
they do not exhibit an Annex III characteristic  
B3070  The following wastes:   
EN 42  EN – Waste of human hair  
– Waste straw  
– Deactivated fungus mycelium from penicillin production to be used as animal 
feed 
B3080  Waste parings and scrap of rubber  
B3090  Paring and other wastes of leather or of composition leather not suitable for the 
manufacture of leather articles, excluding leather sludges, not containing hexavalent 
chromium compounds and bioc ides (note the related entry on list A, A3100)  
B3100  Leather dust, ash, sludges or flours not containing hexavalent chromium compounds 
or biocides (note the related entry on list A, A3090)  
B3110  Fellmongery wastes not containing hexavalent chromium compounds or biocides or 
infectious substances (note the related entry on list A, A3110)  
B3120  Wastes consisting of food dyes  
B3130  Waste polymer ethers and waste non -hazardous monomer ethers incapable of 
forming peroxides  
B3140  Waste pneumatic tyres, excl uding those destined for Annex IVA operations  
 
B4 Wastes which may contain either inorganic or organic constituents  
B4010  Wastes consisting mainly of water -based/latex paints, inks and hardened varnishes 
not containing organic solvents, heavy metals or bi ocides to an extent to render them 
hazardous (note the related entry on list A, A4070)  
B4020  Wastes from production, formulation and use of resins, latex, plasticizers, 
glues/adhesives, not listed on list A, free of solvents and other contaminants to an 
extent that they do not exhibit Annex III characteristics, e.g. water based, or glues 
based on casein starch, dextrin, cellulose ethers, polyvinyl alcohols (note the related 
entry on list A, A3050)  
B4030  Used single use cameras, with batteries not included o n list A  
 
 
Part 2  
List A (Annex II to the Basel Convention)  
Y46 Waste collected from households1 
Y47 Residues arising from the incineration of household wastes  
Y48  Plastic waste, including mixtures of such waste, with the exception of  
the following:  
– Plastic waste that is hazardous waste (see entry A3210 in  list A of  part 
1 in Annex V)  
                                                 
1 Unless appropriately classified under a single entry in Annex III.   
EN 43  EN – Plastic waste listed below, provided it is destined for recycling1 in an 
environmentally sound manner and almost free from contamination and other 
types of wastes2: 
– Plastic waste almost exclusively3 consisting of one non -halogenated polymer, 
including but not limited to the following polymers:  
– Polyethylene (PE)  
– Polypropylene (PP)  
– Polystyrene (PS)  
– Acrylonitrile butadiene styrene (ABS)  
– Polyethylene terephthalate (PET)  
– Polycarbonates (PC)  
– Polyethers  
– Plastic waste almost exclusively4 consisting of one cured resin or condensation 
product, including but not limited to the following resins:  
– Urea formaldehyde resins  
– Phenol formaldehyde resins  
– Melamine formaldehyde resins  
– Epox y resins  
– Alkyd resins  
– Plastic waste almost exclusively1 consisting of one of the following fluorinated 
polymers5:  
– Perfluoroethylene/propylene (FEP)  
– Perfluoroalkoxy alkanes:  
– Tetrafluoroethylene/perfluoroalkyl vinyl ether (PFA)  
– Tetrafluoroethylene/perfluoromethyl vinyl ether (MFA)  
– Polyvinylfluoride (PVF)  
– Polyvinylidenefluoride (PVDF)  
– Mixtures of plastic waste, consisting of polyethylene (PE), polypropylene (PP) 
and/or polyethylene terephthalate (PET), provided they are destined f or 
                                                 
1 Recycling/reclamation of organic substances that are not used as solvents (R3 in Annex IV, sect. B) or, 
if needed, temporary storage limited  to one instance, provided that it is followed by operation R3 and 
evidenced by contractual or relevant official documentation  
2 In relation to ‘almost free from contamination and other types of wastes’, international and national 
specifications may offer a point of reference.  
3 In relation to ‘almost exclusively’, international and national specifications may offer a point of 
reference.  
4 In relation to ‘almost exclusively’, international and national specifications may offer a point of 
reference.  
5 Post-consumer wastes are excluded.   
EN 44  EN separate recycling1 of each material and in an environmentally sound manner 
and almost free from contamination and other types of wastes2. 
 
 
List B (Waste from Appendix 4, Part II of the OECD Decision)3 
Metal bearing wastes  
AA 010 261900  Dross, scalings  and other wastes from the manufacture of iron and 
steel4  
AA 060 2620 99 Vanadium ashes and residues  
AA 190 810420  
ex 810430  
 Magnesium waste and scrap that is flammable, pyrophoric or 
emits, upon contact with water, flammable gases in dangerous 
quantities  
 
Wastes containing principally inorganic constituents, which may contain metals and organic 
materials  
AB 030  Wastes from non -cyanide based systems which arise from surface 
treatment of metals  
AB 070  Sands used in foundry operations  
AB 120 ex 281290  Inorganic halide compounds, not elsewhere specified or included  
 ex 3824   
AB 150 ex 38249 9 Unrefined calcium sulphite and calcium sulphate from flue gas 
desulphurisation (FGD)  
 
Wastes containing principally organic constituents, which may contain metals and inorganic 
materials  
AC 060 ex 381900  Hydraulic fluids  
                                                 
1 Recycling/reclamation of organic substances that are not used as solvents (R3 in Annex  
IV, sect. B), with prior sorting and, if needed, temporary storage limited to one instance, provided that it 
is followed by operation R3 and evidenced by contractual or relevant official documentation.  
2 In relation to ‘almost free from contamination and other types of wastes’, international and national 
specifications may offer a point of reference.  
3 The wastes numbered AB130, AC250, AC26 0 and AC270 have been deleted since they  
have been considered, in accordance with the procedure laid down in Article 18 of  
Directive 2006/12/EC of the European Parliament and of the Council of 5 April 2006  
on waste (OJ L 114, 27.4.2006, p. 9, as repeale d by Directive 2008/98/EC), to be non -hazardous and 
therefore not subject to the export prohibition in Article 36 of this Regulation. The waste numbered 
AC300 has been deleted since the waste in question is covered by entry A3210 in List A of part 1.  
4 This listing includes wastes in the form of ash, residue, slag, dross, skimming, scaling, dust, powder, 
sludge and cake, unless a material is expressly listed elsewhere.   
EN 45  EN AC 070 ex 381900  Brake fluids  
AC 080 ex 382000  Antifreeze fluids  
AC 150  Chlorofluorocarbons  
AC 160  Halons  
AC 170 ex 44031 1 
ex 440312  Treated cork and wood wastes  
 
Wastes which  may contain either inorganic or organic constituents  
AD 090 ex 38249 9 Wastes from production, formulation and use of reprographic and 
photographic chemicals and materials not elsewhere specified or 
included  
AD 100  Wastes from non -cyanide based systems which arise from surface 
treatment of plastics  
AD 120 ex 391400  Ion exchange resins  
 ex 3915   
AD 150  Naturally occurring organic material used as a filter medium (such 
as bio -filters)  
 
Wastes containing principally inorganic constituents, which may contain metals and organic 
materials  
RB 020 ex 6815  Ceramic based fibres of physico -chemical characteristics similar 
to those of asbestos   
EN 46  EN ANNEX VI  
Form for pre -consented facilities (Article 14)  
Competent 
authority  
 Recovery facility  
 Waste 
identification  
 Period of validity  
 Total pre -authorised 
quantity  
 
 Name and no. 
of the recovery 
facility  Address  
 Recovery 
operation (+ R -
code)  Technologies 
employed  (code)  
 From  
 to (tonnes (Mg))  
 
         
         
          
EN 47  EN ANNE X VII 
INFORMATION ACCOMPANYING SHIPMENTS OF WASTE  
 AS REFERRED TO IN ARTICLE 4(3) AND (4 ) 
Consignment information1 
1.Person who arranges the shipment  
Name:  
Address:  
Contact person:  
Tel: 
E-mail:  2. Importer/consignee  
Name:  
Address:  
Contact person:  
Tel: 
E-mail:  
3. Actual quantity:             
Tonnes (Mg):              
m³: 4.(a) Actual date of shipment  : 
 
 
4.(b) (if applicable ) container identification number:  
 
5.(a) First carrier2 
Name:  
Address:  
Contact person:  
Tel: 
E-mail:  
Means of transport:  
Date of transfer : 
Signature:  5.(b) Second carrier  
Name:  
Address:  
Contact person:  
Tel: 
E-mail:  
Means of transport:  
Date of transfer : 
Signature:  5.(c) Third carrier  
Name:  
Address:  
Contact person:  
Tel: 
E-mail:  
Means of transport:  
Date of transfer : 
Signature:  
6. Waste generator3 
Name:  
Address:  
Contact person:  
Tel: 
E-mail:  8. Recovery operation (or if appropriate disposal 
operation in the case of waste referred to in Article 4(3))  
R-code/D -code:  
9. Usual description of the waste  
7. Recovery facilit y󠄀 □                         Laboratory □ 
Name:  
Address:  
Contact person:  
Tel: 
E-mail:  
 10. Waste identification (fill in relevant codes):  
i. Basel Annex IX:  
ii. OECD (if different from (i)) : 
iii. Annex IIIA4: 
iv. Annex IIIB5: 
v. EU  list of wastes:  
vi. National code:  
vii. Other (please specify) : 
11. Countries/states concerned:  
Export/dispatch  Transit  Import/destination  
     
12. Declaration of the person who arranges the shipment : I certify that the above information is complete and correct to my 
best knowledge. I also certify that effective written obligations have been entered into with the consignee (not required in the case of 
waste referred to in Article 4(3)):  
Name:                                                          Date:                                                         Signature:  
13. Signature upon receipt of the waste by the consignee : 
Name:                                                          Date:                                                         Signature:  
TO BE COMPLETED BY THE RECOVERY FACILITY OR BY THE LABORATORY:  
14. Shipment received at recovery facilit y󠄀 □                    or laboratory □            
Quantity received:  
Tonnes (Mg):                            m³: 
Name:                                                          Date:                                                         Signature:  
15.  Waste recovered at the recovery facility:  
Quantity prepared for re -use or recycled  □         other recovery □ 
Tonnes (Mg):                            m³:  
Name:                                                          Date:                                                         Signature:  
                                                 
1 Information accompanying shipments of green listed waste and destined for recovery or w aste destined for laboratory analysis 
pursuant to [new Regulation number]  
2 Provide information for all carriers involved in the concerned shipment.  
3 When the person who arranges the shipment is not the waste producer or collector, information about the w aste producer or 
collector shall be provided.  
4 The relevant code(s) as indicated in Annex IIIA to Regulation [new] are to be used, as appropriate in sequence. Certain Basel  
entries such as B1100 and B3020 are restricted to particular waste streams only, a s indicated in Annex IIIA.  
5 The BEU codes listed in Annex IIIB to Regulation [new] are to be used.   
EN 48  EN ANNEX VIII  
 
REQUEST FOR INCLUSION  IN THE LIST OF COUNTRIES TO WHICH THE EXPORT 
OF NON -HAZARDOUS WASTE DESTINED FOR RECOVERY FROM THE EUROPEAN 
UNION ARE AUTHORISED  
 
Part 1  
 
Request to receive waste(s) from the European Union  
 
Hereby, (name and contact details of competent authority)………………………….. , on 
behalf of (country) ....................................................... (hereafter ‘the count ry’) 
declares that the country wishes to receive the wastes(s) specified in Part 2, point 
1, of this request from the European Union and declares that the country has an 
adequate waste management regulatory framework and strategy in place, and is 
taking ade quate enforcement measures to manage the waste(s) concerned  in an 
environmentally sound manner.   
 
Place……………………Date:…………………….Signature:……………………………  
 
 
Part 2  
Information and supporting evidence  
 
 
1. List of wastes covered by the request  
Description of the waste   Relevant classification code1 
  
  
  
  
 
2. Please provide, in annex to this request, a detailed description of the national waste 
management strategy or plan of the country, including the following elements:  
 
(a) the amount of total waste generated in the country on a yearly basis, as well as the 
amount of waste(s) covered by the scope of this request (“waste concerned  by the 
request ”), and estimations on how the se amount s would develop in the next 10 years;  
                                                 
1 Codes used in Annex  IX of the Basel Convention or, if the waste is not listed in that Annex, 
waste codes or descriptions referred to in Annexes III, IIIA or IIIB of this Regulation, or in 
part 2 of Annex V   
EN 49  EN (b) an estimation of the count ry’s current treatment capacity for waste in general, as well as 
an estimation of the country’s treatment capacity for the waste(s) concerned by the 
request , and an evaluation of how th ese capaci ties would develop in the next 10  years;  
(c) the proportion  of domestic ally generated  waste that is separately collected, as well as 
possible objectives and measures to increase this rate in the future . Please provide this 
information for each of the most important types of domestic waste ; 
(d) the proportion of  domestic waste (s) concerned by the request that is landfilled, as well 
as possible objectives and measures to decrease this rate in the future;  
(e) the proportion of  domestic waste (s) concerned by the request that is recycled, and any 
objectives and measures to increase this rate in the future;  
(f) information on the amount of waste that is littered and on measures taken to prevent and 
clean up litter;  
(g) a strategy on how to ensure the environmentally sound management of waste imported 
into its territory, including the possible impact  of the management of imported waste  on 
the management of waste  generated domestically ; 
(h) information on the methodology used to calculate the data referred to in points (a) to (f).  
 
3. Please provide, in annex to this request, a d escription  of domestic legal framework for 
waste management in place, including at least the following elements:  
 
(a) permitting or licensing system(s) for waste treatment facilities;  
(b) permitting or licensing system(s) for transport of waste;  
(c) provisions designed to ensure that the residual waste generated through the recovery 
operation for the waste(s) concerned is managed in an environmentally sound manner;  
(d) pollution controls applying to waste treatment operations, including in particular 
emission limits for the pro tection of air, soil and water and measures to reduce the 
emissions of greenhouse gases from these operations;  
(e) provisions on enforcement, inspection and penalties designed to ensure the 
implementation of domestic and international requirements on waste man agement and 
waste shipment.  
 
4. Please provide, in annex to this request, a description of any other related legislation on 
the protection of the environment and public health applicable to waste management 
operations.  
 
5. Please provide, in annex to this request, a description of the domestic legislation on the 
import and export of the waste concerned  by the request , and in particular on  any 
specific control procedure applying to such import or export, such as prior written  
notification and consent as referred to in Article 6 of the Basel Convention on the 
Control of Transboundary Movements of Hazardous Wastes and their Disposal . 
 
6. Please provide a list of facilities authorised under the domestic legislation of the country 
to recover the waste(s) covered by this request (including at least the name and address 
of these facilities , their permit number,  the types of waste(s) that they are authorised to 
recover  and their authorised treatment  capacity ). This should preferably be  provided 
through a website link where information on the concerned facilities is publicly and 
electronically accessible (e.g. website link of the competent authority).    
EN 50  EN  
7. Please provide information on the status of the country with regard to its membershi p to 
the following multilateral e nvironmental agreements : 
 
Basel Convention on the Control of 
Transboundary Movements of Hazardous 
Wastes and their Disposal  Signed:    yes       no          
Ratified:  yes       no          
 
 
Stockholm Convention on Persistent 
Organic Pollutants  Signed:    yes       no          
Ratified:  yes       no          
 
Minamata Convention on Mercury  Signed:    yes       no          
Ratified:  yes       no          
 
UN Framework Convention on Climate 
Change  Signed:    yes       no          
Ratified:  yes       no          
 
Paris Agreement  Signed:    yes       no          
Ratified:  yes       no          
 
Montreal Protocol on substances that 
deplete the ozone layer  Signed:    yes       no          
Ratified:  yes       no          
 
 
8. Please provide, in annex to this request , a description of how the country complies with 
its obligations under the multilateral environmental agreements listed in point 7, in 
particular as regards the relevant reporting obligations thereof.  
 
9. Please provide, in annex to this request , a description of how the Framework for the 
environmentally sound management (ESM) of hazardous wastes and other wastes, 
technical guidelines and other guidance on the environmentally sound management of 
waste adopt ed under the Basel Convention are taken into consideration in the regime for 
the management of the waste concerned  by the request.  
 
10. Please provide, in annex to this request , a detailed description of the country’s strategy 
for enforcement of domestic legislation on waste management and waste shipment, 
covering in particular control and monitoring measures, including information on the  
EN 51  EN number of inspections of shipments of waste and of waste management facilities carried 
out and on penalties imposed in cases of infringements to the relevant domestic rules . 
 
 
   
EN 52  EN ANNEX IX  
POINTS OF REFERENCE FOR THE ASSESSMENT PERFORMED BY THE 
COMMISSION PURSUANT TO ARTICLE 40(1 ) 
Part 1  
EU legislation designed to ensure the environmentally sound management of 
waste  
1. Directive 2008/98/EC of the European Parliament and of the Council of 19 
November 2008 on waste and repealing certain Directives (Waste 
Framework Directive).  
2. In addition to the EU Waste Framework Directive, the following pieces of 
EU legislation, which set  out requirements for waste treatment operations, 
are relevant for the purpose of ensuring environmentally sound management 
of waste:  
(a) Council Directive 1999/31/EC of 26 April 1999 on the landfill of 
waste1, 
(b) Directive 2010/75/EU of the European Parliament and of the Council 
of 24 November 2010 on industrial emissions.  
3. The following pieces of EU legislation, which set out requirements for 
specific waste streams, are also relevant for the purpose of ensuring 
environmentally sound management of waste:  
(a) European  Parliament and Council Directive 94/62/EC of 20 December 
1994 on packaging and packaging waste;  
(b) Council Directive 96/59/EC of 16 September 1996 on the disposal of 
polychlorinated biphenyls and polychlorinated terphenyls;  
(c) Directive 2000/53/EC of the Europ ean Parliament and of the Council  
of 18 September 2000 on end -of-life vehicles;  
(d) 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 Directiv e 91/157/EEC;  
(e) Directive 2012/19/EU of the European Parliament and of the Council 
of 4 July 2012 on waste electrical and electronic equipment (WEEE);  
(f) Regulation (EU) 2019/1021 of the European Parliament and of the 
Council of 20 June 2019 on persistent organ ic pollutants.  
 
Part 2  
International guidance on environmentally sound management of waste  
1. Guidelines and guidance documents adopted under the Basel Convention:  
(a) Technical guidelines for the environmentally sound management of 
wastes subject to the Basel Convention, including on incineration on 
land (D10) and on specially engineered landfill (D5)1 
                                                 
1 Relevant for the treatment of residual waste that is generated duri ng a recovery operation   
EN 53  EN (b) Technical guidelines on the environmentally sound 
recycling/reclamation of metals and metal compounds (R4)2  
(c) General technical guidelines for the environmentally  sound 
management of wastes consisting of, containing or contaminated with 
persistent organic pollutants3 
(d) Technical guidelines on the environmentally sound management of 
wastes consisting of, containing or contaminated with 
hexabromocyclododecane (HBCD)4 
(e) Technical guidelines on the environmentally sound management of 
wastes consisting of, containing or contaminated with perfluorooctane 
sulfonic acid (PFOS), its salts and perfluorooctane sulfonyl fluoride 
(PFOSF) 5  
(f) Technical guidelines on the environmentall y sound management of 
wastes consisting of, containing or contaminated with 
pentachlorophenol and its salts and esters (PCP)6  
(g) Technical guidelines on the environmentally sound management of 
wastes consisting of, containing or contaminated with 
hexabromodi phenyl ether and heptabromodiphenyl ether, or 
tetrabromodiphenyl ether and pentabromodiphenyl ether or 
decabromodiphenyl ether (POP -BDEs) 7  
(h) Technical guidelines on the environmentally sound management of 
wastes consisting of, containing or contaminated wi th 
hexachlorobutadiene3 
(i) Technical guidelines on the environmentally sound management of 
wastes consisting of, containing or contaminated with short -chain 
chlorinated paraffins8 
(j) Technical guidelines for the environmentally sound management of 
used and waste  pneumatic tyres9 
(k) Guidance document on the environmentally sound management of used 
and end -of-life computing equipment1 
                                                                                                                                            
1 Adopted by the third meeting of the Conference of the Parties to the Basel Convention on the Control of 
Transboundary Movements of Hazardous Wastes and Their Disposal, September 1995.  
2 Adopted by the seventh meeting of the Confer ence of the Parties to the Basel Convention on the Control 
of Transboundary Movements of Hazardous Wastes and Their Disposal, October 2004.  
3 Adopted by the fourteenth meeting of the Conference of the Parties to the Basel Convention on the 
Control of Trans boundary Movements of Hazardous Wastes and Their Disposal, May 2019.  
4 Adopted by the twelfth meeting of the Conference of the Parties to the Basel Convention on the Control 
of Transboundary Movements of Hazardous Wastes and Their Disposal, May 2015.  
5 Adopted by the eighth meeting of the Conference of the Parties to the Basel Convention on the Control 
of Transboundary Movements of Hazardous Wastes and Their Disposal, December 2006.  
6 Adopted by the thirteenth meeting of the Conference of the Parties to the  Basel Convention on the 
Control of Transboundary Movements of Hazardous Wastes and Their Disposal, May 2017 . 
7 Adopted by the twelfth meeting of the Conference of the Parties to the Basel Convention on the Control 
of Transboundary Movements of Hazardous W astes and Their Disposal, May 2015.  
8 Adopted by the seventh meeting of the Conference of the Parties to the Basel Convention on the Control 
of Transboundary Movements of Hazardous Wastes and Their Disposal, October 2004.  
9 Adopted by the tenth meeting of the Conference of the Parties to the Basel Convention on the Control of 
Transboundary Movements of Hazardous Wastes and Their Disposal, October 2011.   
EN 54  EN (l) Guidance document on environmentally sound management of used 
and end -of-life mobile phones3 
(m) Framework for the environmentally sound management of hazardous 
wastes and other wastes2 
(n) Practical manuals for the promotion of the environmentally sound 
management of wastes3  
 
2. Guidelines adopted by the OECD:  
 
(a) Technical guidance for the environmentally sound management of 
specific waste streams : Used and scrap personal computers3 
  
                                                                                                                                            
1 Adopted by the thirteenth meeting of the Conference of the Parties to the Basel Convention on the 
Contro l of Transboundary Movements of Hazardous Wastes and Their Disposal, May 2017 . 
2 Adopted by the eleventh meeting of the Conference of the Parties to the Basel Convention on the Control 
of Transboundary Movements of Hazardous Wastes and Their Disposal, Octo ber 2013  
3 Adopted by the Environment Policy Committee of the OECD in February 2003 (document 
ENV/EPOC/WGWPR(2001)3/FINAL).   
EN 55  EN ANNEX X  
CRITERIA DESIGNED TO DEMONSTRATE THAT A FACILITY 
MANAGES WASTE EXPORTED FROM THE UNION IN AN 
ENVIRONM ENTALLY SOUND MANNER   
1. The audit referred in Article 43 (2) verifies  that the facility managing the 
waste in the country of destination complies with the following conditions:  
(a) it is authorised by its competent authorities to import and treat this 
waste (evidence to be provided notably through production of  
corresponding pe rmits or licenc es) and is carrying out its activities in 
accordance with relevant applicable domestic legislation on 
environmental protection;  
(b) it is designed, constructed and operated in a safe and environmentally 
sound manner and, in particular, it has th e required processes, 
organisation and infrastructure in place to treat the waste in question, 
and insurances covering potential risks and liabilities. To this end, as a 
minimum, information on the waste treatment methods, including how 
they deal with resi dual waste, notably through downstream traceability, 
must be checked;  
(c) it establishes management and monitoring systems, procedures and 
techniques that have the purpose of preventing, reducing, minimising 
and to the extent practicable eliminating:  
(i) health and safety risks to workers concerned and to the 
population in the vicinity of the facility, and  
(ii) adverse effects on the environment caused by its activities ( in 
particular  through adequate measures taken to monitor and 
address soil, water and air pollution, and other nuisances (odour, 
noise));  
(d) it ensures the traceability of all waste received and treated at the 
facility, including ensuring that all residual waste generated from their 
activities are documented and are only transferred to waste 
management facilities that are authorised to deal with their further 
treatment. To this end, as a minimum, information  should be checked  
on: 
–  the amount of waste that the facility is entitled to treat according 
to its permit/licences,  
– the amount of waste that they receive and recover annually,  
– the amount of residual waste  generated by their activities , as 
well evidence that this residual was te is shipped to and treated in 
an authorised waste treatment facility ; 
(e) it has taken measures designed to save energy and limit the emissions 
of greenhouse gases linked to its activities;   
EN 56  EN (f) it establishes a nd is able to provide records of  its waste managemen t 
and waste shipment activities  for the last five years ; 
(g) it has not been convicted of illegal activities linked to waste shipment 
or waste management.  
2. Upon verifying compliance of a facility against the above criteria, the 
independent third party performing the audit must  in particular take into 
account, as a point of reference and where relevant:  
(a) specific requirements for the treatment of certain waste  and on the 
calculation of the amount of waste treated , which are mandatory under 
EU legislation;  
(b) the Best Available Techniques conclusions adopted for certain 
activities under the regime of Directive 2010/75/EU of the European 
Parliament and of the Council of 24  November 2010 on industrial 
emissions1.  
3. In addition, the guidelines referred  to in Part 2 of Annex IX may also be 
taken into consideration as guidance.   
                                                 
1 OJ L 334, 17.12.2010, p. 17.   
EN 57  EN ANNEX XI  
ADDITIONAL QUESTIONNAIRE FOR MEMBER STATES REPORTING 
OBLIGATION PURSUANT TO ARTICLE 69 (2) 
Art. 11(2)  Information on consents given to a notification for a shipment of waste destined for 
disposal,  where the conditions in Article 11(2) were fulfilled   
Has this provision been applied?  Yes No 
(please tick  as appropriate)    
If yes, complete Table 1  
Additional remarks:  
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
---------------- --------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------  
Art. 12(5)  Information on obje ctions to planned shipments for recovery on the basis of them not being in 
accor dance with Directive 2008/98/EC  
Has this provision been applied?  Yes No 
(please tick  as appropriate)    
If yes, please complete Table 2.  
Art. 14  Information on decisions by competent authorities to issue pre -consents for certain recovery 
facilities and on consent to shipments to such facilities  
Has there been any case?  Yes No 
(please tick  as appropriate)    
If yes, please complete Tables 3.  
Has there been any consent/objections to shipment to such facilities ?  
                                                      Yes No 
(please tick  as appropriate )   
If yes, please complete Table 4.  
Art. 33  Information on the Member States’ sy󠄀stem for the supervision and control of shipments of waste 
within their territory  
Is there a system for the supervision and control of shipments of waste within the national 
territory?  Yes No 
(please tick  as appropriate)    
If there is such a system, do you apply the system provided for in Titles II and VII of the 
Regulation?  Yes No 
(pleas e tick  as appropriate)    
If you apply a different system from that provided for in Titles II and VII  of the Regulation, please 
give details of the system applied:  
----------------------------------------------------------------------------------------------------------------------- 
EN 58  EN -------------------------------------------------------------------------- ---------------------------------------------
-----------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------- ---------------------------  
Art. 44  Information on the Member States’ actions to verify󠄀 that waste was only󠄀 exported from  the 
Union in case it is treated in an environmentally sound manner.  
Please give details on the regular verifications  undertaken to en sure that natural and legal persons 
exporting waste from  the Union  comply with the obligations referred to in Article 40:  
----------------------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------------------
-------- --------------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------------------  
Art. 60 (1) Information on illegal shipments of waste  
Has there been any case?  Yes No 
(please tick  as appropriate)    
If yes, please complete Table 5  
Please, provide information on how illegal shipments of waste is prohibited and punished under 
national legislation.  
-----------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------
------------------ -----------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------  
►Art. 5 7(1) Summary information on  the outcome of the inspections carried out pursuant to Article 54(1), 
including:  
- number of inspections, including physical checks, of establishments, undertakings, brokers and 
dealers, related to shipments of waste  
- number of inspections of shipments of wa ste, including physical checks:  
- number of supposed illegalities concerning establishments, undertakings, brokers and dealers, 
related to shipments of waste:  
- number of supposed illegal shipments ascertained during the inspections:  
 
Additional remarks:  
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
--------------------- ---------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------- ◄ 
Note for completion of the Tables:  
D and R codes are those referred to in Annexes I and II to Directive 2008/98/EC, as amended.  
Waste codes are those referred to in Annexes III, IIIB, IV and where  relevant, V of this Regulation .     
► The link where the information made publicly available via the internet by Member Stat es in accordance with 
Article 69 (2) can be accessed electronically ◄ 
EN 59  EN Table 1  
Information on consents  given to a notification for a shipment of waste destined for disposal,  where the conditions in Article 11(2) were fulfilled  
Waste Code  
 Quantity 
(kg/litres)  Country of dispatch/  
Country of destination  Disposal Operation  
(Final disposal)  
D Code  Specific conditions in A rticle 
11 that necessitated the 
shipment  
     
     
     
     
     
     
     
     
     
     
      
EN 60  EN Table 2  
Information on objections to planned shipments for recovery based on  them not being in accordance with Directive 2008/98/EC (Article 12(5))  
Waste Code  
 Quantity  
(kg/litres)  Country of transit/  
Country of dispatch  REASONS FOR THE 
OBJECTION  
(please tick √ as appropriate)  
 INSTALLATION  
(Final disposal)  
Art. 
12(1)
(d)(i)  Art. 
12(1)
(d)(ii)  Art. 
12(1)
(d) 
(iii) Art. 
12(1)
(e) Name  
(in case of Art.12(1)(e)(ii))  Disposal 
Operation  
D Code  
         
         
         
         
         
         
         
         
         
         
  
EN 61  EN Table 3  
Information on decisions by competent authorities to issue pre -consents (Article 14)  
Competent Authority  Recovery Facility   
Waste identification (code)  Period of validity  Revocation  
(date)  Name and 
No Address  Recovery 
operation  
R Code  Technologies e mployed  From  To 
         
         
         
         
         
         
         
         
         
          
EN 62  EN Table 4  
Information on consents or objections to shipments to pre -consented facilities (Article 14)  
Waste Code  
 Quantity 
(kg/litres)  Country of dispatch/  
Country of destination  Recovery operation 
(Code)  In case of objection: reason 
for this objection  
     
     
     
     
     
     
     
     
     
     
     
 
 
  
EN 63  EN Table 5  
Information on illega l shipments of waste (Article 60 (1) 
Waste identification  
(Code)  
 Quantity 
(kg/litres  Country of 
destination/  
Country of dispatch  Identification of the reason for illegality  
(possible reference to violated Articles)  Responsible for illegality  
(please tick √ as appropriate)  
 Measures 
taken  
including 
any 
penalties 
imposed 
or take 
back 
actions 
undertak
en Notifier  Consignee  Other  
        
        
        
        
        
        
        
        
         
EN 64  EN   
EN 65  EN ANNEX XII  
Correlation table  
Regulation (EC) No 1013/2006  This Regulation  
-- Article 1  
Article 1  Article 2  
Article 2(1), 2(2), 2(4), 2(6), 2(7a), 2(9), 
2(10), 2(11), 2(12) and 2(13)  Article 3, last subparagraph  
Article 2(3)  Article 3(1 ) 
Article 2(5)  Article 3(2 ) 
Article 2(7)  Article 3(3 ) 
Article 2(8)  Article 3(4 ) 
Article 2(14)  Article 3(5 ) 
Article 2(15)  Article 3(6 ) 
Article 2(16)  Article 3(7 ) 
Article 2(17)  Article 3(8 ) 
Article 2(18)  Article 3(9 ) 
Article 2(19)  Article 3(1 0) 
Article 2(20)  Article 3(11 ) 
Article 2(21)  Article 3(12 ) 
Article 2(22)  Article 3(13 ) 
Articl e 2(23)  Article 3(14 ) 
Article 2(24)  Article 3(15 ) 
Article 2(25)  Article 3(16 ) 
Article 2(26)  Article 3(17)  
Article 2(27)  Article 3(18 ) 
Article 2(28)  Article 3(19 ) 
Article 2(29)  Article 3(20 )  
EN 66  EN Article 2(30)  Article 3(21 ) 
Article 2(31)  Article 3(22 ) 
Article 2(32)  Article 3(23 ) 
Article 2(33)  Article 3(24 ) 
Article 2(34)  Article  3(25) 
Article 2(35)  Article 3(26 ) 
Article 2(35a)  Article 3(27 ) 
-- Article 3(28 ) 
Article 3  Article 4  
Article 4  Article 5  
Article 5  Article 6  
Article 6  Article 7  
Article 7  --- 
Article 8  Article 8  
Article 9  Article 9  
Article 10  Article 10  
Article  11 Article 11  
Article 12  Article 12  
Article 13  Article 13  
Article 14  Article 14  
Article 15  Article 15  
Article 16  Article 16  
Article 17  Article 17  
Article 18  Article 18  
Article 19  Article 19  
Article 20  Article 20   
EN 67  EN Article 21  Article 21  
Article 22 Article 22  
Article 23  Article 23  
Article 24  Article 24  
Article 25  Article 25  
Article 26  Article 26  
Article 27  Article 27  
Article 28  Article 28  
Article 29  Article 29  
Article 30  Article 30  
Article 31  Article 31  
Article 32  Article 32  
Article 33  Article 33  
Article 34  Article 34  
Article 35  Article 35  
Article 36  Article 36  
Article 37  Article s 37-40 
Article 38  Article 41  
--- Article 42  
--- Article 43  
--- Article 44  
Article 39  Article 45  
Article 40  Article 46  
Article 41  Article 47  
Article 42 Article 48  
Article 43  Article 4 9  
EN 68  EN Article 44  Article 50  
Article 45  Article 51  
--- Article 52  
Article 46  Article 53  
Article 47  Article 54  
Article 48  Article 55  
Article 49  Article 56  
Article 50(1)  Article  60 
Article 50(2) and (3)  Article 57  
Article 50(2a)  Article 59  
Article 50(4), (4a), (4b), (4c), (4d) and (4e)  Article 58  
Article 50(5), (6) and (7)  Article 61  
--- Article 62  
--- Article 63  
--- Article 64  
--- Article 65  
--- Article 66  
--- Article 67 
--- Article 6 8 
Article 51  Article 69 
Article 52  Article 70  
Article 53  Article 71  
Article 54  Article 72  
Article 55  Article 73  
Article 56  Article 74  
Article 57  ---  
EN 69  EN Article 58  Article 75  
Article 58a  Article  76 
Article 59a  Article 77  
--- Article  78 
--- Article 79  
Article 60  Article  80 
Articles 61 to 63  Article 81  
Article 64  Article 82  
Annex IA, IB and IC  Annex IA, IB and IC  
Annex II  Annex II  
Annex III  Annex III  
Annex IIIA and Annex IIIB  Annex IIIA and Annex IIIB  
Annex IV  Annex IV  
Annex IVA  --- 
Annex V  Annex V  
Annex VI  Annex VI  
Annex VII  Annex VII  
--- Annex VIII  
Annex VIII  Annex IX  
--- Annex X  
Annex IX  Annex XI  
--- Annex XII