EN   EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, 17.11.2021  
COM(2021) 709 final  
2021/0367 (COD)  
 
Proposal for a  
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL  
on shipments of waste and amending Regulations (EU) No 1257/2013 and (EU) No 
2020/1056  
(Text with EEA relevance)  
{SEC(2021)  402 final}  - {SWD(2021)  330 final}  - {SWD(2021)  331 final}  -
 {SWD(2021)  332 final}   EN 1  EN EXPLANATORY MEMORANDUM  
 
1. CONTEXT  OF THE  PROPOSAL  
• Reasons for and objectives of the proposal  
In 2018 , global trade in waste reached 182 million tonnes with a value of around 
EUR  80.5 billion1. Such trade has increased considerably in the last decades, with a peak 
of nearly 250 million tonnes in 2011. The EU is an important player in global trade in 
waste, and considerable volumes of waste are being shipped between Member 
States.  In 2020, the EU exported to non -EU countries around 32.7 million tonnes of 
waste, an  increase of 75% since 20042, with a valu e of EUR  13 billion. Ferrous and non -
ferrous metal scrap, paper waste, plastic waste, textile waste and glass waste represent 
the majority of waste exported from  the EU. The EU also imported approximately 
16 million tonnes, value d at EUR  13.5 billion. In a ddition, around 67 million tonnes of 
waste per year are shipped between Member States3 (intra -EU shipments of waste).  
Waste shipped across borders can generate risks for human health and the 
environment, especially when not properly  controlled . At the same  time, these 
wastes often have a positive economic value, notably as secondary raw materials 
that can replace and reduce dependence on primary  materials and thereby 
contribute to a more circular economy.  
Measures on the supervision and control  of shipments  of waste have been in place in the 
EU since 1984. In 1989, the Basel Convention on the Control of Transboundary 
Movements of Hazardous Wastes and their Disposal (Basel Convention) was adopted to 
address serious problems linked to deposits of toxic wastes imported from abroad to 
various parts of the developing world. In 1992, the OECD adopted a legally binding 
Decision4 on the control of transboundary movements of wastes destined for recovery 
operations (OECD Decision).  
Regulation (EC) No 1013/20065 (Waste Shipment Regulation (WSR)) implements in EU 
law the provisions of both the Basel Convention and the OECD Decision. In certain 
aspects , the WSR contains stricter control measures than the Basel Convention. The 
WSR requires Member States to ensure that shipm ents of waste and their treatment 
operations are managed in a manner that protects the environment and human health 
against any adverse effects that might result from such wastes. The WSR sets out control 
                                                 
1 Yamaguchi, S (2021, forthcoming), International trade and circular economy – Policy alignment , 
OECD Trade and Environment Working Papers, OECD Publishing, Paris, 
http://www. oecd.org/officialdocuments/publicdisplaydocumentpdf/?cote=COM/TAD/ENV/JWPT
E(2020)2/FINAL&docLanguage=En . - https://doi.org/10.1787/18166881 . 
2 For more information see, https://ec.e uropa.eu/eurostat/web/products -eurostat -news/ -/ddn-
20210420 -
1#:~:text=In%202020%2C%20EU%20exports%20of,16.0%20million%20tonnes%20in%202020 . 
3 Source: Comext.  
4 Council Decision C(92)39/FINAL on the control of transboundary movements of wastes destined 
for recovery operations . This Decision was amended and the current  version is Decision of the 
Council on the Control of Transboundary Movements of Wastes Destined for Recovery 
Operations (OECD/LEGAL/0266) . 
5 Regulation (EC) No 1013/2006 of the European Parlia ment and of the Council of 14 June 2006 on 
shipments of waste; OJ L 190, 12.7.2006, p. 1 –98 EN 2  EN mechanisms for the export and import of waste betwe en the EU and third countries, and 
for shipments between Member States. The types of controls under the WSR depend on 
the characteristics of the waste (for example hazardous, non -hazardous), its destination , 
and its treatment as part of recovery (for examp le recycling) or disposal (for example 
landfilling) operations. The WSR also lays down export prohibitions for certain 
categories of waste and certain destinations: the most important example is the 
prohibition to export hazardous waste from the EU to non -OECD countries.  
The overall objective of the WSR review is to increase the level of protection of the 
environment and public health from the impacts of unsound transboundary shipments of 
waste. It addresses the problems identified in the WSR evaluation pub lished by the 
Commission in January 20206 (see more information on this in point 3 below).  
The WSR revision also responds to the call under  the European Green Deal7 and 
the Circular Economy Action Plan8 to revise the WSR with the aim of: 
 facilitating shipments of waste for reuse and recycling in the EU ; 
 ensuring that the EU does not export its waste challenges  to third 
countries ; and 
  tackling illegal waste shipments.  
Moreover, the European Green Deal and the Industrial Strategy9, including it s update10 
acknowledged that access to raw materials is of strategic importance and a pre -requisite 
for Europe to deliver on its green and digital transition. The Critical Raw Materials 
Action P lan11 stressed  that significant amounts of resources lea ve Europe in the form of 
wastes, instead of being recycled into secondary raw materials and thus contributing to 
the diversification of sources of supply for the industrial ecosystems in the EU.  
The European Parliament and the Council  have also invited the Commission to co me 
forward with an ambitious revision of the WSR12. 
 
• Consistency with existing policy provisions in the  policy area  
There are synergies between the WSR and other pieces of EU waste legislation, 
especially the Waste Framework Directive13 and directives covering specific waste 
streams. The Directive  on the end -of-life vehicles14, the Batteries Directive15, the 
                                                 
6 SWD(2020) 26 final  
7 COM(2019) 640 final  
8 COM(2020) 98 final  
9  COM/2020/102 final  
10  COM(2021) 350 final  
11  COM/2020/474 final  
12 See https://www.europarl.europa.eu/doceo/document/TA -9-2021 -0040_EN.html  and 
https://data .consilium.europa.eu/doc/document/ST -13852 -2020 -INIT/en/pdf . 
13 Directive 2008/98/EC of the European Parliament and of the Council of 19 November 2008 on 
waste and repealing certain Directives (OJL 312, 22.11.2008, p. 3).  
14 Directive 2000/53/EC of the Europ ean Parliament and of the Council of 18 September 2000  on 
end-of life vehicles  (OJ L 269, 21.10.2000, p. 34 –43) 
15 Directive 2006/66/EC of the European Parliament and of the Council of 6 September 2006 on 
batteries and accumulators and waste batteries and a ccumulators and repealing Directive 
91/157/EEC  (OJ L 266, 26.9.2006, p. 1 –14) EN 3  EN Packaging and Packaging Waste Directive16 and the WEEE Directive17 all contain 
specific provisions on transboundary movement of the  specified  waste str eams that refer 
to the WSR.  
• Consistency with other Union policies  
There are also synergies between the WSR and other EU legislation that is relevant for 
waste shipments, especially the Environmental Crime Directive18. This Directive covers 
the penalisatio n of criminal waste shipments and complement s the WSR’s enforcement 
provisions.  
2. LEGAL  BASIS,  SUBSIDIARITY  AND  PROPORTIONALITY  
• Legal  basis  
The existing legal basis of the Waste Shipment Regulation is Article 192 of the Treaty on 
the Functioning of the European Union , which stipulates how  Article 191 of the Treaty 
should be implemented. Article 191 addresses EU policy on the environment , which 
must contribute to pursu ing the following objectives:  
 preserving, protecting and improving the quality of the en vironment ; 
 protecting human health ; 
 utilising natural resources prudently and rationally ; and  
 promoting measures at international level to deal with regional or 
worldwide environmental problems, and in particular to combat climate 
change.  
• Subsidiarity   
The WSR ensures that the EU ’s comprehensive waste legislation is not circumvented by 
shipping waste to third countries where waste management standards and performance 
greatly differ from th ose in the  EU. It is important that common rules on the control of 
transboundary movements of waste are laid down  at EU level, to avoid a situation where 
illegal operators would cho ose to ship their waste through Member States  with less strict 
domestic rules than others, to export this waste from  the EU (port -hopping scen ario). EU 
rules are also justified for intra -EU shipments of waste because  the EU waste industry is 
highly integrated and to ensure equal treatment and legal clarity for all economic actors 
in this sector.  
• Proportionality  
The WSR ensures consistency in the implementation by each Member State of the Basel 
Convention and the OECD Decision and as a result avoid obstacles to the shipments of 
waste within the EU or impediments to the good functioning of the EU internal  market . 
In addition, the EU approach to waste shipment is stricter than the Basel Convention 
                                                 
16 European Parliament and Council Directive 94/62/EC of 20 December 1994 on packaging and 
packaging waste  (OJ L 365, 31.12.1994, p. 10 –23) 
17 Directive 2012/19/EU of the European Parliament and of the Council of 4 July 2012 on waste 
electrical and electronic equipment (WEEE)  (OJ L 197, 24.7.2012, p. 38 –71) 
18 Directive 2008/99/EC of the European Parliament and of the Council of 19 November 2008 on the 
protection of the environment t hrough criminal law  (OJ L 328, 6.12.2008, p. 28 –37) EN 4  EN when it comes to export of waste, as it prohibits the export of waste for disposal outside 
EFTA countries , and the export of some non -hazardous waste19 outside the OECD. The  
EU approach has a clear environmental added  value compared with each Member State 
individually relying on the Basel Convention. Indeed, the EU is one of the only parties to 
the Basel Convention to apply such strict rules .  
• Choice  of the instrument  
In 19 84, Council Directive 84/631/EEC of 6 December 198420 was adopted, introducing 
EU-wide measures on the supervision and control of shipments of waste. The Directive 
covered shipments of hazardous waste. It required a prior informed consent procedure for 
the countries concerned, thereby allowing them to object to a specific shipment.  
Directive 84/631/EEC was amended by Council Directive 86/279/EEC of 12 June 1986, 
which introduced additional provisions in order to improve the monitoring of exports of 
waste from the Community . Following international developments in the context of the 
Basel Convention and the OECD, the first Waste Shipment Regulation ( Council 
Regulation (EEC) No 259/ 93, repealing Directive 84/631/EEC ) was adopted in 1993.  
It is important to note  that a regulation — rather than a directive — was deemed 
necessary at that time  in order to ensure simultaneous and harmonised application in all 
Member States. The choice of a regulation remains justified as it sets direct requirements 
for all operators,  thus providing the necessary legal certainty and enforcement possibility 
of a fully integrated market across the EU. A regulation also ensures that the obligations 
are implemented at the same time and in the same way in all 27 Member States.  
3. RESULTS  OF EX POST  EVALUATIONS,  STAKEHOLDER  
CONSULTATIONS  AND  IMPACT  ASSESSMENTS  
• Ex post evaluations/fitness  checks  of existing  legislation  
The Waste Shipment Regulation has been evaluated under five criteria, namely its 
effectiveness, efficiency, relevance, coherence and EU added value. Commission 
Regulation (EC) No 1418/2007 , adopted under  Article  37(1) of the WSR, was also taken 
into consideration.  
The main findings of the evaluation are the following . 
 The WSR has esta blished a robust legal framework that has been 
implemented by Member States. The WSR has generally been effective in 
delivering its two main objectives : to protect the environment and human 
health from adverse effects of waste shipments ; and to implement t he 
EU’s international commitments in this area . It has led to a better control  
of waste shipments and contributed to the environmentally sound 
management of shipped wastes at national and EU levels.  
 At the same time, different levels and ways  of applying a nd enforcing the 
WSR, often combined with different interpretations of its provisions and 
                                                 
19 The ‘other waste’  listed in Annex II to the Basel  Convention . 
20 Council Directive 84/631/EEC of 6 December 1984 on the supervision and control within the 
European Community of the transfrontier shipment  of hazardous waste ; OJ L 326, 13.12.1984, p. 
31–41. EN 5  EN various  inspection regimes, have hampered its optimal implementation 
throughout the EU. These factors limit or discourage legal shipments of 
good quality waste materi als to recycling facilities, which are important 
for the transition to a circular economy in the EU.  
 When it comes to the export of wastes, especially non -hazardous wastes, 
from  the EU, a major  shortcoming is the insufficient supervision  of the 
conditions under which these waste s are managed in destination countries, 
especially in developing countries. As a result, the export of some waste 
from  the EU has created environmental and public health challenges in the 
countries of destination. It also represents a loss of resources for EU 
recycling industries.  
 Illegal shipments of waste within and from and to  the EU also remain a 
considerable problem due to the general nature of the WSR provisions . 
This relates in particular to  the elements that need to be checked  by the 
competent authorities, for example on the environmentally sound 
management of waste and on enforcement . However, it is also due to 
shortcomings in the implementation and enforcement of the WSR.  
These findings have been instrumental in defining the objectives pursued by the revision 
of the WSR.  
• STAKEHOLDER  CONSULTATIONS  
Stakeholders were consulted throughout the evaluation and impact assessment processes, 
which served to prepare the WSR revision. An open public consultation and a workshop 
were organised in 2018 to prepare for the evaluation. An inception impact assessment 
was then published on 11 March 2020  for public feedback, which was followed by an 
open public consultation until 30 July 2020 and a workshop on 23 -24 September 2020. In 
additio n, as part of the impact assessment process , several targeted consultations took 
place with a large number of stakeholders. More information on this consultation process 
can be found in Annexes 2 and 3 of the impact assessment report.  
Stakeholders and Memb er States generally agreed with the main findings of the WSR 
evaluation and with the need to revise the WSR to address these findings.  
On the issue of  intra -EU shipments of waste , economic operators expressed strong 
support for a modernisation of the proce dures appli cable  to shipments of waste and for 
the adoption of EU measures to avoid a fragmentation of the EU internal market. They 
particularly call ed for a digitalisation of the notification procedure, a better functioning of 
the fast -track procedures, t he setting of common rules to decide on the classification of 
waste , and better standardisation  of the calculation of financial guarantees. Civil society 
voices stressed the need for a better alignment of the WSR with the proximity principle 
and the waste hierarchy. On the other hand, some economic operators indicated that the 
WSR should not lay down  substantial provisions (which are laid down  in other 
legislation) but be limited to procedural requirements for the shipment of waste.  
As to the export of wast e from the EU, stakeholders generally acknowledged that the 
WSR should be amended to avoid situations where waste exported from the EU is 
mismanaged in the countries of destination. Different views were expressed as to the 
possible solutions to address thi s problem. Some stakeholders  expressed concerns on EN 6  EN measures that would lead to possible disruptions in global trade in high -quality waste and 
on the impact of such measures on the EU sector currently involved in the collection, 
sorting and recycling of waste. They notably highlighted  that there might not be enough 
capacity in the EU to deal with waste that is currently exported from  the EU. This v iew 
was not shared by some other economic operators, who indicate d that such capacity 
would be available. Civil society insisted on the need for the EU to set up very restrictive 
measures on the  export of plastic waste from  the EU.  
Stakeholders generally  expressed support for reinforc ing the provisions against illegal 
shipments of waste . 
The Commission proposal takes account of the views expressed and presents  a 
proportionate approach to deal with the problems identified in the evaluation. This is 
particula rly the case for the measures relating to export of waste, which do not amount to 
a blanket ban on export and which will only apply 3 years after the entry into force of the 
proposed regulation . All stakeholders and third countries , therefore, will  have su fficient 
time to prepare for the implementation of the new rules.  
• Collection  and use of expertise  
The impact assessment for the review of the Waste Shipment Regulation was supported  
by a study by external experts . These experts worked close ly with the Commission 
through the different phases of the study. The Commission also used numerous other 
sources of information to prepare this proposal.  
• Impact  assessment  
The proposal is based on an impact assessment. After having addressed the Regulatory 
Scrutiny Board's comments in its negative opinion of 9 April 2021, a revised  impact 
assessment received a positive opinion on 4 June 2021. In its final opinion , the Board 
asked for further details , mainly on the comparison of options addressed  in the impact 
assessment.  
This impact assessment considered four policy options . 
Policy option 1  is the  baseline scenario. This assumes  that the Basel Convention and the 
OECD Decision will remain largely unchanged until at least 2030. In addition, the 
current WSR , inc luding its delegated Regulation,  will continue to be applicable. Its 
current implementation will continue and harmonisation across Member States would be 
further pursued through existing  efforts , notably the development of guidance  and ad hoc 
exchange s between Member States, mostly via the Waste Shipment Correspondents21. 
The EU will also continue to promote global measures to i mprove the control of 
transboundary movements of waste and waste management in international 
organisations, especially the Basel Convention and the OECD.  
The table below provides an overview of options 2, 3 and 4, which are alternatives to 
option 1 (basel ine scenario), and the combination of measures in th ese options . 
 
                                                 
21 Representatives  designated  by the Member States  and the Commission pursuant to  Article 54 of 
the WSR.  EN 7  EN Measures  Option 2  
(targeted changes)  Option 3  
(structural 
changes)  Option 4  
(far-reaching 
changes)  
Objective 1: Facilitate shipments within the EU, in particular to align the WSR with circular economy 
objectives  
1a) Improve the regime of “pre -
consented” facilities  x  x 
1b) Stream line the notification 
procedure  x  x 
1c) Clarify the scope of the WSR  x  x 
1d) Set up a mandatory EU -wide 
electronic data interchange (EDI)   x x 
1e) Streamline the financial 
guarantee system by harmonising 
the calculation of the amount 
required under the guarantee   x x 
1f) Ensure mutual recognition at 
EU level of carriers of hazardous 
waste registered in one Member 
State   x  
1g) Align the WSR provisions with 
the waste hierarchy  x  x 
1h) Issue guidance on current 
problematic issues  x   
1i) Ensure alignment with the 
provisions on end -of-waste and 
byproducts in the Waste 
Framework Directive  x  x 
1j) Task the Commission , through 
delegated  or implementing acts , to 
set thresholds for contamination of 
wastes to determine if they should 
be subject to the notification 
procedure or not   x x 
1k) Establish mutual recognition of 
national end -of-waste criteria for 
the purpose of waste shipments   x  
1l) Establish mutual recognition of 
national decisions in relation to the 
hazardous nature of wastes for the 
purpose of waste shipments   x  EN 8  EN  
Objective 2: Guarantee that waste exported from  the EU is managed in an environmental ly sound manner  
2a) Specify obligations for 
exporters and public authorities to 
ensure and verify that waste 
exported to third countries is 
managed in an environmentally 
sound manner  x  x 
2b) Task the Commission to set out 
criteria to differentiate between 
used goods and waste, for specific 
waste streams for which export to 
third countries raises particular 
challenges  x  x 
2c) Establish a new framework in 
which non -OECD countries have to 
notify the EU of their willingness 
to import green -listed waste and 
demonstrate their ability to  treat it 
sustainably according to set criteria    x x 
2d) Require that the export of 
green -listed waste from  the OECD 
is subject to the notification 
procedure   x  
2e) Set up a specific procedure to 
monitor export of waste to OECD 
countries and mitigate 
environmental problems that might 
be caused by such exports   x x 
Objective 3:  Better address illegal shipments of waste within and from and to  the EU  
3a) Improve provisions on 
inspections and enforcement and 
the follow -up x  x 
3b) Issue guidance on efficient 
inspections and enforcement 
practices  x   
3c) Empower the Commiss ion 
(through OLAF) to carry out 
transnational investigati ve and 
coordinating acti ons against waste 
trafficking in the EU  x  x 
3d) Reinforce existing provisions 
on infringements and penalties  x  x EN 9  EN 3e) Improve traceability of 
shipments of green -listed waste   x x 
3f) Facilitate cooperation between 
enforcement authorities at the 
national level  x  x 
3g) Creat e a dedicated group at EU 
level with the task to facilitate and 
improve cooperation on 
enforcement of the WSR   x x 
 
Policy option 2 (targeted changes) provides a package of measures that can effectively 
and, to an extent,  efficiently address some of the problems that hamper the good 
functioning of the WSR.  
Compared with the baseline, the targeted changes provide effective and consistent  
responses to achieve specific objectives, in particular to reduce administrative burden  and 
to raise  waste shipment for treatment higher up in the waste hierarchy. However, the 
envisaged  measures alone would not be able to deliver  maximum benefits, mostly due to 
the lower  efficiency and lower internal coherence . Compared with the structural changes 
(option 3), this option will address only partly the challenges linked to the export of 
waste ( objective 2). The measures only target certain problem areas, e.g. by setting out 
criteria to differentiate between used goods and waste (2b) or by specifying the 
obligations for exporters (2a). The greatest  benefits under this option are identified for 
the measures 3a -3d and 3f, dedicated to better address ing illegal shipm ents of waste 
within and from and to  the EU ( objective 3).  
Under  policy option 3  (structural changes ), measures 1d, 1e, and 1f directly address 
stakeholder concerns regarding the costs associated with the delays of intra -EU 
shipments and would significantly minimi se administrative burden for public authorities 
and economic  operators ( objective 1). The introduction of measures 2c, 2d and 2e would 
set up a procedural framework at EU level to guarantee that waste exported from  the EU 
is managed in an environmentally sound manner. It is considered as a proportionate and 
systemi c response to objective 2. Certain changes would not be sufficient and coherent 
enough to achieve the necessary effect at Member State level. This is in particular  the 
case for the proposed measures 3e and 3g to better address illegal shipments of waste 
(objective 3).  
The impact assessment has shown that actions taken under options 2 or 3 would not 
allow to meet all the objectives of the review in the most effective, efficient and 
proportionate manner. Compared with these options, policy option 4 , which combines 
measures in a mix of far-reaching changes , would result in  greater  effectiveness, in an 
efficient and proportionate manner.  
The preferred option is therefore option 4 . The blend of the targeted and structural 
changes chosen would result in a balanced  approach in terms of effectiveness 
(achievement of the objectives) and efficiency (cost -effectiveness). It aims to  ensure that  
this Regulation can facilitate intra -EU shipments in line with the circular economy 
objectives, support the EU’s objective to st op exporting its waste challenges  to third 
countries , and contribute to better address ing illegal shipments of waste, without risking 
excessive costs or disruption. It responds to both (i) the need for new, effective measures EN 10  EN to achieve the three objective s, and (ii) the importance attached to them being 
implementable while not creating excessive burden or undesirable impacts.  
Option 4 is also proportionate to the aims that this review seeks to achieve . 
 With respect to objective 1 on intra -EU shipments of w aste, all measures under 
option 4 are necessary to achieve a better integration of the EU internal market 
for waste, guiding  these shipments to recycling. They will represent important 
changes for the procedures currently applicable to shipments, which wil l have 
an effect both on economic operators and on public administrations. These 
measures will generate important gains for both of them, through reduced 
administrative burden, reduc ed delays , and more efficient processing of 
information. They will also co ntribute to support ing the transition to a circular 
economy in the EU, therefore benefiting the protection of the environment. 
These gains will largely outweigh the costs linked to the establishment of the 
new measures, notably the electronic data intercha nge regime (measure 1d)22. 
The obligation to digitalise the notification procedure for intra -EU shipments of 
waste via the electronic data interchange system will only become effective 
24 months after the entry into force of the revised WSR, and preparatory  work 
with Member States and stakeholders is already ongoing to get ready for this 
new regime.  
 With respect to the second objective, option 4 will lead to important changes in 
EU approaches and the regulatory framework applying to the export of waste 
from  the EU. This is needed in view of the failure of the current WSR to achieve 
the objective to ensure environmentally s ound management of waste exported 
from the EU, especially to developing countries. One important feature of option 
4 is that it will requir e both economic operators and public authorities to take 
concrete actions to verify that waste exported from the EU is treated in a 
sustainable manner in the countries of destination. This will ensure that 
guarantees are provided both at country (measures 2c and 2e) and facility 
(measure 2a) level on the sustainable treatment of waste in the countries of 
destination. These measures should generate important environmental benefits. 
They will also have economic impacts. For some operators, notably those 
proce ssing waste into secondary materials in the EU, this would potentially lead 
to higher quantities of feedstock available at a lower price, so this would have a 
positive impact  overall. For those operators  shipping waste from  the EU, the 
impact will depend o n whether evidence is made available that the exported 
waste in the destination countries is treated in an environmentally sound 
manner. It is likely that, as a result, the export to some countries might become 
more difficult, which would have a negative i mpact on the companies exporting 
waste to these countries. The costs resulting from this situation are however 
limited and are outweighed by the overall environmental benefits of the 
measures. Finally, it is also important to note that proportionality is e nsured 
through the fact that the measures in option 4 would:  
                                                 
22  In line with the principles laid down in the European Interoperability Framework 
(COM(2017)134).  IT development and procurement choices will be subject to pre -approval by the 
European Commission Information Technology and Cybersecurity Board . EN 11  EN – apply a different regime between countries of destination, with more 
scrutiny over countries where the waste management practices are deemed 
to be less sustainable than in the EU (non -OECD countr ies); 
– set up a mechanism , without any  blanket ban , where importing countries 
have the opportunity to import waste from the EU if they demonstrate they 
are able to deal with the waste in a sustainable manner ; and 
– enter into force only 3 years after the chan ges in the Regulation become 
effective, leaving a period of transition for all involved to get prepared for 
the new rules.  
 As to the third objective, option 4 provides a series of measures to improve 
enforcement of the WSR. They are needed to increase  the capabilities of 
Member States and the Commission to reduce illegal shipments of waste. These 
measures do not involve any fundamentally new tasks or additional related costs 
for operators and Member States. A more effective enforcement regime would 
help to prevent or reduce the volume of illegal shipments and  to deliver  
significant cost savings for clean -up and repatriation , and indirect cost savings 
for Member States where waste transits. Better enforcement should also lead to 
a reduc ed loss of tax revenues . Furthermore, beyond the proposed measures, the 
Commission will use a wide array of tools  to continue to support Member State 
efforts to better implement and enforce the WSR. Many initiatives have already 
been taken at EU level against waste trafficking, which is one of the priorities of 
the EU ’s overall policy on organised crime23. The EU is also providing financial 
support to operational projects targeting waste trafficking24. In addition, the 
Commission is assisting Member States in this area through the Environmental 
Compliance and Governance Forum25, the TAIEX -EIR PEER 2 PEER 
programme26 and the EU Environmental Law Training Package27. 
 
Figure 1 below provides a schematic overview of the preferred option, and the measures 
that it contains. A more detailed description of how the preferred option achieves the 
objective s of the WSR review is presented in Annex 14 of the impact assessment report.  
                                                 
23 https://data.consili um.europa.eu/doc/document/ST -9450 -2017 -INIT/en/pdf   
24 For example , https://www.wasteforceproject.eu/ , http://www.lifesmartwaste.com/ , 
https://opfawaste -project.eu/  or https://www.sweap.eu/ .  
25 https://ec.europa.eu/environment/legal/compliance_en.htm   
26 https://ec.europa.eu/environment/eir/p2p/index_en.htm   
27 https://ec.europa.eu/environment/legal/law/training_pa ckage.htm    
EN 12  EN  
Figure 1 – Overview of measures in the preferred option
 
EN 13  EN In terms of overall economic impact , this preferred option should result in significant  
savings for operators shipping waste and for authorities dealing with the procedures for 
authorising and monitoring these shipments, notably thanks to the establishment of the 
electronic data interchange  system . This is expected to deliver  savings in the order of 
EUR  1.4 million a year. Other measures to modernise and simplify the WSR will bring 
additional savings. The other important economic impacts will come  from the measures 
linked to the export of waste, which should represent an overall ec onomic gain for the EU 
economy , based on 2019 data , ranging from EUR  200-500 million a year, depending on the 
amount of waste that is retained in the EU. For economic operators based in the EU, the 
impacts of these measures will differ significantly depend ing on their position in the value 
chain and the types of waste concerned . Some of those involved in exporting these  waste s are  
likely to see the costs for exporting such waste increasing , or they w ould turn to other 
purchasers in the EU, where they might get lower prices for their waste. Companies exporting 
waste would also have to set up (or purchase) auditing schemes to verify that facilities in third 
countries perform waste management activities in a sustainable manner; this would represent 
new but mode rate costs. On the other hand, economic operators  recycling or processing waste 
in the EU may be able to use more waste as feedstock, which they should be able to purchase 
at a lower price compared with the baseline. The measure s on illegal shipments shoul d benefit 
legal operators as they will help to tackl e illegal activities ; these  represent a direct competition 
to the business  of legal operators.  For companies located in third countries which transport 
and process waste imported from the EU, the effect would be positive for those performing 
their activities in an environmentally sound manner, as the audit would consolidate their 
activities and competitiveness, even though it could also incur some costs for upgrading their 
infrastructure and standards in the short term. The impact would be negative for those 
companies which are not able to comply with the criteria for environmentally sound 
management of waste laid out in the auditing schemes as they would lose customers from the 
EU. 
SMEs will benefit great ly from the measures designed to facilitate shipments of waste within 
the EU . The obstacles and burdens linked to the shortcomings of current procedures represent 
proportionally a heavier burden for them tha n for larger companies. The measures on the 
expor t of waste will affect SMEs involved in export -related business activities. They will 
incur new costs to perform audits in facilities to wh ich they are shipping their waste. These 
costs , however , remain limited and could be pooled with other SMEs, notably through 
Producer Responsibility Organisations28. Finally, the perspective that more waste will remain 
in the EU, together with new targets and obligations under EU law to ensure its recycling, will 
also represent opportunities for SMEs to develop innovative  projects and technologies for 
recycling waste whose treatment pose s particular challenges, such as plastic and textile waste.  
This preferred option is expected to result in an overall significant positive environmental 
impact . The measures designed to fac ilitate the shipment of waste for re -use and recycling in 
the EU will lead to higher amount of waste treated in better environmental conditions . They 
would also  lead to higher amounts of secondary materials available in the EU, which would 
replace virgin m aterials as feedstock for a number of industries based in the EU. The 
proposed measures relating to the export of waste would have positive environmental impacts 
as they would better guarantee that shipments of waste to third countries are managed in an 
                                                 
28 Producer Responsibility Organisation is understood as a collective entity set up by producers or through 
legislation, which becomes responsible for meeting the recovery and recycling obligations of the individual 
producers.  
  
EN 14  EN environmentally sound manner. It would also potentially lead to between 2.4 and 6  million 
tonnes of waste being retained in the EU each year, which would be treated according to EU 
standards and processed into secondary materials. While it is not possible to  perform a 
monetised impact of all these environmental gains, the benefits linked to a better treatment of 
residual waste in the EU and to avoiding shipping this waste to third countries would range  
from EUR  266-666 million a year. The overall gains are likely to be even higher. By 
contributing to improving the overall effectiveness and efficiency of the enforcement regime, 
the measures relating to illegal shipments would help prevent and reduce the serious 
environmental impacts stemming from illegal wast e shipments, bringing overall 
environmental benefits.  
Finally, as regards the overall social impact, the measures linked to the export of waste, and 
to those against illegal shipments of waste, should reduce the negative impact on human 
health (e.g. respir atory problems, injuries) and labour conditions (e.g. no social benefits, low 
wages) stemming from the unsustainable management of waste, bringing overall benefits to 
societ y both abroad and in the EU. The treatment in the EU of waste that used to be expor ted 
should lead to the creation of 9  000-23 000 jobs in EU recycling and re -use sectors. 
Additional jobs in these areas are likely to be generated as a result of the measures designed to 
ensure a better functioning of the WSR for shipments of waste in the EU for recycling and re -
use. In third countries there might be job losses  in the formal or informal waste treatment 
sectors in case less waste is exported to that country.  
 
• Regulatory  fitness  and simplification  
This proposal makes maximum use of the pote ntial of digitalisation  to reduce administrative 
costs. This is the case especially for the proposal to set up a mandatory EU -wide system to 
issue and interchange electronically data and information linked to waste shipments. The 
development of such a syst em that combine s existing national platform s and/or platform s in 
place, like t he environment established under Regulation  (EU) No 2020/1056 on electronic 
freight transport information  with a system at EU level is not expected to  entail very high 
costs for the Commission, Member States or businesses . It will, however,  provide Member 
State authorities and the Commission with a powerful tool for monitoring and enforcing , as 
well as an efficient tool for businesses to comply with the obligations  in the proposed 
regulation.  
 
• Fundamental  rights  
The proposal  does not have  consequences  for the protection  of fundamental  rights.  
  
4. BUDGETARY  IMPLICATIONS  
The proposal implies the use of human resources and expenditure to ensure the proper 
implementation of some its provisions. Some of the human resource needs  are expected to be 
sourced  from  the Commission ’s existing allocations. The required Commission huma n 
resources will be DG ENV staff already assigned to management of the action. Redeployment 
within the DG , or from other DGs that are able to free themselves from  current tasks related 
to implementation of the Regulation  in force , could also contribute to manag ing the action. 
An additional allocation would have  to be granted to the managing DG and to the European   
EN 15  EN Anti-Fraud Office (OLAF ) under the annual allocation procedure and subject to  budgetary 
constraints.  
The proposal includes several articles that d etail further work streams that will need to be 
carried out to implement the Regulation and that would need to be adopted through 
implementing/ or delegated acts in the years following entry into force . These will cover the 
development of harmonised rules on classification of waste, on calculation of financial 
guarantees , the assessment of third countries’  notifications to receive EU waste exports, and 
coordination work as regards the enforcement of the Regulation. A detailed list of these 
envisaged actions  is provided below.  
 Establishment of a harmonised calculation method for financial guarantees or 
equivalent insurance ; 
 Examine and establish harmonised contamination threshold levels to c lassify 
certain wastes as green -listed or not . 
 Examine and establish criteria to distinguish between used goods and waste for 
certain objects or substances ; 
 Establish and maintain a new framework for the export of green -listed waste 
from the EU to a non -OECD country, especially the establishment and 
updat ing of a list of co untries to which the export of such waste is authorised . 
 Monitor the export of waste to OECD countries and mitigate environmental 
problems that might be caused by such exports . 
 Organise and facilitate the work of a dedicated group at EU level with the task  
to facilitate and improve cooperation on enforcement of the WSR  (‘waste 
enforcement group’) . 
The Commission through OLAF  will play a specific role in complementing the work of 
Member States i n enforcing the provisions of this Regulation in complex cross -border cases 
and would engage in : 
 conducting inspection of premises/boats/shipments of economic operators ; 
 collection of information/intelligence from a wide range of sources ; 
 analytical work (use of customs and speciali sed databases and dedicated tools) ; 
 forensics acquisition ; 
 coordination with law enforcement agencies, market surveillance authorities 
and judicial authorities ; 
 cooperation with third countries (through mutual assistance agreements or 
administrative cooperation agreements) ; and 
 cooperation with other EU agencies (EPPO, E uropol , Eurojust , Frontex …) 
For the development of the central system for electronic information exchange on waste 
shipments, work has been carried out internally in DG ENV, but will need to be extended  in  
EN 16  EN relation to development and maintenance of a central system for data exchange for waste 
shipment purposes. The existing IMSOC29 platform will be used as a basis.  
The European Commission will be responsible for general implementation of this Regulation 
and the  adoption of all implementing  and delegated acts envisaged by the Regulation. This 
will require the normal decision -making processes including stakeholder consultation and 
committee  procedures. The current financial estimates  are based on : 
 For ENV: 1 extra  FTE AD post supported by 1 .5 FTE contractual agents, as 
well as operational costs (e.g. study, external consultancy, meetings,…), 
envisaged for general implementation of the Regulation and the necessary  
preparatory work and drafting of secondary legislati on in line with  the 
deadlines proposed in the Waste Shipment Regulation. This amounts to a total 
cost of EUR  4 137 000 for the period 2024 -2027, based on the latest update of 
the cost of Commission  staff as reported on the DG BUDG website: 
https://myintracomm.ec.europa.eu/budgweb/en/pre/legalbasis/Pages/pre -040-
020_preparation.aspx . 
 For OLAF: 1 extra FTE AD post, envisaged for the impl ementation of the 
relevant enforcement -related provisions in the Regulation. This amounts to a 
total cost of EUR  456 000 for the period 2024 -2026, based on the latest update 
of the cost of Commission  staff as reported on the DG BUDG website: 
https://myintracomm.ec.europa.eu/budgweb/en/pre/legalbasis/Pages/pre -040-
020_preparation.aspx . 
The budget  of the proposal  is presented  in current  prices.  
The legislative  financial  statement  attached  to this proposal  sets out the budgetary,  human  and 
administrative  resource  implications.  
5. OTHER  ELEMENTS  
• Implementation  plans  and monitoring,  evaluation  and reporting  arrangements  
The new Regulation should result in an increase in waste materials reused and recycled in the 
EU, an improvement in standards and practices for waste management in countries importing 
waste from the EU and a reduction of illegal waste shipments both within the EU and between 
third countries an d the EU. It should also contribute to building robust and dynamic markets 
for secondary materials and increasing the transition to a circular economy in the EU and third 
countries.  
                                                 
29 Integrated Management System for Official Controls (IMSOC) : this system  integrate s existing (and 
future) computer systems, e.g. TRACES, RASFF and Europhyt to ensure optimal use of data, reduce 
burdens on businesses and national enforcers and accelerate the exchange o f information between 
Member States.  This system was originally established by Regulation (EU) 2017/625 of the European 
Parliament and of the Council of 15 March 2017 on official controls and other official activities 
performed to ensure the application of  food and feed law, rules on animal health and welfare, plant 
health and plant protection products, amending Regulations (EC) No 999/2001, (EC) No 396/2005, 
(EC) No 1069/2009, (EC) No 1107/2009, (EU) No 1151/2012, (EU) No 652/2014, (EU) 2016/429 and 
(EU) 2 016/2031 of the European Parliament and of the Council, Council Regulations (EC) No 1/2005 
and (EC) No 1099/2009 and Council Directives 98/58/EC, 1999/74/EC, 2007/43/EC, 2008/119/EC and 
2008/120/EC, and repealing Regulations (EC) No 854/2004 and (EC) No 88 2/2004 of the European 
Parliament and of the Council, Council Directives 89/608/EEC, 89/662/EEC, 90/425/EEC, 
91/496/EEC, 96/23/EC, 96/93/EC and 97/78/EC and Council Decision 92/438/EEC (Official Controls 
Regulation); OJ L 95, 7.4.2017, p. 1 –142   
EN 17  EN In terms of monitoring, potential problems with compliance and enforcement would be 
monitored through the Member States’ regular implementation reports and progress reports 
drawn up by the Commission based on these Member States’ reports.  
In this respect,  it is noted that a key measure to improve the efficiency of the implementation 
of this Regulation is the establishment of an EU wide system to interchange documents and 
information electronically (electronic data interchange or “EDI”). This should allow f or all 
involved actors to have better access to many data that are of relevance for the 
implementation of Regulation. Notably competent authorities will have a much more 
comprehensive and consistent data set to monitor waste streams, both within and from a nd to 
the EU, and also monitoring of waste flows within, and to and from the EU will improve. The 
EDI system should ensure that structured data are interchanged, which means extractions can 
be consistently done by Member State competent authorities and the  Commission. This 
should improve the quality of reporting considerably and hence allow to better monitor how 
successfully the Regulation is being implemented.  
Furthermore, the new provision concerning the review of Member States’ inspection plans by 
the C ommission would also be an important source of information for monitoring the 
implementation and enforcement of the Regulation.  
Additionally, compliance and enforcement issues would be monitored and discussed in the 
context of the new Waste Shipment Enfor cement Group, which could also identify further 
actions and measures to be undertaken at the EU level to increase the effectiveness of the 
Regulation in the future.  
Finally, the Regulation would be reviewed within 10 years of its entry into force to ensur e that 
its objectives are being met and that its provisions remain  justified . 
 
• Detailed  explanation  of the specific  provisions  of the proposal  
Title I  contains general provisions on the purpose, scope and definitions of this Regulation.  
Article 1  lays down the subject matter of the Regulation, which is to lay down 
measures to protect the environment and human health by preventing or 
reducing the adverse impacts that may result from the shipment of waste.  
Article 2  outlines the scope of this Regula tion. 
Article 3  contains definitions.  
Title II  contains provisions on shipments within the Union, with or without transit through 
third countries . 
Article 4  outlines the overall procedural framework applying to shipments of 
waste within the Union.  
Chapter 1 of this Title contains the provisions applying to the prior written 
notification and consent procedure.  
Article 5  establishes the duty for a notifier to submit a notification request 
when planning to ship wastes under Article 4(1) and (2).  
Article 6  stipulates the requirements relating to the contract that needs to be 
included in the notification request.  
Article 7  stipulates the requirement relating to the financial guarantee that 
must be in place for notified shipments of waste.   
EN 18  EN Article 8  outlines the procedural steps and deadlines  for requesting and 
submitting additional information to complete a notification request.  
Article 9  outlines the procedural steps and deadlines  for competent authorities 
to take a decision on whether to consent o r object to planned shipments, as 
requested in the notification.  
Article 10  provides for competent authorities concerned to lay down 
conditions to a consented shipment.  
Article 11  provides that shipments of waste for disposal are prohibited, except 
if cert ain conditions are met, in which case shipments of waste can be 
approved . 
Article 12  provides for the grounds on which a competent authority can object 
to a shipment of waste for recovery.  
Article 13  provides for the possibility to issue general notificati ons in the case 
of multiple shipments of the same waste to the same treatment facility.  
Article 14  contains provisions on the conditions for waste recovery facilities to 
be pre -consented in Member States, on the mutual recognition by Member 
States of such facilities and on the specific “fast -track” procedure for shipment 
of certain waste to such facilities.  
Article 15  contains additional provisions relating to shipments to interim waste 
treatment operations.  
Article 16  contains requirements following consen t of shipments.  
Article 17  contains provisions on changes in the shipment after consent.  
Chapter 2  of this Title consists of Article 18 , which  provides for the general 
information requirements for shipments of green -listed waste.  
Chapter 3  of this Title contains general requirements . 
Article 19  prohibits the mixing of waste during shipment.  
Article 20  contains provisions on the keeping of documents and information.  
Article 21  contains provisions on public access to notifications.  
Chapter 4  of this Title contains take -back obligations and consists of Articles 22 to 
25, which  provide for the take -back of shipments and the bearing of costs of such 
take-backs.  
Chapter 5  of this Title contains general administrative provisions . 
Article 26  provide s that the issuance and exchange of information and 
documents required under this Regulation is to be made by electronic means, 
and sets the conditions under which systems for such exchange have to 
operate.  
Article 27  provides for the languages in which do cuments and 
communications must be issued in the context of this Regulation.  
Article 28  provides for the applicable procedural requirements to be followed 
in the case of disagreement on the classification of a waste or material shipped. 
It further provides  for the empowerment of the Commission to adopt  
EN 19  EN implementing measures to clarify the classification of certain wastes and the 
distinction between used goods and waste for certain commodities.  
Article 29  sets out the costs that may be charged to notifiers.  
Article 30 provides for the possibilities of border -area agreements in 
exceptional cases.  
Chapter 6 of this Title contains provisions on shipments within the Union with transit 
via third countries . 
Article  31 provides for specific delays for the competent authority of third 
countries concerned to give its written consent in cases of shipments for 
disposal within the Union with transit through these third countries.  
Article 32 provides for specific delays for the competent authority of third 
countries concerned to give its written consent in cases of shipments for 
recovery within the Union with transit through these third countries.  
Title III consists of one article ( Article 33) and relates to the need for Member States to have 
national regimes concerning shipments of waste within one Member State to safeguard 
coherence with the Union system.  
Title IV contains provisions on exports from the Union to third countries . 
Chapter 1 of this Title contains provisions on the export of waste from  the Union  for 
disposal . 
Article 34  provides  for an e xport prohibit ion except to EFTA countries . 
Article 35  provides for the procedural requirements  when exporting to EFTA 
countries. This Article refers mutatis mutandis to Title II and provides for relevant 
adaptati ons and additions to the provisions there. Procedural provisions in Chapter 2 
of this Title IV refer back to this article . 
Chapter 2  of this Title contains provisions on the export of waste from  the Union for 
recovery . 
Section 1  contains provisions for exports of hazardous and other certain wastes to 
non-OECD countries , with Article 36  provid ing for an e xport prohibit ion of 
hazardous and other waste  to non -OECD countries from  the EU . 
Section 2 contains provisions for exports of non-hazardous  wastes to no n-OECD 
countries with  Article s 37-40 providing  for an e xport prohibit ion of non -hazardous 
waste to non -OECD countries except in the case where a non -OECD country notifies 
its willingness to import and demonstrates its ability to manage certain waste in an 
environmentally sound manner. Th ese Article s further contain  the procedure for third 
countries to notify their willingn ess and ability to receive and manage waste, and the 
empowerment for the Commission to assess these notifications and publish a list of 
countries that are eligible for receiv ing exports of certain green -listed wastes from the 
Union.  
Section 3  contains provisions for exports to OECD countries . 
Article 41  containing  the procedural requirements for exports for recovery to 
OECD countries outside the Union.  This Article refers mutatis mutandis to 
Title II and refers to Article 35, and provides for relevant adaptations and 
additions to the provisions there.   
EN 20  EN Article 42 provides for the monitoring of export to OECD countries and a 
safeguard procedure  in case the exports of waste to such countries lead to a 
situation where such waste are not managed in an environmentally sound 
manner.  This Article provides for the Commission  to be empowered to take 
action where necessary in case where the waste is not managed in an 
environmentally sound manner.  
Chapter 3  of this Title contains additional obligations  applying to the export of waste . 
Article 43 contains obligations for exporter s to ensure the waste they export is 
managed at destination in an environmentally sound manner . 
Article 4 4 contains obligations for exporting Member States to take necessary 
measures to ensure that the provisions in this Title are properly implemented.  
Chapter 4  of this Title contains general provisions . 
Article 4 5 prohibits the exports of waste to the Antarctic.  
Article 4 6 provides that exports to overseas countries or territories for disposal 
and of hazardous waste for recovery are prohibited and that for  other exports 
for recovery Title II applies mutatis mutandis.  
Title V contains provisions on imports into the Union from third countries . 
Chapter 1  of this Title contains provisions on the import of waste into the Union for 
disposal .  
Article 4 7 prohibit s imports  except from a country Party to the Basel 
Convention or with an agreement in place or from other areas during situations 
of crisis or war . 
Article 48 contains procedural requirements for imports from a country Party 
to the Basel Convention or from  other areas during situations of crisis or war . 
This Article refers mutatis mutandis to Title II and provides for relevant 
adaptations and additions to the provisions there. Procedural provisions in 
Chapter 2 of this Title IV refer back to this article.  
Chapter 2 of this Title contains provisions on the import of waste into the Union for 
recovery . 
Article 49 prohibits imports except from an OECD Decision country or a 
country Party to the Basel Convention or with an agreement in place or from 
other areas du ring situations of crisis or war . 
Article 50 contains p rocedural requirements for imports from an OECD 
Decision country or from other areas during situations of crisis or war . This 
Article refers mutatis mutandis to Title II and refers to Article 45, and p rovides 
for relevant adaptations and additions to the provisions there.  
Article 51 contains p rocedural requirements for imports from a non -OECD 
Decision country Party to the Basel Convention or from other areas during 
situations of crisis or war . This Arti cle refers mutatis mutandis to Article 45.  
Chapter 3  of this Title contains additional obligations . 
Article 5 2 contains obligations for Member States of import to ensure the sound 
management of imported waste and prohibit any such import if there is reason  to 
believe the waste will not be managed properly.   
EN 21  EN Chapter 4  of this Title contains general provisions . 
Article 53 provides that for imports from  overseas countries or territories Title II applies 
mutatis mutandis.  
Title VI contains provisions on transit through the Union from and to third countries . 
Article 54 contains provisions for the transit for disposal.  
Article 55 contains provisions for the transit for recovery.  
Title VII contains provisions on  enforcement of this Regulation .  
Chapter 1 of this Tit le consist s of one article ( Article 56) and provides for the general 
obligations for all those involved in shipments of waste to  take the necessary steps to 
ensure that , throughout the period of shipment and during its recovery and disposal , 
any waste they ship is managed without endangering human health and in an 
environmentally sound manner.  
Chapter 2 of this Title contains provisions on the enforcement of this Regulation . 
Section 1 addresses the enforcement actions by Member States . 
Articl e 57 contains provisions on inspections . 
Article 58 contains provisions on documentation and evidence . 
Article 59 contains provisions on inspection plans by Member States.   
Article 60 contains provisions on penalties.  
Article 61 contains provisions on enforcement cooperation at national level . 
Article 62 contains provisions on enforcement cooperation between Member 
States.  
Article 63 contains provisions on the waste shipment enforcement group.  
Section 2 addresses the enforcement activities actions by the Commission in the 
context of this Regulation . 
Title VIII  contains final provisions . 
Article 69 contains provisions on reporting obligations for Member States.  
Article 70 contains provisions on international cooperation.  
Article 71 contains provisions on the designation of competent authorities in Member States.  
Article 72 contains provisions on the designation of correspondents . 
Article 73 contains provisions on the designation of customs offices of entry into and exit 
from the Uni on. 
Article 74 contains provisions on the n otification of, and information regarding, designations . 
Article 75 contains provisions on the a mendment of Annexes I to X  to this Regulation.  
Article 76 and 77 set out the conditions for the Commission's adoption  of delegated and 
implementing acts.  
Artic le 78 amends Regulation (EU) No 12 57/2013 to align it and this Regulation with the 
applicable international obligations of the Union and its Member States  as regards end -of-life 
vessels .  
EN 22  EN Article 7 9 amends Regulatio n (EU) No  2020/1056 to update the references made in that 
Regulation to waste transport documents.  
Article 80 provides for a review of this Regulation in 2034.  
Article 81 provides for repeal and transitional rules.  
Article 82 provides  for the e ntry into force and application  of this Regulation.  
  
EN 23  EN 2021/0367 (COD)  
Proposal for a  
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL  
on shipments of waste and amending Regulations (EU) No 1257/2013 and (EU) No 
2020/1056  
(Text with EEA relevance)  
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,  
Having regard to the Treaty on the Functioning of the European Union, and in particular 
Article 192(1) thereof,  
Having regard to the pr oposal from the European Commission,  
After transmission of the draft legislative act to the national parliaments,  
Having regard to the opinion of the European Economic and Social Committee30, 
Having regard to the opinion of the Committee of the Regions,  
Acting in accordance with the ordinary legislative procedure,  
Whereas:  
(1) It is necessary to lay out rules at the Union level  to protect the environment and human 
health against the adverse impacts which may result from the shipment of waste. 
These rules  should also contribute to the facilitation of environmentally sound 
management of waste, in accordance with the waste hierarchy  laid down in Article 4 
of Directive 2008/98/EC of the European Parliament and of the Council31, as well as 
to the reduction of over all impacts of resource use and to the improvement of the 
efficiency of such use, which is crucial for the transition to a circular economy.    
(2) Regulation (EC) No 1013/2006 of the European Parliament and of the Council32 has, 
over the past fifteen years, brought about important improvements to protect the 
environment and human health against the adverse impacts which may result from the 
shipment of waste. However, the Commission’s evaluation33 of that Regulation has 
also r evealed a number of challenges and shortcomings , which need to be addressed 
through new regulatory provisions .    
(3) The European Green Deal34 sets out an ambitious roadmap to transform the Union into 
a sustainable, resource efficient and climate neutral e conomy. It calls on the 
                                                 
30 OJ C , ,  p. . 
31 Directive 2008/98/EC of the European Parliament and of the Council of 19 November 2008 on waste 
and repealing certain Direc tives ( OJL 312, 22.11.2008, p. 3 ). 
32 Regulation (EC) No 1013/2006 of the European Parliament and of the Council of 14 June 20 06 on 
shipments of waste (OJ L 190, 12.7.2006, p. 1).  
33 Commission Staff Working Document on the evaluation of Regulation (EC) No 1013/2006 of the 
European Parliament and of the Council of 14 June 2006 on shipments of waste ( SWD(2020) 27 final ). 
34 Communic ation from the Commission to the European Parliament, the European Council, the Council,  
  
EN 24  EN Commission to rev iew the Union rules on waste shipments established under 
Regulation (EC) No 1013/2006.  The New Circular Economy Action Plan35 adopted in 
March 2020 further stresses the need for action to ensure that shipments of was te for 
re-use and recycling in the Union are facilitated, that the Union does not export its 
waste challenges to third countries and that illegal waste shipments are better 
addressed.  In addition to the environmental and social benefits, this can also resu lt in 
ameliorating EU’s strategic depe ndencies on raw materials . Both the Council36 and the 
European Parliament37 have also called for a revision of the current Union rules on 
waste shipments established under Regulation (EC) No 1013/2006 .   
(4) Regulation (EC) No 1013/2006 has already been amended on several occasions and 
requires further significant amendments to ensure that the policy objectives of the 
European Green Deal and the New Circular Economy Action Plan are met. Regulation 
(EC) No 1013/2006 shoul d therefore be replaced by a new Regulation.   
(5) This Regulation supplements the general waste management legislation of the Union, 
such as Directive 2008/98/EC. It refers to the definitions in that Directive, including, 
the definitions of waste and gener al waste management operations. It also includes a 
number of additional definitions in order to facilitate uniform application  of this 
Regulation .  
(6) This Regulation implements at Union level the Basel Convention of 22  March 1989 on 
the control of transb oundary movements of hazardous wastes and their disposal38 (‘the 
Basel Convention’). The Basel Convention aims to protect human health and the 
environment against the adverse effects resulting from the generation, transboundary 
movements and management of h azardous wastes and other wastes. The Union has 
been a Party to the Basel Convention since 199439.  
(7) This Regulation also implements at Union level an amendment to the Basel 
Convention40 (the Ban Amendment) which was adopted in 1995 and entered into force  
at the international level on 5 December 2019. The Ban Amendment establishes a 
general prohibition on all exports of hazardous waste that are intended for final 
disposal, re -use, recycling and recovery from countries listed in Annex VII to the 
Basel Conve ntion to all other countries. The Union has ratified the Ban Amendment 
and implemented it since 199741. 
                                                                                                                                                         
the European Economic and Social Committee and the Committee of the Regions, The European Green  
Deal ( COM (2019) 640 final ) 
 
35 Communication from the Commission to the  European Parliament, the Council, the European 
Economic and Social Committee and the Committee of the Regions of 11 March 2020, A new Circular  
  Economy Action Plan – For a cleaner and more competitive Europe (COM(2020)98 final).  
36 Council conclusions on Making the Recovery Circular and Green (13852/20 OJ CONS 34) . 
37 European Parliament resolution of 10 February 2021 on the New Circular Economy Action Plan 
(2020/2077(INI)).  
 
38 OJ L 39, 16.2.1993, p. 3  
39 Council Decision 93/98/EEC of 1 February 1993  on the conclusion, on behalf of the Com munity, of the  
Convention on the control of transboundary movements of hazardous wastes and their disposal (Basel 
Convention)   (OJ L 39, 16.2.1993, p. 1 ). 
40 Amendment to the Basel Convention (‘Ban A mendment’) adopted by Deci sion III/1 of the Parties to the 
Basel Convention.  
41 Council Decision 97/640/EC of 22 September 1997 concerned  the approval, on behalf of the 
Community, of the Ban Amendment (OJ L 272, 4.10.1997, p. 45) and Council Regulation (EC) No 
  
EN 25  EN (8) The Union submitted in October 2020 a notification, covering shipment of waste 
within the Union, to the Secretariat of the Basel Convention under Art icle 11 of that 
Convention. In line with th at Article, the Union might therefore set out specific rules 
applying to the intra -EU shipments of waste which are not less environmentally sound 
than those provided for by the Basel Convention.  
(9) In view of the fact that the Union has approved the Decision of the OECD Council of 
30 March 1992 on the Control of Transboundary Movements of Wastes Destined for 
Recovery Operations42 (‘the OECD  Decision ’), it is necessary to incorporate the 
content of tha t Decision, including its amendments, in Union legislation.  
(10) It is important to organise and regulate the supervision and control of shipments of 
waste in a way which takes account of the need to preserve, protect and improve the 
quality of the environ ment and human health and which ensures a uniform application 
of rules on waste shipments throughout the Union.  
(11) It is necessary to avoid duplication  with applicable Union legislation on the transport 
of certain materials that could classify as waste u nder this Regulation.  
(12) Shipments of waste generated by armed forces or relief organisations should be 
excluded from the scope of this Regulation when imported into the Union in certain 
situations (including transit within the Union when the waste enter s the Union). The 
requirements of international law and international agreements should be respected in 
relation to such shipments. In such cases, any competent authority of transit and the 
competent authority of destination in the Union should be informed  in advance 
concerning the shipment and its destination.  
(13) It is necessary to avoid duplication with Regulation (EC) No 1069/2009 of the 
European Parliament and of the Council43, which already contains provisions covering 
the overall consignment, channel ling and movement (collection, transport, handling, 
processing, use, recovery or disposal, record keeping, accompanying documents and 
traceability) of animal by -products within, into and out of the Union.  
(14) Regulation (EU) No 1257/2013 of the European Parliament and of the Council44 
applies to large commercial ships flying the flag of a Member State of the Union, 
which were  excluded from the scope of application of Regulation (EC) No 1013/2006. 
However, f ollowing the recent international entry into force  of the Ban Amendment, it 
is necessary to ensure that the ships covered by the scope of Regulation (EU) No 
1257/2013 which become waste in the Union are made subject to the relevant Union 
waste shipment rules implementing the Ban Amendment, in order to ens ure strict legal 
compatibility of the Union’s legal regime with international obligations. At the same 
time, it is also necessary to amend Regulation (EU) No 1257/2013 to clarify that ships 
falling within  the scope of that Regulation and which become waste  in the Union shall  
only be recycled at those facilities included in the European List of ship recycling 
                                                                                                                                                         
120/97 of 20 January 1 997 amended  Regulation (EC) No 259/93 on the supervision and control of 
shipments of waste within, into and out of the European Community  (OJ L 22, 24.1.1997, p. 14).  
42 OECD/LEGAL/0266  
43 Regulation (EC) No 1069/2009 of the European Parliament and of the Council of 21 October 2009 
laying down health rules as regards animal by -products and derived products not intended for human 
consumption and repealing Regulation (EC) No 1774/2002 (Animal by -products Regulation) (OJ L 
300, 14.11.2009, p. 1).  
44 Regulation (EU) No 1257/2013 of the European Parliament and of the Council of 20 November 2013 
on ship recycling and amending Regulation (EC) No 1013/2006 and  Directive 2009/16/EC ( OJ L 330, 
10.12.2013, p. 1 ).  
EN 26  EN facilities established under that Regulation, which are located in countries listed in 
Annex VII to the Basel Convention.  
(15) Although the supervision  and control of shipments of waste within a Member State is 
a matter for that Member State, national systems concerning shipments of waste 
should take account of the need for coherence with the Union system in order to 
ensure a high level of protection of the environment and human health.  
(16) In the case of shipments of waste not listed in Annex  III, Annex IIIA or Annex IIIB of 
this Regulation and destined for recovery operations, it is appropriate to ensure 
optimal supervision and control by requiring pri or written consent to such shipments. 
Such a procedure should in turn entail prior notification, which enables the competent 
authorities to be duly informed so that they can take all necessary measures for the 
protection of human health and the environment . It should also enable those 
authorities to raise reasoned objections to such shipments.  
(17) In order to support the implementation of the provisions in  Directive 2008/98/EC  
designed to increase the separate collection of waste and reduce the generation of 
mixed municipal waste , shipments of mixed municipal waste to another Member State 
should  be subject to particular scrutiny . Furthermore, in order to support the 
achievements of targets to increase recycling and reduce disposal of waste set out in 
Directive 2008/98/EC and Council Directive 1999/31/EC45, shipments of waste for 
disposal  in another Member State  should be generally prohibited.  Shipments of waste 
for disposal  should  be allowed  only in exceptional cases . In those cases, Member  
States should take into acco unt the principles of proximity and self -sufficiency at 
Union  and national levels, in accordance with Directive 2008/98/EC, and in particular 
Article 16 of that Directive , as well as the priority for recovery . Member States  shou ld 
also be able to ensure that the waste management  facilities covered by Directive 
2010/75/EU of the European Parliament and of the Council46 apply best available 
techniques  as defined in that Directive in compliance with the permit  of the facility, 
and th at the waste is treated in accordance  with human health and environmental 
protection requirements  in relation to disposal operations established in Union 
legislation.  
(18) In the case of shipments of waste listed in Annex  III, Annex IIIA or Annex IIIB of this 
Regulation destined for recovery operations, it is appropriate to ensure a minimum 
level of supervision and control by requiring such shipments to be accompanied by 
certain information  on the persons and countries involved in the shipments, the 
description and quantities of the waste concerned, the type of recovery operation  for 
which the waste is shipped and  the details of the facilities  which will recover the 
waste .  
(19) It is necessary to set the grounds for Member States to object to shipments of waste 
destined for recovery. In the case of such shipments, Member States should be able to 
ensure that the waste management facilities covered by Directive 2010/75/EU apply 
best available techniques as set out in that Directive in compliance with the p ermit of 
the facility. Member States should also be able to ensure that waste is treated in 
accordance with human health and environmental protection requirements  in relation 
to recovery operations established in Union legislation and that, taking account of 
                                                 
45 Council Directive 1999/31/EC of 26 April 1999 on the la ndfill of waste  (OJ L 182, 16.7.1999, p. 1 ). 
46 Directive 2010/75/EU of the European Parliament and of the Council of 24 November 2010 on 
industrial emissions (integrated pollution prevention and control)  (OJ L 334, 17.12.2010, p. 17 ).  
EN 27  EN Article  16 of Directive  2008/98/EC, waste is treated in accordance with waste 
management plans established pursuant to that Directive with the purpose of ensuring 
the implementation of legally binding recovery or recycling obligations established in 
Union legislation.  
(20) It is necessary to provide for procedural steps and safeguards, when a notifier wishes 
to ship waste subject to the procedure of prior written notification and consent, in the 
interests of legal certainty and to ensure uniform applicat ion of this Regulation and the 
proper functioning of the internal market.  It is also necessary, in line with  Article 
6(11) of the Basel Convention , to ensure that the costs arising from situations where 
the shipment  of waste subject to the prior written no tification and consent cannot be 
completed or is illegal, are borne by the relevant operators.  To this end,  the notifier  
should  establish  a financial guarantee or equivalent insurance for each shipment  of 
such waste .  
(21) In order to reduce the administrative burden for both public and private operators 
involved in shipments to facilities recognised as ‘pre-consented ’, it is necessary to set 
out the conditions under which the status of ‘pre-consented ’ can be granted, to ensure 
their mutual recogn ition by all Member States and harmonise the requirements for 
shipping waste to these facilities.  
(22) In order to reduce delays in the processing of notifications for the shipment of waste 
and facilitate the exchange of information between the relevant au thorities, it is 
necessary that the issuance and exchange of information and data, which relates to 
individual shipments of waste within the Union, be made via electronic means. It is 
also necessary to empower the C ommission to lay out the procedural and o perational 
requirements for the practical implementation of the systems ensuring this electronic 
submission and exchange of information (such as interconnectivity, architecture and 
security) . It is also necessary to provide sufficient time for competent au thorities in the 
Member States and economic operators to prepare for the shift from a paper based 
approach, as laid down in Regulation (EC) 1013/2006, to an approach to exchange 
information and documents electronically. This new obligation should therefore  
become applicable 24 months after the date of application of this Regulation.    
(23) Economic operators involved in the transport of waste should be allowed to use  the 
environment  as established in Regulation (EU) No 2020/1056  of the European 
Parliament and of the Council47 for the exchange of the information required under 
this Regulation during the transport of the waste , and interoperability of the systems 
provided for in this Regulation and the environment for the exchange of electronic 
freight transpo rt information should  be ensured.  
(24) In order to facilitate the work carried out by customs in the implementation of this 
Regulation, it is necessary that the central system operated by the Commission that 
allows for the electronic submission and exchang e of information and documents 
becomes interoperable with the European Union Single Window Environment for 
Customs, currently being developed at the Union level48, when all required technical 
work to ensure this operability is completed.  
                                                 
47 Regulation (EU) 202 0/1056 of the European Parliament and of the Council of 15 July 2020 on 
electronic freight transport information ( OJ L 249, 31.7.2020, p. 33).  
48 Proposal by the Commission for a Regulation of the European Parliament and the Council establishing 
the European Union Single Window Environment for Customs and amending Regulation (EU) No 
952/2013, COM(2020) 673 final .  
EN 28  EN (25) Competent auth orities in third countries should be able to issue and exchange the 
information and documents for the procedural requirements under this Regulation, via 
electronic means through the system operated at the Union level, if they so wish and if 
they comply wit h the requirements to exchange data via this system.  
(26) In order to ensure traceability of shipments of waste and not to impair the 
environmentally sound management of waste shipped across borders, it should be 
prohibited to mix waste with other waste from the start of the shipment to the receipt 
of the waste in recovery or disposal operation.  
(27) To facilitate the enforce ment of the obligations laid down in this Regulation, it is 
important that economic operators and competent authorities keep documents and 
information required for the shipment of waste for a minimum period of five years 
from the date when a shipments star ts. 
(28) Member States should be required to ensure that, in accordance with the 
United  Nations Economic Commission for Europe (UNECE) Convention on Access to 
Information, Public Participation in Decision -making and Access to Justice in 
Environmental Matte rs of 25  June 1998 (Aarhus Convention)49, the relevant 
competent authorities make publicly available by appropriate means information on 
notifications of shipments  they have consented to, as well as on shipments of waste 
subject to the general information requirements  of this Regulation , where such 
information is not confidential under national or Union legislation.  
(29) In order to implement the requirements set out in Article 9(2), (3) and (4) of the Basel 
Convention, a n obligation should be laid down to t he effect  that waste  from a 
shipment that cannot be completed as intended is to  be taken back to the country of 
dispatch or recovered or  disposed of in an alternative way. It should also be  
compulsory for the person whose  action is the cause of an illegal shipment to take 
back the  waste involved or make alternative arrangements for its  recovery or disposal , 
and to be ar the costs arising from the take -back operations . Failing that, the competent 
authorities  of dispatch or destination, as appropriate, should cooperate to ensure the 
environmentally sound management of the waste concerned . 
(30) With a view to ensuring that competent authorities are able to correctly process the 
documents submitted to them relating to the shipment of waste, it is necessary to lay  
out an obligation for the notifier to provide an authorised translation of these 
documents in a language acceptable to these authorities, if they so request . 
(31) In order to avoid disruptions of shipments of waste or goods, due to a disagreement 
between competent authorities on the status of these waste or goods, it is necessary to 
set out a procedure to resolve such disagreements. It is important in that regard that 
competent authorities base their decisions on the provisions relating to the 
determinatio n of by -products and to the end -of-waste status of Directive  2008/98 /EC. 
It is also necessary to lay out a procedure to resolve disagreements between competent 
authorities as to whether waste sh ould be subject or not to the notification procedure. 
To ensur e a better harmonisation across the Union of the conditions under which 
waste sh ould be subject to the notification procedure, the Commission should also be 
empowered to adopt implementing acts establishing criteria for the classification of 
specific waste  in the relevant Annexes to this Regulation, which will determine 
whether or not it is subject to the notification procedure. In addition, in order to avoid 
                                                 
49 OJ L 124, 17.5.2005, p. 4.   
EN 29  EN that waste are falsely declared as used goods and to provide legal clarity, the 
Commission should b e empowered to adopt implementing acts establishing criteria to 
distinguish between used goods and waste, for specific commodities for which such 
distinction is important, especially for their export from the Union.   
(32) To allow administrations to limit public expenditures linked to the handling of 
procedures for the shipment of waste and to the enforcement of this Regulation, it is 
necessary to foresee the possibility that appropriate and proportionate administrative 
costs linked to these procedures, as well as to supervision, analyses and inspections, be 
charged to the notifier.  
(33) In order to reduce administrative burdens and in exceptional circumstances, linked to 
specific geographical or demographical situations, Member States may conclude 
bilatera l agreements making the notification procedure for shipments of specific flows 
of waste less stringent in respect of cross -border shipments to the nearest suitable 
facility located in the border area between the two Member States concerned . It should 
also be possible for a Member State to conclude such agreements with a country  that is 
party to the Agreement on the European Economic Area , as well in a situation where 
waste i s shipped from and treated in the country of dispatch but transits through 
another Member State . 
(34) It is necessary, in order to protect the environment of the countries concerned, to 
clarify the scope of the prohibition of exports laid down in accordance with the Basel 
Convention from the Union of any waste destined for disposal in a third country other 
than an EFTA (European Free Trade Association) country.  
(35) Countries that are Parties to the Agreement on the European Economic Area may 
adopt the control procedures provided for shipments within the Union.  In such cases, 
shipments b etween the Union and these countries should be subject to the same rules 
as shipments within the Union.  
(36) To protect the environment of  the countries concerned,  it is necessary  to clarify the 
scope of the  prohibition of exports of hazardous waste desti ned for  recovery in third 
countries  to which the OECD Decision does not  apply, in accordance with the Basel  
Convention. In particular, it is necessary to clarify the list  of waste to which that 
prohibition applies and to ensure  that it also includes the wa ste listed in Annex II to 
the Basel  Convention, namely waste collected from households , residues from the 
incineration of household waste  and hard -to-recycle plastic waste.  
(37) It is necessary to establish strict rules concerning the export for recovery  of non-
hazardous waste to third countries to  which the OECD Decision does not apply , in 
order to ensure that this waste does not create damages to environment and public 
health in these countries. Under these rules, export from the Union should be allowed 
only to countries included in a list drawn up and to be updated by the Commission, 
when these countries have submitted a request to the Commission stating their 
willingness to receive certain non -hazardous waste from the Union and demonstrating 
their ability to manage such waste in an environmentally sound manner, on the basis 
of criteri a laid down in this Regulation. Export s to countries other than those included  
in that list  should be prohibited. To  ensure sufficient time for the transition to this new 
regime, a transitional period  of three years  after the general date of application  of this 
Regulation should be foreseen.  
(38) Countries to which the OECD decision applies are subject to the rules and 
recommendations laid down by the OECD on the shipment and management of waste,  
EN 30  EN and have generally higher standa rds for the management of was te than countries to 
which the OECD decision does not apply. It is however important that the export from 
the Union of non -hazardous waste  for recovery does not create damages to 
environment and public health  in countries to which the OECD decision applies . It is 
therefore necessary to establish a mechanism to monitor shipments of non -hazardous 
waste to such countries. In  cases where  the export of non-hazardous waste from the 
Union to the country concerned has considerably increase d within a short period of  
time and there is a lack of information available demonstrating the  ability of the 
country concerned to recover this waste in an environmentally sound  manner , the 
Commission should enter into a dialogue with the country concerned  and, if the 
information i s not sufficient to prove that the waste is recovered in an environmentally 
sound manner , be empowered to suspend such exports.  
(39) The necessary steps should be taken to ensure that, in accordance with 
Directive  2008/98/EC and other Union legislation on waste, waste shipped within the 
Union and waste imported into the Union is managed, throughout the period of 
shipment and including r ecovery or disposal in the country of destination, without 
endangering human health and without using processes or methods which could harm 
the environment.  It is also necessary to ensure that waste exported from the Union is 
managed in an environmentally  sound manner throughout the period of shipment and 
including recovery or disposal in the third country of destination. To this end, an 
obligation should be introduced for exporters of waste to ensure that the facility which 
receives the waste in the third  country of destination is made subject to an independent 
third party audit , prior to exporting waste to the facility in question . The purpose of 
this audit is to verify compliance of the facility in question with specific criteria laid 
down in this Regula tion, designed to ensure that the waste will be managed in an 
environmentally sound manner . Where such audit conclude s that the criteria laid down 
in this Regulation is not fulfilled by the facility in question, the exporter should not be 
entitled to expor t waste to this facility. This obligation should apply with regard to 
facilities located in all third countries, including those that are member  of the OECD. 
The OECD Decision states that waste exported to another OECD country “ shall be 
destined for recove ry operations within a recovery facility which will recover the 
wastes in an environmentally sound manner according to national laws, regulations 
and practices to which the facility is subject ”. The OECD Decision does not contain 
any element or criterion s pecifying how to implement this requirement as regards the 
“environmentally sound management” of waste. In the absence of common criteria 
defining the conditions under which waste shall be recovered in the relevant facilities, 
it is necessary to address th e risk that waste exported from the EU to countries 
belonging to the OECD is mismanaged in specific facilities, and hence facilities 
located in these countries should be subject to the audit requirements foreseen in this 
Regulation.  
(40) Considering  the ri ght of each Party to the Basel  Convention, pursuant to Article  4(1) 
thereof, to prohibit the import of hazardous waste or of waste listed in Annex  II to that 
Convention , imports into the Union of waste for disposal should be permitted where 
the exporting c ountry is a Party to that Convention. Imports into the Union of waste 
for recovery should be permitted where the exporting country is one to which the 
OECD  Decision applies or is a Party to the Basel Convention. In other cases, imports 
should be allowed on ly if the exporting country is bound by a bilateral or multilateral 
agreement or arrangement compatible with Union legislation and in accordance with 
Article  11 of the Basel Convention, except when this is not possible during situations 
of crisis, peacemak ing, peacekeeping or war.   
EN 31  EN (41) This Regulation should reflect the rules regarding exports and imports of waste to and 
from the overseas countries and territories laid down in Council 
Decision  2013/755/EU50. 
(42) In the specific cases of shipments taking place within the Union with transit via third 
countries, specific provisions pertaining to the consent procedure by third countries 
should apply . It is also necessary to adopt specific provisions pertaining to the 
procedures applying to the transit of wast e through the Union from and to third 
countries . 
(43) For environmental reasons and in view of the particular status of the Antarctic, this 
Regulation shall explicitly prohibit the export of waste to this territory.   
(44) To ensure harmonised implementatio n and enforcement of this Regulation, it is 
necessary to lay out obligations for Member States to carry out inspections of the 
shipments of waste. Adequate planning of inspections of shipments of waste is also 
necessary to establish the capacity needed for  inspections and to effectively prevent 
illegal shipments. Regulation (EC) No 1013/2006 required Member States to ensure 
that inspection plans for waste shipments be established by 1 January 2017. To 
facilitate more consistent application of the provisions  related to inspection plans and 
to ensure harmonised approach for inspections across the Union, Member States 
should notify their inspection plans to the Commission , which should be tasked to 
review these plans and, where appropriate, issue recommendation s for improvements.  
(45) Diverging rules exist in the Member States  as regards the power of, and possibility for, 
authorities involved in inspections in Member States to require evidence to ascertain 
the legality of shipments. Such evidence could concern, inter alia, whether the 
substance or object is waste, whether the waste has been correctly classified, and 
whether the waste will be shipped to facilities managing waste in an environmentally 
sound manner in accordance with this Regulation. This Regulation  should therefore 
provide the possibility for authorities involved in inspections in Member States to 
require such evidence. Such evidence may be requested on the basis of general 
provisions or on a case -by-case basis. Where such evidence is not made avail able or is 
considered to be insufficient, the carriage of the substance or object concerned, or the 
shipment of waste concerned should be considered as an illegal shipment and should 
be dealt with in accordance with the relevant provisions of this Regulati on.  
(46) Member States should lay down rules on administrative penalties applicable to 
infringements of this Regulation and ensure that those rules are enforced. The 
penalties provided for should be effective, proportionate and dissuasive. The 
evaluation of Regulation (EC) No 1013/2006 found that one of the shortcomings is 
that national rules on penalties differ significantly across the Union. Therefore, to 
facilitate more consistent application of penalties, common non -exhaustive criteria 
should be establ ished for determining the types and levels of penalties to be imposed 
in case of infringements of this Regulation. These criteria should include, inter alia, 
the nature and gravity of the infringement and the economic benefits derived from and 
the environm ental damage caused by the infringement, insofar as these can be 
determined. Furthermore, in addition to the administrative penalties required under 
this Regulation, Member States should ensure that illegal shipment of waste 
                                                 
50 Council Decision 2013/755/EU of 25 November 2013 on the association of the overseas countries and 
territories  with the European Union ( ‘Overseas Association Decision’ ) ; OJ L 344, 19.12.2013, p. 1 –
118.  
EN 32  EN constitutes a criminal offence in serious cases, in accordance with the provisions laid 
down in Directive 2008/99/EC of the European Parliament and of the Council of 19 
November 200851. 
(47) Experience with the application of Regulation (EC) No 1013/2006 showed that t he 
involvement of mu ltiple actors at the national level creates challenges to coordination 
and cooperation in relation to enforcement. Therefore, Member States sho uld ensure 
that all relevant authorities involved in enforcement of  this Regulation have effective 
mechanisms to enable them to cooperate and coordinate domestically concerning the 
development and implementation of enforcement policies and activities to address 
illegal shipments of waste, including for the establishment and  implementation of the 
inspection plans.  
(48) It is necessary for Member States to cooperate, bilaterally and multilaterally, with one 
another in order to facilitate the prevention and detection of illegal shipments  of waste. 
To further improve coordination and cooperation across the Union, a  dedica ted 
enforcement group should be established  with the participation of designated 
representatives of the Member States and of the Commission, as well as 
representatives of other relevant institutions, bodies, offices, agencies or networks . 
This enforcement group should meet regularly. It should be a forum, inter alia, for 
sharing information and intelligence on trends in illegal shipments and for exchanging 
views on enforcement activities, including best practices.  
(49) To support and compl ement the enforcement activities of the Member States, the 
Commission should be empowered to carry out investigative and coordinating actions 
in respect of illegal shipments, which might have serious adve rse effects on human 
health or the environment.  In carrying out these activities, the Commission should act 
in full respect of procedural guarantees.  The Commission may consider, as a matter of 
its internal organisation, entrusting certain enforcement actions foreseen by this 
Regulation to the European Anti -Fraud Office  (OLAF) , which possesses relevant 
expertise in that regard .  
(50) Member States should provide the Commission with information concerning the 
implementation of this Regulation, both through the reports submitted to the 
Secretariat of the Basel  Convention and on the basis of a separate questionnaire.  The 
Commission should produce a report every four years on the implementation of this 
Regulation, based on the information provided by the Member States as well as on 
other  information, gathered in particular through ad hoc reports by the Commission 
and the European Environment Agency on the shipments of plastic waste and other 
specific waste streams  that are a source of concern .  
(51) Efficient international cooperation regarding control of shipments of waste is 
instrumental in ensuring that shipments of waste are controlled and monitored on an 
appropriate level. Information exchange, shared responsibility and cooperative efforts 
between the Union and its Member States and third  countries sho uld be promoted with 
a view to ensuring sound management of waste.  
(52) In order to facilitate the exchange of information and cooperation for the 
implementation of this Regulation, Member States should designate competent 
                                                 
51 Directive 2008/99/EC of the European Parliament and of the Council of 19 November 2008 on the 
protection of the environment through criminal law ( OJ L 328, 6.12 .2008, p. 28 )..  
EN 33  EN authorities and correspondents an d notify them to the Commission, which should 
make this information publicly available.  
(53) Member States should be entitled, for the purpose of ensuring the control of waste 
shipments, to designate specific customs offices of entry and exit for shipments  of 
waste entering and leaving the Union and notify them to the Commission, which 
should make this information publicly available.  
(54) In order to supplement or amend this Regulation , the power to adopt acts in 
accordance with Article 290 of the Treaty on  the Functioning of the European Union 
should be delegated to the Commission in respect of  Articles 37(13), 40(8) and Article 
72 of this Regulation . It is of particular importance that the Commission carries out 
appropriate consultations during its prepara tory work, including at expert level, and 
that those consultations be conducted in accordance with the principles laid down in 
the Interinstitutional Agreement of 13 April 2016 on Better Law -Making52. In 
particular, to ensure equal participation in the prep aration of delegated acts, the 
European Parliament and the Council receive all documents at the same time as 
Member States’ experts, and their experts systematically have access to meetings of 
Commission expert groups dealing with the preparation of delega ted acts.  
(55) In order to ensure uniform conditions for the implementation of  this Regulation, 
implementing powers should be conferred on the Commission  to adopt measures on a 
harmonised method for calculating the financial guarantee or equivalent insura nce, to 
clarify the classification of waste under this Regulation ( including the establishment of 
contamination le vel threshold for certain waste)  and to clarify for certain types of 
commodities the distinction between used goods and waste when shipped 
transboundary.  Those powers should be exercised in accordance with Regulation (EU) 
No 182/2011 of the European Parliament and of the Council53. 
(56) Regulation (EU) 2020/1056 establishes a legal framework for the electronic 
communication of regulatory information between the economic operators concerned 
and competent authorities in relation to the transport of goods on the territory of the 
Union and covers parts of this Regulation in its provisions.  In order to ensure 
consistency between the instruments , it is necessary to amend Regulation (EU) 
2020/1056.  
(57) It is necessary to provide for sufficient time for economic operators to comply with 
their new obligations under this Regulation, and for Member States and the 
Commission to set up the administrati ve infrastructure necessary for its application. 
The application of several provisions of this Regulation should therefore also be 
deferred to a date where those preparations can reasonably be finalised.  Most 
provisions of this Regulation will become appli cable two months after its entry into 
force, while the provisions linked to the obligations set out in Article 26 to issue and 
exchange documents electronically will become applicable two years after this date, 
and some provisions relating to the export of  waste will become applicable three years 
after this date. In order to avoid any regulatory gap, it is necessary to ensure that some 
provisions of Regulation (EC) No 1013/2006 remain in force, until the date when the 
provisions of this regulation with a de layed application becomes applicable.  
                                                 
52 OJ L 123, 12.5.2016, p. 1.  
53 Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 
laying down the rules and general principles concerning mechanisms for control by Member States of 
the Commission’s  exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).   
EN 34  EN (58) Since the objectives of this Regulation  cannot be sufficiently achieved by the Member  
States, but  can rather,  by reason of  the need for harmonization,  be better achieved at 
Union level, the  Union may adopt measure s, in accordance with the  principle of 
subsidiarity as set out in Article 5 of the Treaty  on the European Union . In accordance 
with the principle of proportionality, as set  out in that Article, this Regulation does not 
go beyond  what is necessary in order to achieve that objective,  
HAVE ADOPTED THIS REGULATION:  
   
EN 35  EN Title  I 
General Provisions  
Article 1  
Subject matter  
This Regulation lays down measures to protect the environment and human health by 
preventing or reducing  the adverse impacts which may result from the shipment of waste . It 
establishes procedures and control regimes for the shipment of waste, depending on the 
origin, destination and route of the shipment, the type of waste shipped and the type of 
treatment to  be applied to the waste at its destination.  
Article 2  
Scope  
1. This Regulation shall apply to:  
(a) shipments of waste between Member States, with  or without  transit through 
third countries;  
(b) shipments of waste imported into the Union from third countries;  
(c) shipments of waste exported from the  Union to third countries;  
(d) shipments of waste in transit through the Union on the way to or from third 
countries.  
2. This Regulation  shall not apply to : 
(a) the offloading to shore of waste, including waste water and residues, generated 
by the normal operation of ships and offshore platforms, provided that such 
waste is subject to the requirements of the International Convention for the 
Prevention of Pollution from Ships  or other binding international instruments;  
(b) waste generated on board vehicles, trains, aeroplanes and ships, until the first 
stop, station, airport or harbour in the Union where the vehicle, train, aeroplane 
or ship respectively stays for a duration long enough to allow for the offl oading 
of the waste in order to be recovered or disposed of;  
(c) shipments of radioactive waste as defined in Article 5 of Council Directive 
2006/117/Euratom54; 
(d) shipments of animal by -products and derived products as defined  in Article 
3(1) and (2) of R egulation (EC) No 1069/2009, respectively, except animal by -
products or derived products mixed or contaminated with any waste listed as 
hazardous in the Annex to Commission Decision 2000/532/EC55; 
                                                 
54 Council Directive 2006/117/Euratom of 20 November 2006 on the supervision and control of shipments 
of radioactive waste and spent fuel  (OJ L 337, 5.12.2006, p. 21 ). 
55 Commission Decision 2000/532/EC of 3 May 2000 replacing Decision 94/3/EC establishing a list of 
wastes pursuant to Article 1(a) of Council Directive 75/442/EEC on waste and Council Decision 
94/904/EC establishing a list of hazardous waste pursuant to Article 1(4) of Council D irective 
91/689/EEC on hazardous waste  (OJ L 226, 6.9.2000, p. 3 ).  
EN 36  EN (e) shipments of the waste referred to in Article 2 (1), point (e ), and Article 2(2), 
points (a), (d) and (e) , of Directive 2008/98/EC, where such shipments are 
already covered by other Union legislation;  
(f) shipments of waste from the Antarctic into the Union which are in accordance 
with the requirements of th e Protocol on Environmental Protection to the 
Antarctic Treaty56; 
(g) shipments of CO2 for the purposes of geological storage in accordance with 
Directive 2009/31/EC of the European Parliament and of the Council57; 
(h) ships flying the flag of a Member State  falling within  the scope of Regulation 
(EU) No 1257/2013 , with  the exception of ships  becoming waste in an area 
under the national jurisdiction of a Member State , to which Article 36, Title 
VII and Title VIII apply ;  
3. For imports of waste generated by armed forces or relief organisations in situations 
of crisis, peacemaking or peacekeeping operations where such waste is shipped, by 
those armed forces or relief organisations concerned or on their behalf, directly or 
indirect ly to the country of destination, only Article 48(6) shall apply.  
4. Shipments of waste from the Antarctic to third countries, which transit through the 
Union, shall  be subject to Articles 36 and 5 6. 
5. For s hipments of waste exclusively within a Member State , only Article 33  shall 
apply . 
Article 3 
Definitions  
For the purposes of this Regulation , the following definitions apply : 
(1) ‘mixture of wastes’ means waste that results from an intentional or unintentional 
mixing of two or more different wastes , wh ich are listed in different  entries in 
Annexes III, IIIB and IV , or, where applicable , in different indents  or sub -indents  of 
such entries . Waste shipped in a single shipment of wastes, consisting of two or more 
wastes, where each waste is separated , is not a mixture of wastes ;  
(2) ‘interim disposal’ means any of the disposal operations under  D 13 to D 15 referred 
to in Annex I to Directive 2008/98 /EC; 
(3) ‘interim recovery’ means any of the recovery operations  under  R 12 and R 13 
referred to in Annex II  to Directive 2008/98 /EC; 
(4) ‘environmentally sound management’ means taking all practicable steps to ensure 
that waste is managed in a manner that will protect human health and the 
environment against adverse effects which may result from such waste ;  
(5) ‘consignee’ means the person or undertaking  under the national jurisdiction of the 
country of destination to whom or to which the waste is shipped for recovery or 
disposal;  
                                                 
56 Protocol on Environmental Protection to the Antarctic Treaty  of 1991.  
57 Directive 2009/31/EC of the European Parliament and of the Council of 23 April 2009 on the 
geological storage of ca rbon dioxide and amending Council Directive 85/337/EEC, European 
Parliament and Council Directives 2000/60/EC, 2001/80/EC, 2004/35/EC, 2006/12/EC, 2008/1/EC and 
Regulation (EC) No 1013/2006 (OJ L 140, 5.6.2009, p. 114) .  
EN 37  EN (6) ‘notifier’ means:  
(a) in the case of a shipment originating from a Member Sta te, any natural or legal  
person  under the national jurisdiction of that Member State who plans or 
carries out a shipment of waste and to whom the duty to notify is assigned , and 
who is listed below:  
(i)  the original waste producer ; 
(ii)  the new waste producer who carries out operations prior to shipment,  
(iii)  a collector who, from various small quantities of the same type of waste 
collected from a variety of sources, has assembled the shipment which is 
to start from a single notified l ocation ;  
(iv)  a dealer or a broker acting on behalf of any of the categories specified in 
points (i), (ii) or (iii);  
(v)  where all of the persons specified  above , are unknown or insolvent, the 
waste holder ; 
(b) in the case of import into, or transit through, the Union of waste that does not 
originate in a Member State, any of the following natural or legal persons  
under the national jurisdiction of the country of dispatch who plans or carries 
out a shipment of waste or intends to have, or who has had, a shipment of 
waste carried out:  
(i)  the person  designated by the law of the country of dispatch;  
(ii)  in the absence of a person  designated by the law of the country of 
dispatch, the waste holder at the time th e export took place ; 
(7) ‘collector’ means any natural or legal  person carrying out waste collection as defined 
in Article 3, point (10), of Directive 2008/98/EC.  
(8)  ‘competent authority’ means:  
(a) in the case of a Member State, the body designated by the Member State 
concerned in accordance with Article 71;  
(b) in the case of a third country  that is a Party to the Basel Convention  of 22 
March 1989 on the control of transboundary movements of hazardous wastes 
and their disposal  (‘the Basel Convention’) ;, the body designated by that 
country as the competent authority for the purposes of th e Basel  Convention in 
accordance with Article  5 thereof;  
(c) in the case of any country not referred to in either point (a) or point  (b), the 
body that has been designated as the competent authority by the country or 
region concerned or, in the absence of such designation, the regulatory 
authority f or the country or region, as appropriate, which has jurisdiction over 
shipments of waste for recovery or disposal , or transit, as the case may be;  
(9) ‘competent authority of dispatch’ means the competent authority for the area from 
which the shipment is p lanned to be initiated or is initiated;  
(10) ‘competent authority of destination’ means the competent authority for the area to 
which the shipment is planned or takes place, or in which waste is loaded prior to 
recovery or disposal in an area not under the  national jurisdiction of any country;   
EN 38  EN (11) ‘competent authority of transit’ means the competent authority for any country, other 
than the country  of the competent authority of dispatch and the competent authority 
of destination, through which the shipment is planned or takes place;  
(12) ‘country of dispatch’ means any country from which a shipment of waste is planned 
to be initiated or is initiated;  
(13) ‘country of destination’ means any country to which a shipment of waste is planned 
or takes place for recovery or disposal therein, or for the purpose of loading prior to 
recovery or disposal in an area not under the national jurisdiction of any country;  
(14) ‘country of transit’ means any country, other than the coun try of dispatch or 
destination, through which a shipment of waste is planned or takes place;  
(15) ‘area under the national jurisdiction of a country’ means any land or marine area 
within which a state exercises administrative and regulatory responsibility in 
accordance with international law as regards the protection of human health or the 
environment;  
(16) ‘overseas countries and territories’ means the overseas countries and territories listed 
in Annex I I to the Treaty ; 
(17) ‘customs office of export’ mean s customs office of export as defined in Article 1 , 
point (16), of Commission Delegated Regulation (EU) 2015/244658; 
(18) ‘customs office of exit ‘ means  customs office of exit as determined in accordance 
with Article 3 29 of Commission Implementing Regulation (EU) 2015/244759; 
(19) ‘customs office of entry’ means  customs office of first entry as defined in Article 1 , 
point (15) , of Delegated Regulation (EU) 2015/2446 ; 
(20) ‘import’ means any entry  of waste into the Union  but excluding transit through the 
Union ; 
(21) ‘export’ means any exit  of waste from  the Union  but excluding transit through the 
Union ; 
(22) ‘transit’ means a shipment of waste or a planned shipment of waste through one or 
more countries other than the country of dispatch or destination;  
(23) ‘transport’ means the carriage of waste by road, rail, air, sea or inland waterways;  
(24) ‘shipment’ means the transport of waste destined for recovery or disposal from  the 
point of loading until the waste is recove red or disposed of in the country of 
destination , which is planned to take place, or takes place : 
(a) between a country and another country;  
(b) between a country and overseas countries and territories or other areas, under 
that country's protection;  
(c) between a country and any geographic  area which is not part of any country 
under international law;  
                                                 
58 Commission Delegated Regulation (E U) 2015/2446 of 28 July 2015 supplementing Regulation (EU) 
No 952/2013 of the European Parliament and of the Council as regards detailed rules concerning certain 
provisions of the Union Customs Code  (OJ L 343, 29.12.2015, p. 1 ). 
59 Commission Implementing Regulation (EU) 2015/2447 of 24 November 2015 laying down detailed 
rules for implementing certain provisions of Regulation (EU) No 952/2013 of the European Parliament 
and of the Council laying down the Union Customs Code  (OJ L 343, 29.12.2015, p. 558 ).  
EN 39  EN (d) between a country and the Antarctic;  
(e) from one country through any of the areas referred to in points (a) to (d) ;  
(f) within a country through any of the areas referred to in points (a) to (d)  and 
which originates in and ends in the same country; or  
(g) from a geographic area not under the national jurisdiction of any country, to a 
country;  
(25) ‘illegal shipment’ means a ny shipment of waste effected:  
(a) without notification to the competent authorities concerned pursuant to this 
Regulation;  
(b) without the consent of the competent authorities concerned pursuant to this 
Regulation;  
(c) with consent obtained from the com petent authorities concerned pursuant to 
this Regulation through falsification, misrepresentation or fraud;  
(d) in a way which is not in accordance with the information contained  in the 
notification or movement documents;  
(e) in a way which results in re covery or disposal in contravention of Union  or 
international rules;  
(f) contrary to Articles 11, 34, 36, 37, 42, 44, 45, 46  or 47;  
(g) in a way which, in relation to shipments of waste as referred to in Article 4(3) 
and (5 ), results in  any of the following : 
(i)  the waste not be ing listed in Annex III, Annex IIIA or  Annex  IIIB,  
(ii)  non-compliance with Article 4 (5),  
(iii)  non-compliance with Article  18; 
(26) ‘inspection’ means an action undertaken by an authority  to ascertain whether an 
establishment, an undertaking, a broker, a dealer, a shipment of waste or the related 
recovery or disposal complies with the requirem ents set out in this Regulation;  
(27) ‘waste hierarch y’ means waste hierarchy as referred to in Ar ticle 4 of Directive 
2008/98/EC . 
In addition, t he definitions of ‘waste’, ‘hazardous waste’, ‘treatment’, ‘disposal’, ‘recovery’, 
‘preparing for re -use’, ‘re-use’, ‘recycling’,  ‘waste producer’, ‘waste holder’,  ‘dealer’ and 
‘broker’ laid down in Article 3 , points (1), (2), (14), (19), (15), (16), (13 ), (17), (5), (6), (7) 
and (8) respectively  of Directive 2008/98/EC shall apply.  
 
   
EN 40  EN Title  II 
Shipments within the Union with or without transit through 
third countries  
Article 4 
Overall procedural framework  
1. Shipments of all wastes destined for disposal are prohibited, except if explicitly  
authorised in accordance with Article 11. In order to obtain authorisation in 
accordance with Article 11 for a shipment of waste destined for disposal, the 
procedure of prior written notification and consent lai d down in Chapter 1 shall 
apply .  
2. Shipments of the following wastes  destined for recovery operations  shall  also be 
subject to the procedure of prior written notification and consent  laid down in 
Chapter 1 : 
(a) wastes listed in Annex IV ; 
(b) wastes not classified under one single entry in e ither Annex III, Annex IIIB or  
Annex IV; 
(c) mixtures of wastes , unless listed in Annex IIIA . 
3. Shipments of the following wastes destined for recovery shall be subject to the 
general information requirements laid down in Article 18, if the amount of waste 
shipped exceeds 20 kg:  
(a) waste listed in Annex III or Annex IIIB;  
(b) mixtures  of waste , provided that the composition of those  mixtures does not 
impair their environmentally sound recovery and provided that such mixtures 
are listed in Annex IIIA.  
4. Shipments of waste explicitly destined for laboratory analysis or experimental 
treatment trials to assess either its physical or chemical characteristics or to 
determine its suitability for recovery or disposal operations shall be subject to the 
general information requirements laid down in Article 18 where all of the following  
conditions are fulfilled:  
(a) the amount of waste does not exceed the  quantity reasonably needed to perform 
the analysis or trial in each particular case;  
(b) the amount of waste does not exceed 150 kg or any higher amount agreed  on a 
case-by-case basis  by the competent authorities concerned and the n otifier . 
5. Paragraph 2 shall apply to shipments of mixed municipal waste collected from 
private households , from other waste producers or from both, as well as  to mixed 
municipal waste which has been subject to a waste treatment operation that has not 
substantially altered its properties, where such waste is destined for recovery  
operations . Shipments of such waste destined fo r disposal shall be prohibited.    
EN 41  EN Chapter 1 
Prior written notification and consent  
Article 5 
Notification  
1. Only notifier s that have received a permit or  are registered in accordance with 
Chapter IV of Directive 2008/98/EC may submit a prior written notification  
(‘notification’) .  
Where th ose notifier s intend to ship waste referred to in Article 4(1) or ( 2), they shall 
submit a notification to all competent authorities concerned . 
Where th ose notifiers submit a general notification  for several shipments as referred 
to in Article 13 , they shall also comply with the requirements laid down in that 
Article . 
Where a shipment is destined to a pre -consented facility pursuant to Article  14, the 
procedural requirements in  paragra phs 6, 8 and 9 of that  Articl e shall apply .  
2. The notification shall include  the following documents:  
(a) the notification d ocument set out in Annex IA  (‘the notification document’) ; 
(b) the movement document set out in Annex IB  (‘the movement document’) . 
The notifier shall provide the information in the notification document and, whe n 
available , the information in  the movement document.  
When the notifier is not the original waste producer referred to in  Article 3, point 
(6)(a)(i), the notifier shall ensure  that th e original waste producer or  one of the 
persons indicated in Article 3 , point s (6)(a)(ii) or (iii) , also signs the notification 
docum ent. 
3. The notifi cation document or annex t heret o, shall contain the information and 
documentation as listed in Part 1  of Annex II . The movement document  or an annex 
thereto, shall contain the information and documentation referred to in Part 2 of 
Annex II , when available . 
4. A notification shall be considered properly carried out when the competent authority 
of dis patch is satisfied that the notification document and movement document have 
been completed  in accordance with paragraph  3. 
5. Where  requested by any of the competent authorities concerned, the notifier shall 
supply additional information and documentation . A list of additional information 
and documentation that may be requested is set out in Part 3 of Annex II . 
A notification shall be considered properly completed when the competent authority 
of destination is satisfied that the notification document and t he movement document  
that have been properly carried out in accordance with paragraph 3, have been 
completed  with any additional information and documentation as listed in Part 3  of 
Annex II . 
6. Evidence of th e contract  concluded in accordance with Article 6  or a declaration 
certifying its existence in accordance with Annex IA shall be provid ed to the 
competent authorities concerned  at the time of notification .  
EN 42  EN 7. A declaration that a financial guarantee or equivalent in surance has been established 
in accordance with Article 7 shall be provided  by the notifier through completion of 
the appropriate part of the notification document.  
The financial gu arantee or equivalent insurance as referred to in Article 7 or, if the 
comp etent authorit ies concerned  so allow, a declaration certifying its existence  in 
accordance with Annex IA  shall be provided  to the competent authorities concerned 
as part of the notification document at the time of notification .  
By way of derogation from the first subparagraph, the evidence  referred to in that 
subparagraph may , where  the concerned competent authorit ies so allow,  be provided 
after the notification is submitted, but at the latest  before the shipment starts . 
8. The notification shall cover th e shipment of waste from its initial place of dispatch 
and including its interim and non -interim recovery or disposal.  
Where  subsequent interim or non -interim  recovery or disposal  operations take place 
in a country other than the first country of destinati on, the non -interim operation and 
its destination shall be indicated in the notification and Article 15(6) shall apply.  
Only one waste identification code shall be covered for  each notification .  
Where wastes are not classified under one single entry in Annex III,  Annex  IIIB or  
Annex  IV, also o nly one waste identification code shall be covered for  each 
notification . 
Where mixtures of wastes  are not classified under one single entry in Annex III,  
Annex  IIIB or  Annex IV but they are  listed in Annex IIIA , the code for each fraction 
of the waste shall be specified in order of importance.  
Article 6 
Contract  
1. All shipments of waste for which notification is required shall be subject to the 
requirement of the conclusion of a contract between the notifier and the consignee 
for the recovery or disposal of the notified waste.  
2. The contract shall be concluded and effective at the time of notification and for the 
duration of the shipment until a certificate is issued in accordance with Article 15(5), 
Article 16(4), or, where appropriate, Article 1 5(4). 
3. The contract shall include obligations:  
(a) on the notifier to take the waste back if the shipment or the recovery or 
disposal has not been completed as intended or if it has been effected as an 
illegal shipment,  in accordance with Article 22 and Article 24(2);  
(b) on the consignee to recover or dispose of the waste if it has been effected as an 
illegal shipment, in accordance with Article 24( 4);  
(c) on the facility where the waste is recovered or disposed of, to provide, in 
accordance with Article 1 6(4), a certificate that the waste has been recovered 
or disposed of, in accordance with the notification and the conditions specified 
therein and the requirements of this Regulation.  
4. Where  the waste shipped is dest ined for interim recovery or  interim  disposal 
operations, the contract shall include the following additional obligations:   
EN 43  EN (a) on the consignee  to provide, in accordance with Article 15(4) and, where 
appropriate, Article 1 5(5), the certificate (s) from the facility or facilities 
carrying out the non -interim recovery or disposal operation(s), that all waste 
received  in accordance with the notification and the conditions specified 
therein and the require ments of this Regulation , has been recovered or disposed 
of, specifying where possible the quantity and type of waste covered by each 
certificate ;  
(b) on the consignee to submit, where applicable, a notification to the initial 
competent authority of the initial country of dispatch in accordance with 
Article 1 5(6), point (b). 
5. Where  the waste is shipped between two establishments under the control of the 
same legal entity, the contract referred to in paragraph 1 may be replaced by a 
declaration by th at legal  entity . That declaration shall cover the obligations referred 
to in paragraph 3 . 
Article 7 
Financial guarantee or equivalent insurance  
1. All shipments of waste for which notification is required shall be subject to the 
requirement of a financial guarantee or equivale nt insurance , covering  all the 
following  costs : 
(a) costs of transport;  
(b) costs of recovery or disposal, including any necessary interim operation;  
(c) costs of storage for 90 days.  
2. The financial guarantee or equivalent insurance shall cover costs arising in the 
context of  all the following cases : 
(a) cases where a shipment or the recovery or disposal cannot be completed as 
intended , as referred to in Article 22;  
(b) cases where a shipment or the recovery or disposal is illegal , as referred to in 
Article 24.  
3. The financial guarantee or equivalent insurance shall be established by the notifier or 
by another natural or legal person on its behalf and shall be effective at the time of 
the notification or, if the competent authority which approves the financial guar antee 
or equivalent insurance so allows, at the latest when the shipment starts . The 
financial guarantee or equivalent insurance  shall apply to the notified shipment at the 
latest when the shipment starts.  
4. The competent authority of dispatch shall appro ve the financial guarantee or 
equivalent insurance, including the form, wording and amount of the cover.  
In cases of import into the Union , the competent authority of destination in the  Union  
shall also review the amount of  the cover and, if necessary, approve an additional 
financial guarantee or equivalent insurance.  
5. The financial guarantee or equivalent insurance shall be valid for and cover a notified 
shipment and completion of recovery or disposal of the notified waste.  
The financial guarantee or equivalent insurance shall be released when the competent 
authority concerned has received the certificate referred to in Article 16(4) or, where  
EN 44  EN appropriate, the certificate referred to in Article 1 5(5) as regards interim recover y 
operations  or disposal operations.  
6. By way of derogation from paragraph 5, where  the waste shipped is destined for 
interim recovery operations or disposal operations and a further recovery  operation  
or disposal operation takes place in the country of d estination, the financial guarantee 
or equivalent insurance may be released when the waste leaves the interim facility 
and the competent authority concerned has received the certificate referred to in 
Article 16(4). In that case, any further shipment to a recovery or disposal facility 
shall be covered by a new financial guarantee or equivalent insurance unless the 
competent authority of destination is satisfied that such a financial guarantee or 
equivalent insurance is not required. In th ose circumstances, the competent authority 
of destination shall be responsible for obligations arising in the case of take -back 
where the shipment or the further recovery or disposal operation cannot be 
completed as intended , as referred to in Article 22 , or in the case of a n illegal 
shipment , as referred to in Article 24 . 
7. The competent authority within the Union  which has approved the financial 
guarantee or equivalent insurance shall have access to that guarantee or insurance  
and shall make use of the funding, including f or the purpose of payments to other 
authorities concerned, in order to meet the obligations arising in accordance with 
Articles 23 and 25.  
8. In the case of a general notification pursuant to Article 1 3, a financial guarantee or 
equivalent insurance coveri ng parts of the general notification may be established, 
instead of one covering the entire general notification. In such cases, the financial 
guarantee or equivalent insurance shall apply to the notified shipment which it covers 
at the latest at the start of that shipment . 
9. The financial guarantee or equivalent insurance referred to in the paragraph1 shall be 
released when the competent authority concerned has received the certificate referred 
to in Article 1 6(4) or, where appropriate, in Article 15(5) as regards interim recovery 
or disposal operations for the relevant waste. Paragraph 6 shall apply  mutatis 
mutandis . 
10. The Commission shall , at the latest  by [OP: Please insert date of two years after the 
date of entry into force of  this Regulation ], assess the feasibility of establishing a 
harmonised calculation method for determining the amount of financial guarantee s or 
equivalent insurance s and, if appropriate , adopt an implementing act to establish such 
a harmonised calculation method . Th at implem enting act  shall be adopted  in 
accordance with the examination procedure referred to in Article 7 7(2).  
In carrying out the assessment  referred to in the first subparagraph  the Commission 
shall take into account,  inter alia , the relevant rules  of the Member States relating to  
the calculation of the financial guarantee or equivalent insurance as referred to in  this 
Article .  
 
Article 8 
Requests for information and documentation by the competent authorities concerned  
1. If the notification is not properly carried out  as referred t o in Article 5( 4), the 
competent authorit y of dispatch shall request information and documentation from 
the noti fier in accordance with Article 5(3).  
EN 45  EN The request for information and documentation referred to in the first subparagraph 
shall be sent to the notifier  within three  working days after submission  of the 
notification.   
2. The notifier shall provide the information and documentation referred to in paragraph 
1 within seven days after the request by the competent authority of dispatch .  
3. Where  the competent authority of dispatch considers  that the notification is still not 
properly carried out as refer red to in Article 5(3 ) after the requested information  and 
documentation  have  been added to the notific ation , or where no information has been 
provided by the notifier pursuant to paragraph 2 , it shall decide  that the notification is 
not valid and shall  not be further processed .  
The competent authority of dispatch  shall  inform the notifier and the other competent 
authorities concerned of the decision  referred to in the first subparagraph , within 
seven days after the requested information and documentation have  been added to 
the notification  or where no information has been provided by the notifier pursuant to 
paragraph 2 .  
4. Where  the notification has been properly c arried out, as referred to in Article 5(3), 
the competent authorit y of dispatch  shall immediately inform the notifier and other 
competent authorities concerned there of.  
Where  any of the competent authorities concerned considers that additional 
information and documentation is required to complete the notification as referred to 
in Article 5 (4), it shall , within three working days after receipt of the information as 
referred to  in the first subparagraph , request such information and documentation 
from the notifier and inform the other competent authorities of that request.  
5. The notifier shall provide the information and documentation referred to in paragraph 
4 within  seven da ys after the request by the competent authority concerned.  
Where  any of the competent authorities considers that the notification is still not 
completed, or the notifier does not provide the requested information , within the 
deadline set out in the first subparagraph , the competent authority  concerned  shall , 
within three  working days after the expiry of the deadline set out in the first 
subparagraph,  decide that the notification is not valid and shall not be further 
processed.  
If no decision as referred t o in the second subparagraph has been taken within the 
deadline set, the notification shall be considered completed.  
The concerned competent authority shall  immediately  inform the notifier and the 
other concerned competent authorities of the decision  refer red to in the second  
subparagraph . 
6. Where,  within 30 days after the submission of the notification, the competent 
authority  of dispatch  has not acted in accord ance with paragraph 3  or paragraph  4, 
first subparagraph,  it shall provide the notifier with a motivated explanation upon 
request.  
Where, within 30 days after the submission of the notification, a competent authority 
has not acted under paragraph 4, second subparagraph, or paragraph 5, and has not 
consented to a shipment pursuant to Article 11(2) or has objected to a shipment 
pursuant  to Article 12 for reasons relating to the notification not being complete as 
referred to in Article 5(4) , it shall provide the notifier with a motivated explanation 
upon request.   
EN 46  EN Article 9 
Consents by the competent authorities and time periods for transport, recovery or disposal  
1. The competent authorities of destination, dispatch and transit shall take, within 30 
days after  the submission of the notification , one of the following duly motivated  
decisions as regards the notified shipment:  
(a) conse nt without conditions ; 
(b) consent  with conditions in accordance with Article 1 0;  
(c) objections in accordance with Article 12. 
Tacit consent by the competent authorit ies of dispatch and  transit may be assumed if 
no objection is lodged within the 30 -day time limit  referred to in the first 
subparagraph . That tacit consent shall be valid for the period referred to in the 
written consent given by the competent authority of destination.  
2. The competent authorities of destination, and, where appropriate, dispatch and 
transit , shall transmit their decision and the reasons there of to the notifier within the 
30-day time limit referred to in paragraph 1.  That decision  shall be available  to all 
competent authorities  concerned . 
Where, within 30 days after submis sion of the notification, the competent authority 
of destination has not taken a decision under paragraph 1, it shall provide the notifier 
with a motivated explanation upon request.  
3. A written consent to a planned shipment shall expire on the later date as indicated in 
the notification document . It shall not cover a period of more than one calendar year  
or any  shorter period as indicated in their decision by the competent authorities 
concerned.  
4. The planned shipment may take place only after fulfilment of the requirements set 
out in  Article 16( 1), points (a) and (b) , and during the period of va lidity of the tacit or 
written  consent of all competent authorities  concerned . A shipment  shall  have left  the 
country of dispatch by the end of the period of validity of the tacit or written  
consents of all competent authorities  concerned .  
5. The recovery or disposal of waste in relation to a planned shipment shall be 
completed no later than one calendar yea r after the receipt of the waste by the facility  
that recovers or disposes of the shipped waste , unless a shorter period is indicated by 
the competent authorities concerned  in their decision . 
6. The competent authorities concerned shall withdraw their tacit or written consent 
where they have knowledge  of any  of the following : 
(a) the composition of the waste is not as notified;  
(b) the conditions imposed on the shipment are not respected;  
(c) the waste is not recovered or disposed of in compliance with the permit of the 
facility that performs the recovery operation or disposal operation ;  
(d)  the waste is to be, or has been, shipped, recovered or disposed of in a way that 
is not in accordance with the information supplied on , or annexed to,  the 
notification and movement documents.   
7. Any withdrawal of consent shall be transmitted by means of official notice  to the 
notifier , the competent authorities  concerned  and the consignee .  
EN 47  EN Article 1 0 
Cond itions for a shipment  
1. The competent authorities of dispatch, destination and transit may, within the 30 -day 
time limit  referred to in Article 9 (1), lay down conditions for their consent to a 
notified shipment. Such conditions  shall be based on one or more of the grounds 
listed  in Article 12.  
2. The competent authorities of dispatch, destination and transit may also, within the 
30-day time limit referred to in Article 9( 1), lay down conditions in respect of the 
transport of waste with in their national jurisdiction. Such transport conditions shall 
not be more stringent than those laid down in respect of similar shipments occurring 
wholly within their national jurisdiction and shall take due account of existing 
agreements, in particular relevant international agreements.  
3. The competent authorities of dispatch, destination and transit may also, within the 
30-day time limit referred to in Article 9( 1), lay down a condition that their consent 
is to be considered withdrawn if the financial guarantee or equivalent insurance is not 
applicable at the latest when the notified shipment starts, as required by Article 7(3). 
4. Conditions shall be specified  in, or annexed  to, the notification document  by the 
competent authority that lays them down . 
5. The competent authority of destination may also, within the 30 -day time limit 
referred to in Article 9(1) , lay down a condition that the facility which receives the  
waste shall keep a regular record of inputs, outputs and/or balances for wastes and 
the related recovery operations or disposal operations as specified  in the notification, 
and for the period of validity of the notification. Such records shall be signed b y a 
person legally responsible for the facility and shall be sent to the competent authority 
of destination within one month of completion of the notified recovery  operation  or 
disposal operation.  
 
Article 1 1 
Prohibition of shipment s of waste destined for disposal  
1. Where  a notification is submitted regarding a planned shipment of waste destined for 
disposal  in accordance with Article 5 , the competent  authorities of dispatch and of 
destination  shall  only give their written consent to that shipment , within the 30-day 
limit referred to in Article 9(1), if all the following conditions are fulfilled:  
(a) the notifier demonstrates that : 
(i)  the waste cannot be recovered  in a technically feasible and economically 
viable manner , or must be disposed of due to legal obligations in Union 
or international law ;  
(ii) the waste cannot be dispose d of in a  technically feasible and 
economically viable manner  in the country where it was generated ;  
(iii) the planned shipment or disposal is in accordance with  the waste 
hierarchy and the  principles of proximity and self -sufficiency at Union 
and national levels as laid down in Directive 2008 /98/EC;  
(b) the notifier or the consignee has previously not been convicted of illegal 
shipment or any other illegal act in relation  to environmental protection ;   
EN 48  EN (c) the notifier or the facility has not failed to comply with Articles 15 and 16 in 
connection with past shipments  of waste ;  
(d) the planned shipmen t or disposal does not conflict  with obligations resulting 
from internationa l conventions concluded by the Member State(s) concerned or 
the Union;  
(e) the waste concerned will be treated in accordance with legally binding 
environmental protection standards in relation to disposal operations 
established in Union legislation , and , if the facility is covered by Directive 
2010/75/EU, it shall apply best available techniques as defined in Article 3(10) 
of that Directive in compliance with the permit of the facility;  
(f) the waste is not mixed municipal waste (waste code 20 03 01  or 20 03 99 ) 
collected from private households , from other waste producers or both,   or 
mixed municipal waste which has been subject to a waste treatment operation 
that has not substantially altered its properties . 
2. The competent authorities of transit shall  only give their consent to that shipment , 
within the 30-day limit referred to in Article 9(1 ), if the conditions  set out in 
paragraph 1, points (b), (c) and (d) , of this Article are fulfilled . 
3. Where  the competent authorities concerned have not authorised a planned shipment 
of waste destined for disposal  within the 30-day time limit referred to in Article 9 (1), 
the notification of that shipment shall cease to be valid  and the shipment shall be 
prohibited in accordance with Article 4(1) . In cases where the notifier still intends to 
carry out the shipment , a new notification shall be submitted, unless all the 
competent authorities concerned and the notifier agree otherwise.  
4. Consents  by competent authorities in accordance with paragraph 1 shall immediately 
be notified to the Commission which shall inform the other Member States  thereof . 
Article 12 
Objections to shipments of waste destined for recovery  
1. Where a notification is submitted regarding a planned shipment of waste destined for 
recovery  in accordance with Article 5 , the competent authorities of destination and 
dispatch may, within  the 30-day time limit referred to in Article 9(1), raise motivated  
objections based on one or more of the following grounds:   
(a) the planned shipment or recovery would not be in accordance with Directive 
2008/98/EC;  
(b) the waste concerned will not be treated in accordance with waste management 
plans or waste prevention programmes drawn up , respectively,  pursuant to 
Article s 28 and  29 of Directive 2008/98/EC;    
(c) the planned shipment or recovery would not be in accordance with national 
legislation relating to environmental protection, public order, public safety or 
health protection concerning actions taking place in the country  of the 
objecting competent authority ;  
(d) the planned shipment or recovery would not be in accordance with national 
legislation in the country of dispatch rel ating to the recovery of waste,  
including where the planned shipment would concern waste destined for 
recovery in a facility which has lower treatment standards for the particular  
EN 49  EN waste than those of the country of dispatch, respecting the need to ensure the 
proper functioning of the internal market , unless : 
(i)  there is corresponding Union  legislatio n, in particular related to waste, 
and requirements that are at least as stringent as those laid down in th at 
Union legislation have been introduced in national legislation transposing 
such Union legislation ; 
(ii)  the recovery operation in the country of destination takes place under 
conditions that are broadly equivalent to those prescribed in the national 
legislation of the country of dispatch ; 
(iii)  the national legislation in the country of dispatch, other than that covered 
by point (i), has not been notified in accordance with Directive (EU) 
2015/1535  of the European Parliament and of the Council60, where 
required by that Directive ;  
(e) limit ing incoming shipments of waste destined for recovery operations other 
than recycling and preparing  for re-use is necessary for a Member State in 
order to protect its waste management network , where it is established that 
such shipments would result in domestic  waste having to be disposed of or 
treated in a way that is not consistent with their waste management  plans ;  
(f) the notifier or the consignee has previously been convicted of illegal shipment 
or any other illegal act in relation to environmental protection .  
(g) the notifier or the facility has repeatedly failed to comply with Articles 15 and 
16 in connection with past shipments;  
(h) the planned shipment or recovery conflicts with obligations resulting from 
international conventions concluded by the Member State(s) concerned or by 
the Union;  
(i) the ratio of the recoverable and non -recoverable waste, the estimated value of 
the materials to be finally recovered or the cost of the recovery and the cost of 
the disposal of the non -recoverable fraction  of the waste  do not justify the 
recovery, having regard to economic or environmental considerations ; 
(j) the waste  planned for  shipment  is destined for disposal and not for recovery;  
(k) the waste concerned will not be treated in accordance with legally binding 
environmental protection standards in relation to recovery  operations , or 
legally binding re covery or recycling obligations established in Union 
legislation  or the waste will be treated in a facility which is covered by 
Directive 2010/75/EU, but which does not apply best available techniques as 
defined in Article 3(10) of that Directive .  
2. The competent authorities of transit may, within the 30-day time limit referred to in 
paragraph 1, raise  motivated  objections to the planned shipment of waste destined for 
recovery based only on the grounds set out in paragraph 1 , points (c), (f), (g) and ( h), 
of this Article . 
                                                 
60 Directive (EU) 2015/1535 of the European Parliament and of the Council of 9 September 2015 laying 
down a procedure for the provision of information in the field of technical regulations and of rules on 
Information Society se rvices ( OJ L 241, 17.9.2015, p. 1 ).  
EN 50  EN 3. Where , within the 30-day time limit referred to in paragraph 1, the competent 
authorities consider that the problems which gave rise to their objections have been 
resolved, they shall immediately inform the notifier  thereof .  
4. Where  the problems giving rise to the objections are not resolved within the 30 -day 
time limit referred to in paragraph 1, the notification of the shipment of waste 
destined for recovery shall cease to be valid. In cases where the notifier still intends 
to carry  out the shipment, a new notification shall be submitted, unless all the 
competent authorities concerned and the notifier agree otherwise.  
5. Objections raised by competent authorities on the grounds set out in paragraph 1 , 
points (d) and (e) , of this Arti cle shall be reported by Member States to the 
Commission in accordance with Article 68. 
6. The competent authority of dispatch shall inform the Commission and the other 
Member States of the national legislation on which objections raised by competent 
authorities in accordance with paragraph 1 , points (d) and (e) , may be based, and 
shall state to which waste and waste recovery operations those objections apply, 
before such legislation is invoked as grounds for a  motivated objection.  
Article 1 3 
General n otification  
1. The notifier may submit a general notification cover ing several shipments where  all 
the following requirements are fulfilled : 
(a) the waste contained in the different shipments has essentially similar physical 
and chemical characteristics;  
(b) the waste contained in the different shipments  is shipped to the same consignee 
and the same facility;  
(c) the rout ing of the different shipment s, in particular the  point s of exit from and 
entry into each country concerned , as indicated in the notification document is 
the same.   
2. Where , owing to unforeseen circumstances, the same rout ing cannot be followed  for 
all shipments , the notifier shall inform the competent authorities concerned by the 
general notification as soon a s possible and before the shipment s start where  the need 
for modification is already known.  
Where the rout ing modification is known before the shipment s start and involves 
competent authorities other than those concerned by the general notification, the 
general notification may not be used and a new notification shall be submitted  in 
accordance with Article 5 . 
3. The competent authorities concerned may make their agreement to the use of a 
general notification subject to the subsequent provision of additiona l information and 
docume ntation, in accordance with Article 5(3) and  (4). 
Article 14 
Pre-consented recovery facilities  
1. A legal or natural person owning or exercising control over a recovery facilit y may 
submit a request for th at facility to be pre-consented  to the competent authorit y 
which ha s jurisdiction over the  facilit y, as designated pursuant to  Article  71.  
EN 51  EN 2. The request referred to in paragraph 1 shall include the following information:  
(a) the name, registration number and address of the recovery facility;  
(b) copies of permits issued to the recovery facility to carry out waste treatment 
pursuant to Article 23 of Directive 2008/98 /EC, as well as, where relevant, 
standards  or certifications with which the facility complies ; 
(c) a descri ption of technologies employed, including R -code(s) , for the recovery 
operation for which the pre -consent is requested ; 
(d) the wastes for which the pre -consent is requested, as listed in Annex  IV to this 
Regulation  or, where relevant , in the Annex to  Decision 2000/532 /EC; 
(e) the total quantity of each type of waste for which the pre -consent is requested , 
compared to the treatment capacity for which the facility is permitted ; 
(f) records of the activities of the facility linked to waste  recovery , covering in 
particular  the amount  and type s of waste treated  in the last three years, where  
relevant ; 
(g) evidence or attestation that  the legal or natural person owning or exercising 
control over the facility has not been convicted of illegal shipment or any other 
illegal act in relation to waste management . 
3. The Commission is empowered to adopt delegated  acts in accordance with Article 7 6 
to amend  paragraph 2 as regards the information to be included in the request .  
4. The procedure  referred  to in paragraphs 5 to 10 of this Article shall apply  to pre -
consent a facility for which a request was submitted in accordance with paragraph 1 . 
5. The competent authorit y shall , within 45  days after the date of receipt of the request 
referred to in paragraph 1, assess the request and decide whether to approve  it;  
6. Whe re the legal or natural person referred to in paragraph 1 has provided all the 
information referred to  in paragraph 2 , the competent authorit y shall  approve the 
request and issue a pre-consent  for the facility concerned. The pre-consent may  
contain  conditions relating to the duration of the pre -consent, t he types and quantities 
of waste  covered by the  pre-consent,  the technologies used or other conditions 
necessary to ensure that the waste is managed in an environmentally sound manner . 
7. By way of derogation from  paragraph 6 , the competent authorit y may refuse to 
approve the request  for pre -consent  when they are  not sati sfied that issuing th e pre-
consent  will ensure a high  quality treatment  of the waste concerned .   
8. The decision to approve  or refuse the request  for pre -consent  shall be communicated 
to the legal or natural person that submitted the request  as soon as it  is taken by the 
competent authori ty and shall be duly motivated . 
9. Unless stated otherwise in the decision to approve the request for pre-consent , the 
pre-consent of  a recovery  facility shall be valid for seven  years . 
10. A pre-consent of a recovery  facility may be revoked at any time by the competent 
authorit y. A decision to revoke a pre -consent shall be duly motivated  and 
communicated to the facility concerned . 
11. The legal or natural person referred to in paragraph 1 shall immediately inform  the 
competent authority concerned of any change in the information referred to in 
paragraph 2 . The competent authority concerned  shall  duly take those changes in to  
EN 52  EN account when assessing the request for pre -consent  and, if necessary, update th e pre -
consen t. 
12. In the case of a general notification submitted in accordance with Article 13 relating 
to shipments destined to a pre -consented facility, the period of validity of the consent 
referred to in Article 9( 3) and ( 4) shall be extended to three years.  By way of 
derogation  from this rule , the competent authorities  concerned  may decide to shorten 
that period in duly justified  cases . 
13. The c ompetent authorities that have  issue d a pre -consent to a facility in accordance 
with this Article  shall , using the form set out in Annex VI,  inform the Commission 
and, where appropriate, the OECD Secretariat of  the following : 
(a) the name, registration number and address of the recovery facility;  
(b) a description of  the technologies employed, including R -code(s);  
(c) the wastes as listed in Annex IV or the wastes to which the pre-consent  applies;  
(d) the total pre -consented quantity;  
(e) the period of validity;  
(f) any change in the pre -consent;  
(g)  any change in the information notified;  
(h) any revocation of the pre-consent.  
14. By way of derogation from Articles 8, 9, 10 and 12, the consent given in accordance 
with Article 9 (1), the conditions imposed in accordance with Article 10 or the 
objections raised in accordance with Article 12 by all the competent authori ties 
concerned  in respect to  a notification for shipment s destined to a pre -consented 
facility shall be subject to a time limit of seven  working days after receipt of the 
information as referred to in Article 8(4) ,first subparagraph.  
15. If one or more competent authorities  wish to request additional information in 
accordance with Article 8(4), second subparagraph,  in relation to a notification for 
shipments to a pre -consented facility, the time periods mentioned in that 
subparagraph, as well as in Artic le 8(5), first and second paragraphs, shall be 
shortened to one day for Article 8(4), second subparagraph, and Article 8(5), second 
subparagraph, and two days for Article 8(5), first subparagraph, respectively.  
16. Notwithstanding paragraph 14, the compete nt authority of d estination  may decide 
that more time is needed in order to receive further information or documentation 
from the notifier.  
In such cases, th at competent authority shall, within seven working days  of receipt of 
the information as referred t o in the first subparagraph  of Article 8(4) , inform the 
notifier . 
The total time needed to take one of the  decision s as referred to in Article 9(1)  shall 
not exceed 30 days following the date of sub mission  of the notification  in accordance 
with Article 5.    
EN 53  EN Article 1 5 
Additional provisions regarding interim recovery operations and interim disposal operations  
1. Where a shipment of waste is destined for an interim recovery operation or an 
interim  disposal operation, all the facilities where subsequent interim as well as non -
interim recovery operations and interim disposal operations are envisaged shall also 
be indicated in the notification document in addition to the initial interim recovery  
opera tion or interim  disposal operation.  
2. The competent authorities of dispatch and destination may give their consent to a 
shipment of waste destined for an interim recovery operation or interim  disposal 
operation only if there are no grounds for objection , in accordance with Article  12, to 
the shipment (s) of waste to the facilities performing any subsequent interim or non -
interim recovery operations or interim  disposal operations.  
3. Within one day of the receipt of the waste by the facility which carries out the 
interim recovery operation or interim  disposal operation, that facility shall provide 
confirmation to the notifier that the waste has been received.  This confirmation shall 
be supplied on, or annexed to, the movement document.  
4. As soon as possible, but no later than 30 days after completion of the interim 
recovery operation or interim disposal operation, and no later than one calendar year, 
or the shorter period referred to in Article 9( 5), after the receipt of the waste, the 
facility carrying out this operation shall, under its responsibility, provide a certif icate  
that the operation  has been completed.   
That certificate shall be submitted  and contained in, or annexed to, the movement 
document.  
5. When a recovery or disposal faci lity which carries out an interim recovery operation 
or interim  disposal operation delivers the waste for any subsequent interim or non -
interim recovery or disposal operation to a facility located in the country of 
destination, it shall obtain as soon as p ossible and no later than one calendar year, or 
the shorter period  referred to  in Article 9( 5), after delivery of the waste a certificate 
from that facility that the subsequent non -interim recovery or disposal operation has 
been completed.   
The said facility that carries out an interim recovery or disposal operation shall 
promptly transmit , the relevant certificate s to the notifier and the competent 
authorities concerned, identifying the shipment s to which the certificate s pertain.  
6. When a delivery as described in paragraph 5  is made to a facility  located  in the initial 
country of dispatch or in another Member State, a new notification shall be required 
in accordance with this Regulation  
7. When a delivery as described in paragraph 5  is made to a facility in a third country, a 
new notification shall be required in accordance with this Regulation and the 
provisions concerning the competent authorities concerned shall also apply to the 
initial competent authority of the initial country of dispatch.  
Article 1 6 
Requirements following consent to a shipment  
1. After consent has been given to a notified shipment by the competent authorities 
concern ed, all undertakings involved shall complete , the movement document, or, in 
the case of a genera l notification, the movement documents at the points indicated .  
EN 54  EN They shall ensure that the information in the movement document is made 
electronically available , including  during the time of the transport , to the relevant 
authorities .  
2. When  the notifier ha s received written consent from the competent authorities of 
dispatch, destination and transit or  may assume tacit consent  in relation to the 
competent authorit ies of dispatch and transit, he or she  shall provide  the actual date 
of shipment and complete the movement document to the extent possible, at least one 
working day before the shipment starts . 
3. The facility shall, within one day of receipt of the waste, provide  confirmation to the 
notifier and the relevan t authorities that the waste has been received . 
4. The facility carrying out a non -interim recovery operation or disposal operation shall, 
as soon as possible  and no later than 30 days after completion of th at operation, and 
no later than one calendar year , or the shorter period referred to in Article 9( 5), after 
receipt of the waste,  certify , under its responsibility, that the non -interim recovery or 
disposal has been completed.  
5. The certificate referred to in paragraph  4, shall be submitted  to the notifier and the 
relevant authorities , either  by the facility carrying out the operation, or, in case it has 
no access to a system as referred to in Article 26 , via the notifier.  
Article 1 7 
Changes in the shipment after consent  
1. If any essential change is made to the details and/or conditions of the consented 
shipment, the notifier shall inform , the competent authorities concerned and the 
consignee immediately and, where possible, before the shipment starts.  Changes in 
the intended quantity, route, routing, date of shipment or carrier  shall constitute 
essential changes . 
2. In cases  of essential changes referred to in paragraph 1,  a new notification shall be 
submitted, unless all the competent authorities concerned indicate , that the proposed 
changes do not require a new notification.  
3. Where essential changes referred to in paragraph 1  involve competent authorities 
other than those concerned in the original notification, a new notification shall be 
submitted.  
 
Chapter  2 
Article 1 8 
General information requirements  
1. Waste referred to in Article 4(3) and ( 4) that is intended to be shipped shall be 
subject to the general information  requirements  set out in paragraphs 2 to 7 of this 
Article.  
2. The person under the national jurisdiction of the  country of dispatch who arranges 
the shipment shall complete and submit the relevant information contained in Annex 
VII, no later than one day before the shipment takes place .  
EN 55  EN 3. The person referred to in p aragraph 2  shall ensure that  the information referred to in 
that paragraph  is made electronically available, in cluding  during the time of the 
transport , to the relevant authorities .  
4. The recovery facility or the laboratory and the consignee or, in case they have  no 
access to a system  referred to in Article 26 , the perso n referred to in paragraph 2  
shall , within one day of receipt of the waste, provide  confirmation to the notifier and 
the relevant authorities that the waste has been received  by complet ing the relevant  
information contained in Annex  VII. 
5. The recovery facility shall, as soon as possible  and no later than 30 days after 
completion of th e recovery o peration, and no later than one calendar year after  
receipt of the waste,  certify,  under its responsibility, that the recovery has been 
completed  by completing the relevant information contained in Annex VII . 
6. The person referred to in paragraph 2  shall immediately inform the competent 
authority of dispatch in case a shipment has been prevented from import into the 
country of destination, rejected by the consignee or cannot be completed as originally 
intended.  
7. The contract referred to in Annex VII between the person who arranges the shipment 
and the consignee for recovery of the waste shall be effective when the  shipment 
starts . Where the shipment of waste or its recovery cannot be completed as intended 
or where it has been effected as an illegal shipment, that contract shall include an 
obligation on the person who arranges the shipment or, where that person is not in  a 
position to complete the shipment of waste or its recovery , on the consignee, to take 
the waste back or ensure its recovery in an alternative way; and  to provide, if 
necessary, for its storage in the meantime.  
8. The person who arranges the shipment or the consignee shall provide a copy of the 
contract referred to in paragraph 7 to the competent authority concerned  upon its 
request . 
9. The information required in Annex VII shall  be available for inspection , 
enforce ment , planning and statistical purposes  by Member States  and the 
Commission , in accordance with Article 26 and national legislation .  
10. The information referred to in paragraph 2 shall be treated as confidential where this 
is required by Union  or national legislation.  
11. Where  the waste is shipped between two establishments under the control of the 
same legal entity, the contract  referred to in paragraph 7 may be replaced by a 
declaration by th at legal  entity. Th at declaration shall cover mutatis mutandis  the 
obligations referred to  in paragraph 7. 
  
EN 56  EN Chapter  3 
Mixing waste, documentation and access to information  
Article 19 
Prohibition on mixing waste during shipment  
From the start of the shipment to the receipt of the waste in a recovery or disposal facility, the 
waste, as specified in the notification or as referred to in Article 1 8, shall not be mixed with 
other waste.  
Article 20 
Keeping of documents and information  
1. The competent authorities, the notifier, the consignee and the facility which receives 
the waste shall keep all documents sent to or by the competent authorities in relation 
to a notified shipment in the Union for at least five years from the date when the  
shipment starts . In the case of general notifications in accordance with  Article 13,  
that obligation shall apply from the date when the last shipment starts.  
2. Information given pursuant to Article 1 8(1) shall be kept in the Union for at least five  
years  from the date when the shipment starts, by the person who arranges for the 
shipment, the consignee and the facility which receives the waste.  
Article 2 1 
Public access to notifications  
The competent authorities of dispatch or destination shall  make publicly available by 
appropriate means  information on notifications of shipments they have consented or objected 
to, as well as on shipments of waste subject to the general information requirements , where 
such information is not confidential under nat ional or Union  legislation.    
EN 57  EN Chapter  4 
Take -back obligations  
Article 2 2 
Take -back when a shipment cannot be completed as intended  
1. Where any of the competent authorities concerned becomes aware that a shipment of 
waste, including its recovery or disposal, cannot be completed as intended in 
accordance with the terms of the notification and movement documents and/ or 
contract referred to Article 6, it shall immediately inform the competent authority of 
dispatch  thereof . Where a recovery or disposal f acility rejects a shipment received, it 
shall immediately inform the competent authority of destination . 
2. The competent authority of dispatch shall ensure that, except in cases referred to in 
paragraph 3, the waste in question is taken back to its area o f jurisdiction or 
elsewhere within the country of dispatch by the notifier . The competent authority of 
dispatch  shall identif y the notifier  following  the order indicated  in Article 3 , point 
(6). Where that  is not possible , that competent authority itself or a natural or legal  
person on its behalf  shall comply with the provisions of this Article . 
The take -back referred to in the first subparagraph shall take place within 90 days, or 
such other period as may be agreed betwee n the competent authorities concerned, 
after the competent authority of dispatch becomes aware or has been advised by the 
competent authorities of destination or transit that the consented shipment of waste 
or its recovery or disposal cannot be completed as intended and has been informed of 
the reason(s) therefor. Such advice may result from information submitted to the 
competent authorities of destination or transit, inter alia, by other competent 
authorities.  
3. The take -back obligation set out in paragra ph 2 shall not apply if the competent 
authorities of dispatch, transit and destination involved are satisfied that the waste 
can be recovered or disposed of in an alternative way in the country of destination or 
elsewhere by the notifier or, if that is not  possible , by the competent authority of 
dispatch or by a natural or legal person on its behalf.  
The take -back obligation set out in paragraph 2 shall not apply if the waste shipped 
has, in the course of the operation at the facility concerned, been irreve rsibly mixed 
with other waste before a competent authority concerned has become aware of the 
fact that the notified shipment cannot be completed as referred to in paragraph 1. 
Such mixture shall be recovered or disposed of in an alternative way in accordan ce 
with the first subparagraph  of this paragraph . 
4. In cases of take -back as referred to in paragraph 2, a new notification shall be 
submitted, unless the competent authorities concerned agree that a duly motivated  
request by the initial competent authority of dispatch is sufficient.  
A new notification, where appropriate, shall be submitted by the initial notifier or, if 
that is not possible , by any other natural or legal persons identified in accordance 
with Article 3 , point (6) following the order  indicated in that provision , or, if that is 
also impossible , by the initial competent authority of dispatch or by a natural or legal 
person on its behalf.  
The competent authorit ies shall not oppose or object to the return of waste from a 
shipment that cannot be completed or to the related recovery and disposal operation.   
EN 58  EN 5. In cases of alternative arrangements outside the initial country of destination as 
referred to in paragraph 3, a new notification, where appropriate, shall be submitted 
by the initia l notifier or, if that is not possible , by any other natural or legal persons 
identified in accordance with Article 3 , point (6) following the order indicated in that 
provision ,  or, if  that is also impossible , by the initial competent authority of dispatc h 
or by a natural or legal person on its behalf.  
When such a new notification is submitted by the notifier, it shall also be submitted 
to the competent authority of the initial country of dispatch.  
6. In cases of alternative arrangements in the initial cou ntry of destination as referred to 
in paragraph 3, a new notification shall not be required and a duly motivate d request 
shall suffice. Such a duly motivated  request, seeking agreement to the alternative 
arrangement, shall be submitted to the competent aut hority of destination and 
dispatch by the initial notifier or, if that is not possible , to the competent authority of 
destination by the initial competent authority of dispatch.  
7. If no new notification is to be submitted in accordance with paragraphs 4 o r 6, a new 
movement document shall be completed  in accordance with Article 1 5 or Article 1 6 
by the initial notifier or, if that is not possible , by any other natural or legal persons 
identified in accordance with Article 3 , point (6) following the order indicated in that 
provision  or, if  that is also not possible , by the initial competent authority of dispatch 
or by a natural or legal person on its behalf.  
Where  a new notification is submitted by the initial competent authority of dis patch 
in accordance with paragraphs 4 or 5, a new financial guarantee or equivalent 
insurance shall not be required.  Subject to the agreement of all competent authorities 
concerned, the movement document for the initial shipment may be used for the 
take-back.  
8. The obligation of the notifier and the subsidiary obligation of the country of dispatch 
to take the waste back or arrange for alternative recovery or disposal shall end when 
the facility issues the certificate of non -interim recovery or dispo sal referred to in 
Article 16(4), or, where appropriate, in Article 1 5(5). In the case of interim recovery 
or disposal referred to in Article 7(6), the subsidiary obligation of the country of 
dispatch shall end when the facility issues the certificate refe rred to in Article 1 5(4). 
Where  a facility issues a certificate of recovery or disposal in such a way that it  
result s in an illegal shipment, with the consequence that the financial guarantee is 
released, Article 24(4) and Article 2 5(2) shall apply.  
9. Whe re waste from a shipment which cannot be completed, including its recovery or 
disposal, is discovered within a Member State, the competent authority with 
jurisdiction over the area where the waste was discovered shall be responsible for 
ensuring that arran gements are made for the safe storage of the waste pending its 
return or non -interim recovery or disposal in an alternative way.  
10. Where a notifier specified in Article 3 , point (6)(a)(iv), fails to fulfil any of the take -
back obligations set out in this Article and Article 23, the original waste producer, 
the new waste producer or the collector specified in Article 3 , points (6)(a)(i), (ii) or 
(iii), respectively who authorised th e dealer or brok er to act on its behalf shall be 
deemed to be the notifier for the purposes of th ose take -back obligations.   
EN 59  EN Article 23 
Costs for take -back when a shipment cannot be completed  
1. Costs arising from the return of waste from a shipment that cannot be completed, 
including costs of its transport, recovery or disposal pursuant to Article 22(2) or (3) , 
and, as of the date on  which the competent authority of dispatch becomes aware that 
a shipment of waste or its recovery or disposal cannot be completed, storage costs 
pursuant to Article 22(9) shall be charged  in accordance with the following order :  
(a) to the notifier following the order of the list  in Article 3, point (6) ; or, if that is  
not possible  to the person referred to in point (b) ; 
(b) to other natural or legal persons as appropriate; or, if  that is also impossible  to 
the person referred to in point (c) ; 
(c) to the competent authority  of dispatch ; or, if that is also impossible  in 
accordance with point (d) ; 
(d) as otherwise agreed between the competent authorities concerned.  
2. This Article shall be without prejudice to Union  and national provisions concerning 
liability.  
Article 2 4 
Take -back when a shipment is illegal  
1. Where a competent authority discovers a shipment that it considers to be an illegal 
shipment, it shall immediately inform the other competent authorities concerned.  
2. Where  the responsibility of an illegal shipment can be imputed to  the notifier, the 
competent au thority of dispatch shall ensure that the waste in question is:  
(a) taken back by the notifier de facto , in order to arrange  for its disposal or 
recovery ; or, if no notification has been submitted , in accordance with point 
(b); 
(b) taken back by the not ifier de jure  in order to arrange  for its  disposal or 
recovery ; or, if that is not possible , in accordance with point (c) ; 
(c) taken back  by the competent authority of dispatch itself or by a natural or legal 
person on its behalf  in order to arrange  for its disposal or recovery ; or, if that is 
also impossible , in accordance with point (d) ; 
(d) alternatively recovered or disposed of in the country of destination or dispatch 
by the competent authority of dispatch itself or by a natural or legal person on 
its behalf; or, if that is also impossible , in accordance with point (e) ; 
(e) alternatively recovered or disposed of in another country by the competent 
authority of dispatch itself or by a natural or legal person on its behalf if all the 
competent authoriti es concerned a gree.  
The take-back, recovery or disposal referred to in the first subparagraph shall take 
place within 30 days, or such other period as may be agreed between the competent 
authorities concerned after the competent authority of dispatch becomes aware of or 
has been advised by the competent authorities of destination or transit of the illegal 
shipment and informed of the reasons  therefor. Such advice may result from 
information submitted to the competent authorities of destination or trans it, inter alia, 
by other competent authorities.   
EN 60  EN In cases of take -back as referred to in  the first subparagraph,  points (a), (b) and (c), a 
new notification shall be submitted, unless the competent authorities concerned agree 
that a duly motivated  request b y the initial competent authority of dispatch is 
sufficient.  
The new notification shall be submitted by the person or authority listed in the first 
subparagraph, points (a), (b) or (c) , and in accordance with that order.  
The competent authorities shall not oppose or object to the return of waste of an 
illegal shipment. In the case of alternative arrangements as referred to in  the first 
subparagraph,  points  (d) and (e) , by the competent authority of dispatch, a new 
notification shall be submitted by the initial competent authority of dispatch or by a 
natural or legal person on its behalf unless the competent authorities concerned agree 
that a duly motivated  request by th at authority is sufficient.  
3. Where a notifier specified in Article 3 , point (6)(a)(iv), fails to fulfil any of the take -
back obligations set out in this Article and Article 25, the original waste producer, 
the new waste producer or  the collector specifie d in Article 3 , points (6)(a)(i), (ii) or 
(iii), respectively who authorised that dealer or broker to act on its behalf shall be 
deemed to be the notifier for the purposes of th ose take -back obligations.  
4. Where  the responsibility of an illegal shipment can be imputed to the  consignee , the 
competent authority of destination shall ensure that the waste in question is 
recovered or disposed of in an environmentally sound manner:  
(a) by the consignee; or, if that is not possible , in accordance with point (b);  
(b) by the competent authority itself or by a natural or legal person on its behalf.  
The recovery or disposal referred to in the first subparagraph shall take place within 
30 days, or such other period as may be agreed between the competent authorities 
concerned after the competent authority of destination becomes aware of or has been 
advised by the competent authorities of dispatch or transit of the illegal shipment and 
informed of the reason(s) therefor e. Such advice may result from information 
submitted  to the competent authorities of dispatch and transit, inter alia, by other 
competent authorities.  
The competent authorities concerned shall cooperate, as necessary, in the recovery or 
disposal of the waste  in accordance with this paragraph . 
5. Where  no new notification is to be submitted, a new movement document shall be 
completed in accordance with Article s 15 or 16 by the person responsible for take -
back or, if that is not possible , by the initial competent authority of dispatch.  
Where  a new notifi cation is submitted by the initial competent authority of dispatch, 
a new financial guarantee or equivalent insurance shall not be required.  
6. In cases where responsibility for the illegal shipment cannot be imputed to either the 
notifier or the consignee , the competent authorities concerned shall cooperate to 
ensure that the waste in question is recovered or disposed of.  
7. In case of interim recovery or disposal referred to in Article 7(6) where an illegal 
shipment is discovered after completion of the i nterim recovery  operation  or interim 
disposal operation, the subsidiary obligation of the country of dispatch to take the 
waste back or arrange for alternative recovery or disposal shall end when the facility 
has issued the certificate referred to in Artic le 15(4).  
EN 61  EN Where  a facility issues a certificate of recovery or disposal in such a way  that it  
result s in an illegal shipment, with the consequence that the financial guarantee is 
released, paragraph 4 of this Article  and Article 2 5(2) shall apply.  
8. Wher e the waste of an illegal shipment is discovered within a Member State, the 
competent authority with jurisdiction over the area where the waste was discovered 
shall be responsible for ensuring that arrangements are made for the safe storage of 
the waste pe nding its return or non -interim recovery or disposal in an alternative 
way.  
9. Articles 34 and 36 shall not apply in cases where illegal shipments are returned to the 
country of dispatch and that country of dispatch is a country covered by the 
prohibitions  set out in those Articles.  
10. In the case of an illegal shipment referred to  in Article 3 , point (25)(g), the person 
who arranges the shipment shall be subject to the same obligations set out  in this 
Article as the notifier.  
11. This Article shall be without prejudice to Union and national provisions concerning 
liability.  
Article 2 5 
Costs for take -back when a shipment is illegal  
1. Costs arising from the take -back of waste of an illegal shipment, including costs of 
its transport, recovery or disposal p ursuant to Article 2 4(2) and, as of the date on 
which the competent authority of dispatch becomes aware that a shipment is illegal, 
storage costs pursuant to Article 2 4(8), shall be charged to:  
(a) the notifier de facto, as  referred to in Article 24(2) , point (a) as identified  
following the order indicated in Article 3 , point (6); or, if no notification has 
been submitted , in accordance with point (b) ; 
(b) the notifier de jure or other natural or legal persons as appropriate; or, if that is 
not possible , in accordance with point (c) ; 
(c) the competent authority  of dispatch.  
2. Costs arising from recovery or disposal pursuant to Article 24(4), including possible 
transport and storage costs pursuant to Article 24(7), shall be charged to  the 
consignee ; or, if  that is not possible , to the competent authority of destination . 
3. Costs arising from recovery or disposal pursuant to Article 2 4(6), including possible 
transport and stor age costs pursuant to Article 2 4(8), shall be charged to:  
(a) the notifier, as identified in accordance with the ranking established in Article 
3, point (6), and/or the consignee, depending upon the decision by the 
competent authorities concern ed; or, if that is not possible , in accordance with 
point (b);  
(b) other natural or legal persons as appropriate; or, if that is also impossible , in 
accordance with point (c);  
(c) the competent authorities of dispatch and destination.  
4. In the case of an illegal shipment referred to  in Article 3 , point (25)(g), the perso n 
who arranges the shipment shall be subject to the same obligations set out  in this 
Article as the notifier.   
EN 62  EN 5. This Article shall be without prejudice to Union and national provisions concerning 
liability.  
 
Chapter  5 
General administrative provisions  
Article 2 6 
Electronic submission and exchange of information  
1. The following information and documents shall be submitted and exchanged via 
electronic means , either via the central system referred to in paragraph 2, or via a 
national system in accordance with paragraph 3 : 
(a) For was te as referred to in Article 4(1 ) and (2) : 
(i) notification of a planned shipment pursuant to Articles 5 and 13;  
(ii) request for information and documentation pursuant to Articles 5 and 8;  
(iii) submission of information and documentation pursuant to Articles 5 and 8;  
(iv) information and decisions pursuant to Article 8;  
(v) consent  to a notified shipment and  if applicable,  the official notice of a 
withdrawal thereof  pursuant to Article 9;  
(vi) conditions for a shipment pursua nt to Article 10;  
(vii) objections in case the conditions in Article 11(2) are not fulfilled;  
(viii) objections to  a shipment pursuant to Article  12; 
(ix) information on decisions to issue pre -consents to specific recovery 
facilities pursuant to Article 14 (8) and ( 10); 
(x) information and decisions pursuant to Article 14( 11) and ( 15); 
(xi) confirmation of receipt of the waste pursuant to Articles 15 and 16;  
(xii) certificate for recovery or disposal of the waste pursuant to Articles 15 
and 16;  
(xiii) prior information regarding the actual start of the shipment pursuant to 
Article 16;   
(xiv) the documents to accompany each transpor t in accordance with Article 
16; 
(xv) information on changes in the shipment after consent pursuant to Article 
17;  
(xvi) if feasible, consents and movement documents to be sent pursuant 
toTitles IV, V and VI;  
 
(b) For was te referred to in Article 4(3 ), the information and documentation 
required under Article 18.   
EN 63  EN 2. The Commission shall operate a central system that allows for the electronic 
submission and exchange of information and documents referred to in paragraph 1 . 
That central system  shall  provide a hub that shall be used for the exchange  in real 
time of the information and documents referred to in paragraph 1 between existing 
national systems for electronic data interchange.  
That central system shall also be used by the competent authorities of the Member 
States that have not set up a national system for electr onic data interchange, to 
submit and exchange  directly , by electronic means, the information and documents  
referred to in paragraph 1.  
That central system shall also provide for its interoperability with the environment 
for electronic freight transport information established under Regulation (EU) 
2020/1056 of the European Parliament and of the Council61. 
Within four years after adoption of the implementing act referred to in paragraph 4, 
that central system shall provide for its interoperability with the  EU single window 
environment for customs.   
3. Member States may operate their own national systems but shall ensure that those  
systems are interoperable with the central system referred to in paragraph 2 , are 
operated in accordance with the requirements a nd rules laid down in the 
implementing act s adopted by the Commission pursuant to paragraph 4   and 
exchange information and documents with the central system in real time.  
4. At the latest by  [OP: Please insert the date of 12 months following the date of  entry 
into force  of this Regulation ], the Commission shall adopt implementing acts  to 
establish:  
(a) the requirements necessary for interoperability between  the central system  
referred to in paragraph 2  and national systems, including a  data model and a 
protocol for data exchange ; 
(b) any other  technical and organisational requirements , including on  security 
aspects  and data governance , which are necessary for  the practical 
implementation of the electronic submission and exchange of information  and 
documents referred to in paragraph 1 . 
Those implementing acts shall be adopted in accordance with the examination 
procedure referred to in Article 7 7(2). 
  
                                                 
61 Regulation (EU) 2020/1056 of the European Parliament and of the Council of 15 July 2020 on 
electronic freight transport information  (OJ L 249, 31.7.2020, p. 33 ).  
EN 64  EN Article 2 7 
Language  
1. Any notification, information, documentation or other communication submitted 
pursuant to the provisions of this Title shall be provided in a language acceptable to 
the competent authorities concerned.  
2. The notifier shall provide the competent authoritie s concerned with authorised 
translations  of the documents  referred to in paragraph 1  into a language which is 
acceptable to them, where they so request.  
Article 28 
Disagreement on classification issues  
1. When deciding whether an object or substance resulting from a production process 
the primary aim of which is not the production of that object or subst ance shall be 
considered to be  waste, Member States shall base their decision on the conditions 
laid down in Article 5 of Directive 2008/98/EC.   
When  deciding whether  waste which has undergone a recycling or other recovery 
operation shall be considered to have ceased to be waste, Member States shall base 
their decision  on the conditions laid down in Article  6 of Directive 2008/98 /EC.  
If the competent authorities of dispatch and of destination cannot agree on the 
classification as regards the distinction between waste and non -waste, the object or 
substance  shall be treated as if it were waste  for the purpose  of the shipment . This 
shall be without prejudice to the right of the country of destination to deal with the 
shipped material in accordance with its national legislation, following arrival of the 
shipped material and where such legislation is in accordance with Union or 
international law.  
2. If the competent authorities of dispatch and of destination cannot agree on the 
classification of a waste as being listed in Annex III, Annex  IIIA, Annex IIIB or  
Annex  IV, or not listed in any of th ose Annexes,  the shipment  of that  waste shall be 
subject to Article  4(1) and (2) . 
3. If the competent authorities of dispatch and of destination cannot agree on the 
classification of the waste treatment operation notified  as being recovery or disposal, 
the provisions of this Regulation regarding disposal shall apply.  
4. In order to facilitate the harmonised classification of waste listed in Annex III,  
Annex  IIIA, Annex IIIB or  Annex  IV in the Union, the Commission is empowered to 
adopt delegated acts in accordance with Article 76 to supplement this Regulation by  
establish ing criteria, such as contamination thresholds, on the basis of which certain 
wastes shall be classified in Annex III, IIIA, IIIB or IV.  
The Commission is also empowered to adopt delegated acts in accordance with 
Article 76 to supplement this Re gulation by  establish ing criteria to distinguish 
between used goods and waste, for specific categories of commodities for which this 
distinction is of particular importance for the export of waste from the Union.    
EN 65  EN  Article 29 
Administrative costs  
Appropriate and proportionate administrative costs for implementing the notification and 
supervision procedures and normal  costs for appropriate analyses and inspections may be 
charged by authorities concerned to the notifier.  
Article 30 
Border -area agreem ents 
1. In exceptional cases, and where  the specific geographical or demographical situation 
warrants such a step, Member States may conclude bilateral agreements making the 
notification procedure for shipments of specific flows of waste less stringent in 
respect of cross -border shipments to the nearest suitable facility located in the border 
area between the two Member States concerned.  
2. The bilateral agreements referred to in paragraph 1 may also be concluded where 
waste is shipped from and treated in t he country of dispatch but transits another 
Member State.  
3. Member States may also conclude bilateral agreements referred to in paragraph 1 
with countries that are parties to the Agreement on the European Economic Area.  
4. The agreements referred to in th is Article shall be notified to the Commission before 
they take effect.  
Chapter  6 
Shipments within the Union with transit via third countries  
Article 3 1 
Shipments of waste destined for disposal  
Where a shipment of waste takes place within the Union  with transit via one or more third 
countries, and the waste is destined for disposal, the competent authority of dispatch shall ask 
the competent authority in th ose third countries whether they wish to send their written 
consent to the planned shipment:  
(a) where the third country is a  Party to the Basel Convention, within 60 days, 
unless it has waived this right in accordance with the terms of that Convention; 
or 
(b) where the third country is not a  Party to the Basel Convention, within a period 
agreed b etween the competent authorities.  
Article 32 
Shipments of waste destined for recovery  
1. When a shipment of waste takes place within the Union with transit via one or more 
third countries to which the Decision o f the Council on the Control of Transboundary  
Movements of Wastes Destined for Recovery Operations ( ‘the OECD Decision’)  
does not apply, and the waste is destined for recovery, Article 31 shall apply.   
EN 66  EN 2. When a shipment of waste takes place within the Union, including shipments 
between localities in the same Member State, with transit via one or more third 
countries to which the OECD Decision applies, and the waste is destined for 
recovery, the consent referred to in Article 9 may be provided tacitly, and if no 
objection has been raised or no conditio ns have been specified, the shipment may 
start 30 days after the date of submission of the notification  by the notifier  in 
accordance with Article 5.  
EN 67  EN Title  III 
Shipments exclusively within a Member State  
Article 33 
Regime  for shipments exclusively within a Member State  
1. Member States shall establish an appropriate regime  for the supervision and control 
of shipments taking place  exclusively within their national jurisdiction. That regime  
shall take account of the need for coherence with the Union system established by 
Titles II and VII.  
2. Member States shall inform the Commission of their regime  for supervision and 
control of shipments of waste. The Commission shall inform the other Memb er 
States thereof.  
  
EN 68  EN Title  IV 
Exports from the Union to third countries  
Chapter  1 
Exports of waste for disposal  
Article 3 4 
Prohibit ion of exports  
1. Exports from the Union  of waste destined for disposal are prohibited.  
2. The prohibition in paragraph 1 shall not apply to exports of waste destined for 
disposal to EFTA countries which are also Parties to the Basel Convention.  
3. By way of derogation from paragraph 2 , exports  of waste  destined  for disposal to an 
EFTA country that is a Party to the Basel Convention shall be prohibited:  
(a) where the EFTA country prohibits imports of such waste;  
(b) where  the conditions laid down in Article 11(2) are not fulfilled;    
(c) where  the competent authority of dispatch has reason to believe that the waste 
will not be subject to  environmentally sound management  as referred to in 
Article 56  in the country of destination.  
4. The prohibition paragraph 1 shall not apply to waste that is subject to a take -back 
obligation pursuant to Articles 22 or 24.  
Article 35 
Procedures for export s to EFTA countries  
1. Where waste is exported from the Union  to an EFTA countr y that is a  Party to the 
Basel Convention  and destined for disposal in  that country , the provisions of Title II 
shall apply mutatis mutandis , with the adaptations and addition al provision s set out  
in paragraphs 2 and 3.  
2. The following adaptations shall apply:  
(a) the not ifier shall submit in accordance with Article 26 the notification request 
and the information and documentation in accordance with Article 5( 3), and  at 
the same time , provide it by post, fax or email with digital signature , to the 
competent authorities concerned in the countries of transit and destination 
outside the Union, unless th ose authorities are connected to the central system 
referred to in Article 26 (2); 
(b) the notifier shall submit in accordance with Article 26  any additional 
information   and documentati on in accordance with  Article 5 (4), and at the 
same time , provide  it by post, fax or email with digital signature, to the 
competent authorities concerned in the countries of transit and destination 
outside the Union , unless th ose authorities are connected to the central system 
referred to in Article 26 (2); 
(c) the competent authority of dispatch shall inform the competent authorities 
concerned in the countries of transit and destination outside the Union of any 
request for information and documentation from its side and of its decision   
EN 69  EN regarding the planned ship ment , by post, fax or email with digital signature, 
unless th ose competent authorities are connected to the central system referred 
to in Article 26 (2); 
(d) the competent authority of transit outside the Union shall have 60 days after the 
date of transmiss ion of its acknowledgement of receipt of the notification to 
provide, where  the country concerned has decided not to require prior written 
consent and has informed the other Parties to the Basel Convention  thereof in 
accordance with Article 6(4) of th at Convention, tacit consent or to give a 
written consent with or without conditions;  
(e) the competent authority of dispatch in the Union shall take the decision to 
consent to the shipment as referred to in Article 9 only after having received 
written consent  from the competent authority of destination and, where 
appropriate, the tacit or written consent of the competent authority of transit 
outside the Union, and not earlier than 61 days after the date of transmission of 
the acknowledgement of receipt of the notification  by the competent authority 
of transit , unless  the competent authority of dispatch has the written consent of 
the other competent authorities concerned , in which case it may take the 
decision as referred to in Article 9 before that time limit . 
3. The following additional provisions shall apply:  
(a) the competent authority of transit in the Union shall send an acknowledgment 
of receipt of the notification to the notifier and copies to the other competent 
authorities concerned;  
(b) the competent authorities of dispatch and, where appropriate, the competent 
authorities of transit in the Union shall ensure that  the customs office of export 
and the customs office of exit are informed of their decisions to consent to the 
shipment ; 
(c) a copy of the movement document shall be provided by the carrier to the 
customs office of export and the customs office of exit either by post, fax or 
email with digital signature , or, where the customs office of export has access 
to it, via the central system referred to in Article 26 (2); 
(d) as soon as the waste has left the Union, the customs office of exit shall inform  
the competent authority of dispatch in the Union that the waste has left the 
Union;  
(e) where , 42 days after the waste has left the Union,  the competent authority of 
dispatch in the Union has received no information from the facility about 
receipt  of the waste, it shall without delay inform the competent authority of 
destination  thereof ; 
(f) the contract referred to in Article 6 shall contai n the following terms and 
conditions : 
(i)  where  a facility issues an incorrect certificate of disposal with the 
consequence that the financial guarantee is released, the consignee shall 
bear the costs arising from the duty to return the waste to the area of 
jurisdiction of the competent authority of dispatch and from its recovery 
or disposal in an alternative and environmentally sound manner ; 
(ii)  the facility shall, within three days of receipt of the waste for disposal, 
send signed copies of the complet ed movement document, except for the  
EN 70  EN certificate of disposal referred to in point (iii), to the notifier and the 
competent authorities concerned ; 
(iii)  the facility shall,  as soon as possible but no later than 30 days after 
completion of the disposal and in any case  no later than one calendar year 
after the receipt of the waste under its responsibility, certify that the 
disposal has been completed and shall send signed copies of the 
movement document containing that certification to the notifier and to 
the competent authorities concerned ; 
(g) the notifier shall, w ithin three working days of receipt of the copies referred to 
in point (f)(ii) and (f)(iii), make  the information contained in tho se copies 
electronically available in accordance with  Article 26.  
4. The shipment may take place only if  all the following conditions are ful filled : 
(a) the notifier has received written consent from the competent authorities of 
dispatch, destination and, where appropriate, transit outside the Union and if 
the conditions  laid down  in those decision have been  met; 
(b) environmentally sound management  of the waste  as referred to in Article 56 , is 
ensured.  
5. Where waste is exported, it shall be destined for disposal operations within a facility 
which, under applicable nati onal law, is operating or is authorised to operate in the 
country of destination.  
6. Where  a customs office of export or a customs office of exit discovers an illegal 
shipment, it shall without delay inform the competent authority in the country of the 
customs office thereof.  That competent authority  shall:  
(a) without delay inform the compete nt authority of dispatch in the Union  of the 
illegal shipment ; and 
(b) ensure detention of the waste until the competent authority of dispatch has 
decided otherwise and has communicated that decision in writing to the 
competent authority in the country of the customs office in which the waste is 
detained . 
 
Chapter  2 
Exports of waste for recovery  
SECTION 1 
EXPORTS OF HAZARDOUS AND CER TAIN OTHER WASTE TO COUNTRIES TO 
WHICH THE OECD  DECISION DOES NOT APPLY  
Article 36 
Prohibition of exports  
1. Exports from the  Union of the following wastes destined for recovery in countries to 
which the OECD Decision does not apply are prohibited:  
(a) wastes listed as hazardous in Part 1 of Annex V  to this Regulation ;  
EN 71  EN (b) wastes  listed as hazardous in the list of waste referred  to in Article 7 of 
Directive 2008/98/EC;  
(c) wastes listed in  Part 2 of Annex V  to this Regulation ; 
(d) hazardous wastes not classified under one single entry in Annex V to this 
Regulation  or in the list of waste referred to in Article 7 of Directive 
2008 /98/EC ; 
(e) mixtures of hazardous wastes and mixtures of hazardous wastes with non -
hazardous wastes not classified under one single entry in Annex V  to  this 
Regulation  or  in the list of waste referred to in Article 7 of Directive 
2008/98/EC ; 
(f) wastes t hat the country of destination has notified as hazardous under Article 3 
of the Basel Convention;  
(g) wastes the import of which has been prohibited by the country of destination;  
(h) wastes which the competent authority of dispatch has reason to believe will not 
be managed in an environmentally sound manner as referred to in Article 56 , in 
the country of destination concerned;   
(i) waste referred to in Art icle 4(5).  
2. Paragraph 1 shall not apply to waste that is subject to a take -back obligation pursuant 
to Articles 22 or 24.  
3. Member States m ay, in exceptional cases,  provi de, on the basis of documentary 
evidence provided by the notifier, that a specific hazardous waste listed in Annex V 
to this Regulation  or in the list of waste referred to in Article 7 of Directive 
2008/98/EC  is excluded from the export prohibition referred to in paragraph 1, where  
it does not display any of the properties listed in Annex III to Directive  2008/98/EC , 
taking into account the criteria and applicable cut -off values and concentration limits 
for the classification of waste as hazardous  as specifie d that Annex . Where a 
hazardous property of a waste has been assessed by a test and by using the 
concentrations of hazardous substances as indicated in Annex III to Directive 
2008/98/EC, the results of the test shall prevail.  
4. The fact that waste is not listed as hazardous in Annex V  or in the list of waste as 
referred to in Article 7 of Directive 2008/98/EC , or that it is listed in Part 1, List B  of 
Annex V , shall not preclude, in exceptional cases, characterisation of such waste as 
hazardous and therefore subject to the export prohibition if it displays any of the 
properties listed in Annex III to Directive  2008/98/EC , taking into account the 
criteria and applicable cut -off values and concentration limits for the classification of 
waste as hazardo us, specified therein. Where a hazardous property of a waste has 
been assessed by a test and by using the concentrations of hazardous substances as 
indicated in Annex III to Directive 2008/98/EC, the results of the test shall prevail.  
5. In the cases referred to in paragraphs 3 and 4, the Member State concerned shall 
inform the envisaged country of destination prior to taking a decision  to consent to 
planned  shipments to that country . Member States shall notify such cases to the 
Commission before the e nd of each calendar year. The Commission shall forward 
that information to all Member States and to the Secretariat of the Basel Convention. 
On the basis of the information provided, the Commission may make comments and, 
where appropriate, adapt Annex V to this Regulation  in accordance with Article 72.   
EN 72  EN SECTION 2 
EXPORTS OF NON -HAZARDOUS WASTE TO C OUNTRIES TO WHICH TH E OECD  
DECISION DOES NOT APPL Y 
Article 3 7 
Prohibition of exports  
1. Exports from the Union of the following wastes destined for recovery in countries to 
which the OECD Decision does not apply are prohibited:  
(a) waste listed in Annex III, Annex IIIA or Annex  IIIB;  
(b) non-hazardous waste included in the list of waste referred to in Article 7 of 
Directive 2008/98/EC, when not already listed in Annex III, Annex IIIA or  
Annex  IIIB.  
2. Paragraph 1 shall not apply to exports of waste destined for recovery to a country 
included in the list of countries established in accordance with Article 38 for the 
waste specified in that list.  
Such export may only take place on the condition that the waste is destined to a 
facility licensed under the domestic legislation of the country concerned, to 
undertake recovery operations for that waste. In addition, such export shall be subject 
to the ge neral information requirements laid down in Article 18 or, in case the 
country concerned so indicates in the request referred to in Article 39, the procedure 
of prior written notification and consent referred to in Article 35.   
 
Article 38 
Establishment o f a list of countries  to which exports of  non-hazardous waste from the Union 
for recovery are  authorised  
1. The Commission is empowered to adopt  a delegated act  in accordance with Article 
76 to  supplement this Regulation  by establish ing a list of countries to which the 
OECD Decision does not apply and to which exports of non -hazardous waste from 
the Union for recovery are authorised (“list of countries to which exports are 
authorised”). This list shall include countries which have submit ted a request 
pursuant to Article 39(1) and have demonstrated compliance with the requ irements 
set out in Article 39(3 ), based on an assessment carried out by the Commission 
pursuant to Article 40.  
2. The list referred to in paragraph 1 shall include the f ollowing information:   
(a) the name of the countries to which export of non -hazardous waste from the 
Union for recovery is authorised;  
(b) the specific waste(s) that are authorised for export from the Union to each 
country referred to in point (a);   
(c) information, such as an internet address, allowing access to a list of facilities 
which are licensed under the domestic legislation of each country referred to in 
point (a) to carry out the recovery of the waste referred to in point (b);  
(d) where available,  information on any specific control procedure applying under 
the domestic legislation of each country referred to in point (a) to the import of  
EN 73  EN the waste(s) referred to in point (b), including an indication of whether such 
import is subject to the procedu re of prior written notification and consent 
referred to in Article 35.  
3. The list referred to in paragraph 1 shall be adopted by [ OP Please insert the date 30 
months after the date of entry into force of this Regulation ], unless no country 
submits a requ est pursuant to Article 39(1) or no country complies with the 
requirements set out in Article 39( 3) at that time.  
By [OP Please insert the date three months after the date of entry into force of this 
Regulation ], the Commission shall contact all countries to which the OECD Decision 
does not apply, to provide them with the necessary information on the possibility for 
those countries to be included in the list of countries to which exports are authorised.  
In order to be included in the list of countries to which exports are authorised 
adopted by [ OP Please insert the date 30 months after the date of entry into force of 
this Regulation ], the countries to which the OECD Decision does not apply shall 
submit their request pursuant to Article 39(1) by [ OP Please insert the date 9 months 
after the date of entry into force of this Regulation ]. 
4. The Commission shall regularly, and at least every two years following its 
establishment, update the list of countries to which exports are authorised, in order 
to:  
(a) add a country whose inclusion is decided in accordance with paragraph 1;  
(b) remove a country which ceases to comply with the requirements set out 
in Article 39;  
(c) update the information referred to in paragraph 2, points (b) , (c) and (d), 
based on a requ est received from the country concerned and, if that 
request concerns the addition of new waste, provided that the country 
concerned has demonstrated compliance with the requirements set out in 
Article 39 with respect to the new waste in question ; 
(d) include or remove any other element  relevant to ensure that the list 
contains accurate and updated information . 
5. In the event of any change to the information provided to the Commission under 
Article 39(3), the countries included in the list referred to  in paragraph 1 shall 
provide an update of the information specified in the form set out in Annex VIII, 
together with relevant supporting evidence without delay.  
The countries included in the list referred to in paragraph 1 shall in any case, on the 
fifth year after their initial inclusion, provide to the Commission an update of the 
information specified in the form set out in Annex VIII, together with relevant 
supporting evidence.  
After receiving information and evidence referred to in the first and second 
subparagraphs  of this paragraph , the Commission may request additional information 
from the country concerned to demonstrate that it continues to comply with th e 
requirements set out in Article 39.  
6. Where information becomes available which shows in a plausible manner that the 
requirements set out in Article 39 are no longer fulfilled for a country which is 
already included in the list referred to in paragraph  1, the Commission shall invite 
that country to provide its views on that information, within a maximum period of  
EN 74  EN two months from its invitation to provide comments, together with relevant 
supporting evidence demonstrating continued compliance with those r equirements. 
That period may be extended by an additional period of two months where the 
country concerned makes a reasoned request for such extension.  
7. Where the country concerned does not provide its views and the  requested 
supporting evidence within t he time limit referred to in the first subparagraph  of this 
paragraph , or where the provided evidence is insufficient to demonstrate continued 
compliance with the requirements set out in Article 39, the Commission shall remove 
that country from the list  without undue delay . 
8. The Commission may at any time contact a country included in the list referred to in 
paragraph 1 to obtain information which is relevant to ensure that this country 
continues to comply with the requirements set out in Article 39.  
Article 39  
Requirements for inclusion in the list of countries to which exports are authorised   
1. Countries to which the OECD Decision does not apply and which intend to receive 
certain waste referred to in Article 37(1) from the Union for recovery shall submit a 
request to the Commission  indicating their willingness to receive that waste and to be 
included in the list referred to in Article 38.  Such request and all related 
documentation or other communication shall be provided in English language.  
2. The request referred to in paragraph 1 shall be submitted  using the form set out in 
Annex VIII and shall contain all the information specified there in.  
3. The country making the request shall demonstrate that it has put in place  and 
implements all necessary m easures to ensure that the waste concerned will be 
managed in an environmentally sound manner as referred to in Article 5 6. 
To this end,  the country making the request shall demonstrate that:  
(a) it has a comprehensive waste management strategy or plan that covers its entire 
territory and shows its ability and readiness to ensure the environmentally 
sound management of waste . That strategy or plan shall include  at least the 
following elements:  
(i) amount of total waste generated in the country on a yearl y 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 these amounts would 
develop in the next 10 years ; 
(ii) an estimation of the country’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 these 
capacities would develop in the next 10 years ; 
(iii) the proportion of domestic waste that is separatel y collected, as well as 
any objectives and measures to increase this rate in the future ; 
(iv) an indication of the proportion of the domestic waste concerned  by the 
request  which is landfilled, as well as any objectives and measures to 
decrease  that proportion  in the future;   
EN 75  EN (v) an indication of the proportion of the domestic waste which is recycled, 
and possible  objectives and measures to increase that proportion in the 
future;  
(vi) information on the amount of waste which is littered and on measures  
taken to prevent and clean up litter;  
(vii) a strategy on how to ensure the environmentally sound management of 
waste imported into its territory, including the possible impact of such 
import  on the management of waste  generated domestically ; 
(viii)  infor mation on the methodology used to calculate  the data referred to in 
points (i) to ( vi); 
(b) it has a legal framework for waste management in place, which includes at 
least the following elements:  
(i) permitting or licensing systems for waste treatment facilities;  
(ii) permitting or licensing systems for transport of waste;  
(iii) provisions designed to ensure that the residual waste generated through 
the recovery operation for the wastes concerned by the request is 
managed in an environmentally sound man ner as referred to in Article 
56; 
(iv) adequate pollution controls applying to waste management operations, 
including emission limits for the protection of air, soil and water and 
measures to reduce the emissions of greenhouse gases from tho se 
operations;  
(v) provisions on enforcement, inspection and penalties designed to ensure 
the implementation of domestic and international requirements on waste 
management and waste shipment;  
(c) it is a Party to the multilateral e nvironme ntal a greements referred to  in Annex 
VIII, and has taken the  necessary measures to impleme nt its obligations under 
those a greements;  
(d) it has put in place a strategy for enforcement of domestic legislation on waste 
management and waste shipment, covering control and monitoring measures, 
including information on the number of inspections of shipments of waste and 
of waste management facilities carried out and on penalties imposed in cases of 
infringements of the relevant domestic rules.  
   
EN 76  EN Article 40 
Assessment of the request for inclusion in the list of countries to which exports are authorised  
1. The Commission shall assess the requests submitted pursuant to Article 39 without 
undue delay and, if it is satisfied that the requirements set out in that Article are 
complied with, it shall include the country making the request  in the list  of countries 
to which exports are authorised. The assessment shall be based on the information 
and supporting evidence provided by the country making the request , as well as other 
relevant informatio n, and aim to determine if the country making the request has put 
in place  and implements all necessary measures to ensure that the waste concerned 
will be managed in an environmentally sound manner as referred to in Article 56 . In 
order to perform th is assessment, the Commission shall use, as points of reference, 
the relevant provision s in the legislation and guidance referred to in Annex IX.  
2. Where, during the course of its assessment, the Commission considers that the 
information provided by the count ry making the request is incomplete or insufficient 
to demonstrate compliance with the requirements set out in Article 39, it shall give 
that country an opportunity to provide additional information within a maximum 
period of three  months. That period may be extended by an additional period of  three  
months where the requesting country makes a reasoned request for such extension.  
3. Where the country making the request  does not provide the additional information 
within  the time limit referred to in paragraph 2  of this Article , or where the provided 
additional information is still considered to be incomplete or insufficient to 
demonstrate compliance with the requirements set out in Article 39, the Commission 
shall inform  without undue delay  the countr y making the request  that it cannot be 
included in the list of countries to which exports are authorised and that its request 
will no longer be processed. In that case, the Commission shall also inform the 
country making the request of the reasons for tha t conclusion. This is without 
prejudice to the possibility of the country making the request to submit a new request 
pursuant to Article 39.  
 
SECTION 3 
EXPORTS TO COUNTRIES TO WHICH THE OECD  DECISION APPLIES  
Article 41 
General regime for e xports of waste  
1. Where waste listed in Annex III, IIIA, IIIB or IV, waste not classified or mixtures of 
wastes not classified under one entry in either Annex III or Annex IV are exported 
from the Union and destined for recovery in countries to which the OECD Decision 
applies, with or without transit through countries to which the OECD Decision 
applies, the provisions of Title II shall apply mutatis mutandis , with the adaptations 
and addition al provision s listed in paragraphs 2, 3 and 5.  
2. The following adaptations shall  apply:  
(a) mixtures of wastes listed in Annex IIIA destined for an interim operation shall 
be subject to the procedure of prior written notification and consent if any 
subsequent interim or non -interim recovery operation  or disposal operation is 
to take p lace in a country to which the OECD Decision does not apply;   
EN 77  EN (b) waste listed in Annex IIIB shall be subject to the procedure of prior written 
notification and consent;  
(c) the export of  waste referred to in Article 4(5 ) shall be prohibited ; 
(d) the consent as required in accordance with Article 9 may be provided in the 
form of tacit consent from the competent authority of destination outside  the 
Union . 
3. As regards exports of waste listed in Annex IV, the adaptations and additional 
provisions  listed  in Article 35(2) and Article 35 (3), points (a) to  (e), shall apply .  
In addition, the contract referred to in Article 6 shall contain the following terms and 
conditions : 
(a) where  a facility issues an incorrect certificate of recovery with the consequence 
that the financial guarantee is released, the consignee shall bear the costs 
arising from the duty to return the waste to the area of jurisdiction of the 
competent authority of di spatch and from its recovery or disposal in an 
alternative and environmentally sound manner ; 
(b) the facility shall, within three days of receipt of the waste for recovery, send 
signed copies of the completed movement document, except for the certificat e 
of recovery referred to in point (c), to the notifier and the competent authorities 
concerned ; 
(c) the facility shall , as soon as possible but no later than 30 days after completion 
of the recovery, and in any case no later than one calendar year after the receipt 
of the waste, under its responsibility, certify that the recovery has been 
completed and shall send signed copies of the movement document containing 
that certification to the notifier and to the competent authorities concerned.  
The notifier s hall, w ithin three working days of receipt of the copies referred to in 
points (b) and (c), make the information contained in th ose copies available  via 
electronic means in accordance with  Article 26.  
4. The shipment of waste subject  to the prior written notification and consent may take 
place only if  all the following conditions are fulfilled : 
(a) the notifier has received written consent from the competent authorities of 
dispatch, destination and, where appropriate, transit or, the competent 
authorities of destination and transit outside the Union have  provided tacit 
consent or such tacit consent  can be assumed and the conditions laid down in 
the respective decisions have been  met; 
(b) Article 35(4), points (b), (c) and (d) , is complied with.  
5. Where  an export as referred to  in paragraph 1 of waste listed in Annex IV is in transit 
through a country  to which the OECD Decision does not apply, the following 
adaptations shall apply:  
(a) the competent authority of transit of the country  to which the OECD Decision 
does not apply shall have 60 days after the date of transmission of its 
acknowledgement of receipt of the notification, to provide, where  the country 
concerned has decided not to require prior written consent and has informed 
the other Parties to the Basel  Convention  thereof in accordance with  Article 
6(4) of that Convention, tacit consent or to give a written consent with or 
without conditions;   
EN 78  EN (b) the competent authority of dispatch in the Union  shall take the decision to 
consent to the shipment as referred to in Article 9 only after having received 
tacit or written consent from th e competent authority of transit of the country to 
which the OECD Decision does not apply, and not earlier than 61 days after 
the date of transmission of the acknowledgement of receipt of the competent  
authority of transit , unless  the competent authority of dispatch has received  the 
written consent of the other competent authorities concerned , in which case it  
may take the decision as referred to in Article 9 before that time limit.  
6. Where waste is ex ported, it shall be destined for recovery operations within a facility 
which, under applicable national law, is operating or is authorised to operate in the 
country of destination.  
7. Where  a customs office of export or a customs office of exit discovers a n illegal 
shipment, it shall without delay inform the competent authority in the country of th at 
customs office thereof. That competent authority  shall:  
(a) without delay inform the competent authority of dispatch in the Union  of the 
illegal shipment ; and  
(b) ensure detention of the waste until the competent authority of dispatch has 
decided otherwise and has communicated that decision in writing  to the 
competent authority in the country of the customs office in which the waste is 
detained.  
 
Article 42 
Moni toring of export and safeguard procedure  
1. The Commission shall monitor the levels of export of waste from the Union to 
countries to which the OECD Decision applies , with a view to ensuring that such 
exports do not lead to serious  environmental or human h ealth damages  in the country 
of destination . As part of such monitoring, the Commission shall assess requests 
from natural or legal persons which are accompanied by relevant information and 
data showing that export of waste from the Union leads to serious environmental or 
human health damages  in a country to which the OECD Decision applies .  
2. In case s where  the export of waste from the Union to a country to which the OECD 
Decision applies has considerably increased within a short period of time, and  there  
is insufficient  evidence  available demonstrating that the country concerned has the 
ability to recover this waste in an environmentally sound manner  as referred to in 
Article 5 6, the Commission shall request  the competent authorities of the country 
concerned  to provide, within 60 days , information on the conditions under which the 
waste in question is recovered  and the ability of the country concerned to manage the 
waste in question . The Commission may grant an extension of this time limit if the 
country concerned makes a reasoned request for an extension thereof.  
3. The request  referred to in paragraph 2  shall  aim to verify that the country concerned  
has: 
(a) put in place and implemented  an adequate legal framework for the import and 
management of the waste concerned, as well as adequate measures to ensure 
the environmentally sound management of the residual waste generated 
through the recovery of the waste concerned;   
EN 79  EN (b) sufficient capacity in its territory allowing  the waste concerned  to be managed 
in an environmentally sound manner , taking into consideration the increased 
volume of waste  imported into its territory ; 
(c) put in place an adequate strategy to address the possible negative impact of an 
increase in the import of the waste c oncerned on the collection and 
management of the waste generated domestically ; 
(d) put in place and implement ed adequate  enforcement measures to address 
possible illegal shipments or treatment of the waste concerned.  
4. Where , further to the request  referr ed to in paragraph  2, the country concerned does 
not provide  sufficient evidence  as referred to in paragraph 3  that the waste is 
managed in an environmentally sound manner  in accordance with Article 56 , the 
Commission is empowered to  adopt  delegated act s in accordance with Article 76 to 
supplement  this Regulation  by prohibit ing the export of the waste concerned to this 
country.  
This prohibition shall be lifted by the Commission , when the Commission has 
sufficient evidence  that the waste concerned will be managed in an environmentally 
sound manner.   
 
Chapter  3 
Additional obligations  
Article 43 
Obligations o n exporters  
1. A natural or legal person shall only export waste from  the Union if it can 
demonstrate that the facilities  which are to receive the waste in the country of 
destination will manage it in an environmentally sound manner  as referred to in 
Article 5 6.  
2. In order to fulfil the obligation referred to in paragraph 1, a natural or legal person 
intending to export waste from  the Union shall ensure that the facilities  which will 
manage the waste in the country of destination have been subject to an audit by an 
independent and accredited third party with appropriate qualifications .   
3. The audit referred to in paragraph 2 shal l verify compliance of the facility concerned 
with the criteria laid down in Annex X. A legal or natural person shall not export 
waste to a facility which does not comply with th ose criteria.  
4. A natural or legal person intending to export waste shall ensure that the facility 
which will manage the waste in the country of destination has been subject to an  
audit referred to in paragraph 2 prior to export ing waste to the facility concerned and 
that the audit  is repeated at regular intervals, following a risk -based approach, with a 
minimum frequency of every three years after the first audit.  
A natural or legal person exporting waste from  the Union shall also carry out an ad -
hoc audit without delay in case it receive s plausible information that a facility no 
longer complies with the criteria laid down in Annex X.   
EN 80  EN 5. A natural or legal person that has commissioned or carried out an audit for a given 
facility in accordance with paragraph 2 shall ensure that such audit be made available 
to other natural or legal person intending to export waste to th e facility  in question , 
under fair commercial conditions.  
6. Upon request by a competent authority or an authority involved in inspections, a 
natural or lega l person shall  provide documentary evidence that audits as referred to 
in paragraph 2 have been carried out in all facilities to which they are exportin g the 
waste in question.  Such documentary evidence  shall be provided in a language 
acceptable to the com petent authorities concerned.  
7. Natural or legal persons exporting waste outside the Union shall on a yearly basis 
make information on how they comply with their obligations under this Article 
publicly available by electronic  means.  
8. Where a n international agreement between the Union and a third country  to which 
the OECD Decision applies recognis es that the facilities  in that third country  will 
manage waste in an environmentally sound manner, in accordance with the criteria 
laid down in Annex X , natural and legal persons which intend to export waste to that 
third country shall be exempted from the obligation in paragraph 2 .  
9. Upon request by a competent authority or an authority involved in inspections, a 
natural or legal person that is exempt ed pursuant to paragraph 8, shall provide  
documentary evidence of the relevant international agreement  as mentioned in that 
paragraph in a language acceptable to the competent authorities concerned.  
 
Article 44 
Obligations o n Member States of export  
1. Member States shall take all the measures necessary to ensure that legal and natural 
persons under their  national  jurisdiction do no export waste in cases where the 
conditions laid down in Articles 36  to 43 for such export are not met.  
2. Member States shall carry out regular verifications , following a risk -based approach,  
to ensure that natural and legal persons exporting waste from  the Union comply with 
the obligations  referred to in Article 4 3.  
Where Member States  are in possession of plausible infor mation , which indicates 
that natural or legal persons  exporting waste from  the Union are not complying with 
their obli gations under Article 4 3 they shall carry out the necessary verifications . 
   
EN 81  EN Chapter  4 
General provisions  
Article 45 
Exports to the Antarctic  
Exports of waste from the Union  to the Antarctic shall be prohibited.  
Article 46 
Exports to overseas countries or territories  
1. Exports from the Union  to an overseas countr y or territor y of waste destined for 
disposal in that country or territor y shall be prohibited.  
2. As regards exports of waste destined for recovery in overseas countries or territories, 
the prohibition set out in Article 36 shall  apply mutatis mutandis . 
3. As regards exports of waste destined for recovery in overseas countries or territories 
not covered by the prohibition set out in Article 36 , the provisions of Title II shall 
apply mutatis mutandis . 
  
EN 82  EN Title  V 
Imports into the Union from third countries  
Chapt er 1 
Imports of waste for disposal  
Article 47 
Prohibition of i mports  
1. Imports into the Union of waste destined for disposal shall be prohibited except 
imports coming from:  
(a) countries which are Parties to the Basel Convention;  
(b) other  countries with which the Union, or the Union and its Member States, 
have concluded bilateral or multilateral agreements or arrangements 
compatible with Union legislation and in accordance with Article 11 of the 
Basel Convention;  
(c) other countries with which individual M ember States have concluded bila teral 
agreements or arrangements in accordance with paragraph 2; or  
(d) other areas in cases where, on exceptional grounds during situations of crisis, 
peacemaking, peacekeeping or war, no bilateral agreeme nts or arrangements 
pursuant to points (b) or (c) can be concluded or where a competent authority 
in the country of dispatch has either not been designated or is unable to act.  
2. In exceptional cases, Member States may conclude bilateral agreements and 
arrangements for the disposal of specific waste in those Member States, where such 
waste will not be managed in an environmentally sound manner in the country of 
dispatch.  
These agreements and arrangements shall : 
(a) be compatible with Union legislation an d in accordance with Article 11 of the 
Basel Convention.  
(b) guarantee that the disposal operations will be carried out in an authorised 
facility and will comply with the requirements for environmentally sound 
management  as referred to in Article 5 6; and  
(c) guarantee that the waste is produced in the country of dispatch and that 
disposal will be carried out exclusively in the Member State which has 
concluded the agreement or arrangement.  
(d) be notified to the Commission prior to their conclusion  or, in em ergency 
situations , at the latest  up to one month after conclusion.  
3. Bilateral or multilateral agreements or arrangements referred to in  paragraph 1 , 
points (b) and (c) , shall be based  on the procedural requirements of Article 48. 
4. The countries referr ed to in paragraph 1 , points (a), (b) and (c) , shall be required to 
present a prior duly motivated  request to the competent authority of the Member 
State of destination on the basis that they do not have and cannot reasonably acquire 
the technical capacity and the necessary facilities in order to dispose of the waste in 
an environmentally sound manner  as referred to in Article 5 6.  
EN 83  EN Article  48 
Procedural requirements for imports  
1. Where waste destined for disposal is imported into the Union from countries that are  
Parties to the Basel Convention, the provisions of Title II shall apply mutatis 
mutandis , with the adaptations and addition al provision s set out  in paragraphs 2 and 
3. 
2. The following adaptations shall apply:  
(a) the notifier shall submit the notification request  in accordance with  Article 26 , 
unless the notifier  is not established within the Union and has no access to a 
system  referred to in Article 26 , in which case the notification request, and in 
particular the information and documentation referred to in Article 5( 3) shall 
be provided  to the competent authori ties concerned  by post, fax or email with 
digital signature ; 
(b) the notifier shall submit any additional information, and in particular the 
information and documentation referred to in Article 5 (4) in accordance with 
Article 26, unless the notifier  is not established within the Union and has no 
access to a system referred to in Article 26, in which case that information  shall 
be provide d by post, fax or email with digital signature, to the competent 
authorities concerned ; 
(c) the notifier, or where  the notifier is not established within the Union and has no 
access to a system  referred to in Article 26 , the competent authority of 
destination in the Union , shall ensure that all relevant information is included 
in that system ; 
(d) the competent authorities of transit and destination in the Union shall inform 
the competent authorities concerned in the countries of transit and dispatch 
outside the Union of any request for information and documentation from their 
side and of  their decision on the planned shipment , by post, fax or email with 
digital signature, unless the competent authorities in the countries concerned 
have access  to the central  system referred to in Article 26 (2); 
(e) the competent authority of transit outside the Union shall have 60 days after the 
date of transmission of its acknowledgement of receipt of the notification, to 
provide, if the country concerned has decided not to require prior written 
consent and has info rmed the other Parties to the Basel Convention  thereof in 
accordance with Article 6(4) of th at Convention, tacit consent or to give a 
written consent with or without conditions;  
(f) in the cases referred to in Article 46(1), point (d) involving situations of crisis, 
peacemaking, peacekeeping or war, the consent of the competent authorities of 
dispatch shall not be required.   
3. The following additional provisions shall apply:  
(a) the competent authority of transit in the Union shall provide an 
acknowledge ment of receipt of the notification to the notifier, with copies to 
the competent authorities concerned;  
(b) the competent authorities of destination and, where appropriate, transit in the 
Union shall ensure that  the customs office of entry is informed of their 
decisions to consent to the shipment ;  
EN 84  EN (c)  a copy of the movement document shall be delivered by the carrier to the 
customs office of entry either by post, fax or email with digital signature, or , 
where the customs office of entry has access to it,  via the central system 
referred to in Article 26 (2); and  
(d) as soon as the waste has been released for a customs procedure by the customs 
authorities at entry , the customs office of entry shall inform  the competent 
authorities of destination and transit in the Union that  the waste has entered the 
Union.  
4. The shipment may take place only if  all the following conditions are fulfilled : 
(a) the notifier has received written consent from the competent aut horities of 
dispatch, destination and, where appropriate, transit and the conditions laid 
down in that consent have been  met; 
(b) a contract between the notifier and the consignee as referred to in Article 6 has 
been concluded and is effective;  
(c) a financial guarantee or equivalent insurance as referred to in Article 7  has 
been established and is effective; and  
(d) environmentally sound management as referred to in Article 33  is ensured.  
5. Where  a customs office of entry discovers an illegal shipm ent, it shall without delay 
inform the competent authority in the country of th at customs office . That competent 
authority  shall:  
(a) without delay inform the competent authority of destination in the Union of the 
illegal shipment, after which that compet ent authority shall inform the 
competent authority of dispatch outside the Union; and 
(b) ensure detention of the waste until the competent authority of dispatch outside 
the Union has decided otherwise and has communicated that decision in 
writing to the c ompetent authority in the country of the customs office in which 
the waste is detained.  
6. Where waste generated by armed forces or relief organisations in situations of crisis, 
peacemaking or peacekeeping operations is shipped, by those armed forces or re lief 
organisations or on their behalf, any competent authority of transit and the competent 
authority of destination in the Union shall be informed in advance concerning the 
shipment and its destination.  
Chapter  2 
Imports of waste for recovery  
Article 49 
Prohibition of i mports  
1. All imports into the Union of waste destined for recovery shall be prohibited except 
for imports coming  from:  
(a) countries to which the OECD Decision applies;  
(b) other countries which are Parties to the Basel Convention;  
(c) other countries with which the Union, or the Union and its Member States, 
have concluded bilateral or multilateral agreements or arrangements  
EN 85  EN compatible with Union legislation and in accordance with Article 11 of the 
Basel Convention;  
(d) other countries with which individual Member States have concluded bilateral 
agreements or arrangements in accordance with paragraph 2; or  
(e) other areas in cases where, on exceptional grounds during situations of crisis, 
peacemaking, peacekeeping or war, no bilateral ag reements or arrangements 
pursuant to points (c) or (d) can be concluded or where a competent authority 
in the country of dispatch has either not been designated or is unable to act.  
2. In exceptional cases, individual Member States may conclude bilateral a greements 
and arrangements for the recovery of specific waste in those Member States, where 
such waste will not be managed in an environmentally sound manner, in the country 
of dispatch.  
In such cases Article 47(2), second subparagraph,  shall apply.  
3. Bilateral or multilateral agreements or arrangements entered into in accordance with 
paragraph 1 , points (c) and (d) , shall be based on the procedural requirements set out 
in Article 48 in so far as may be relevant.  
Article 50 
Procedural requirements for imports from a country to which the OECD Decision applies  
1. Where waste destined for recovery is imported into the Union from countries and 
through countries to which the OECD Decision applies, the provisions of Title II 
shall apply mutatis mutandis , with the adaptations and addition al provision s set out  
in paragraphs 2 and 3.  
2. The following adaptations shall apply:  
(a) the consent as required in accordance with Article 9 may be provided in the 
form of tacit consent from the competent authority of dispatch outside the 
Union;  
(b) in the cases referred to in Article 49(1), point (e), involving situations of crisis, 
peacemaking, peacekeeping or war, the consent of the competen t authorities of 
dispatch shall not be required.  
3. The following addition al provisions shall  apply:  Article 4 8(2), points (a) to (e), and 
Article 48(3), points  (b), (c) and (d) . 
4. The shipment may take place only if  all the following conditions are fulfilled : 
(a) the notifier has received written consent from the competent authorities of 
dispatch, destination and, where appropriate, transit or tacit consent from the 
competent authority of dispatch outside the Union has been  provided or can be 
assumed  and the conditions laid down in the respective decisions have been  
met; 
(b) a contract between the notifier and the consignee as referred to in Article 6  has 
been concluded and i s effective ; 
(c) a financial guarantee or equivalent insurance as referred to in Article 7 has 
been established and is effective; and  
(d) environmentally sound management as referred to in Article 56  is ensured.   
EN 86  EN 5. Where  a customs office of entry discovers an illegal shipment, it shall without delay 
inform the compete nt authority in the country of th at customs office . That competent 
authority  shall:  
(a) without delay inform the competent authority of destination in the Union after 
which that competent authority shall inform the competent authority of 
dispatch outside t he Union  of the illegal shipment ; and 
(b) ensure detention of the waste until the competent authority of dispatch outside 
the Union has decided otherwise and has communicated that decision in 
writing to the competent authority in the country of the customs  office in which 
the waste is detained.  
 
Article 51 
Procedural requirements for imports from or through  a country to which the OECD Decision 
does not apply  
Where waste destined for recovery is imported into the Union  from a country to which the 
OECD Decision does not apply  or through any country to which the OECD Decision does not 
apply and which is also Party to the Basel Convention , Article 4 8 shall apply  mutatis 
mutandis . 
Chapter  3 
Additional obligations  
Article 52 
Obligations of Member States of import  
1. In the case of imports into the Union, the competent authority of destination in the 
Union shall  require  and take the necessary steps to ensure that any waste shipped into 
its area of jurisdiction is managed without endangering human health and w ithout 
using processes or methods which could harm the environment, and in accordance 
with Article 13 of Directive 2008/98/EC and other Union legislation on waste 
throughout the period of shipment, including recovery or disposal in the country of 
destinati on. 
2. The competent autho rity referred to in paragraph 1 shall also prohibit import s of 
waste from third countries where  it has reason to believe that the waste will not be 
managed in accordance with the requirements set out in  paragraph 1.  
 
Chapter  4 
Imports from overseas countries or territories  
Article 53 
Imports from overseas countries or territories  
1. Where waste is imported into the Union from overseas countries or territories, Title 
II shall apply mutatis mutandis .  
EN 87  EN 2. An overseas country or territor y and the Member State to which it is linked may 
apply national procedures of that Member State  to shipments from the overseas 
country or territory to that Member State  in case no other countries are involved in 
the shipment as transit country . 
3. Member States which apply paragraph 2 shall notify the Commission of the national 
procedures applied.  
  
EN 88  EN Title VI 
Transit through the Union from and to third countries  
Article 54 
Transit through the Union of waste destined for disposal  
Where waste destined for disposal is shipped through Member States from and to third 
countries, Article 48 shall apply mutatis mutandis , with the following adaptations and 
addition al provision s: 
(a) the first and last competent authority of transit in the Union shall, where 
appropriate, ensure that  the custom s office of entry and the custom s office of 
exit are informed of their respective decisions to consent to the shipment or, if 
they have provided tacit consent, of the acknowledgement in accordance with 
Article 48(3), point (a); 
(b) the customs office of exit shall , as soon as the waste has left the Union, inform  
the competent authority(ies) of transit in the Union that the waste has left the 
Union.  
 
Article 55 
Transit through the Union of waste destined for recovery  
 
1. Where waste destined for recovery is shipped through Member States from and to a 
country to which the OECD Decision does not apply, Article 54 shall apply mutatis 
mutandis . 
2. Where waste destined for recovery is shipped through Member States from and to a 
country to which the OECD Decision applies, Article 50 shall apply mutatis 
mutandis , with the following adaptations and addition al provision s: 
(a) the first and last competent authority of transit in the Union shall, where 
appropriate, ensure that  the customs office of entry and the customs office of 
exit are informed of their respective decisions to consent to the shipment or, if 
they have provided tacit consent, of the acknowledgement in accordance with 
Article 48(3), point (a); 
(b) the customs office of exit shall , as soon as the waste has left the Union,  inform  
the competent authorities of transit in the Union  that the waste has left the 
Union.  
3. Where waste destined for recovery is shipped through Member States from a country 
to which the OECD Decision does not apply to a country to which the OECD 
Decision applies or vice versa, paragraph 1 shall apply as regards the country to 
which the OECD Dec ision does not apply and paragraph 2 shall apply as regards the 
country to which the OECD Decision applies.  
  
EN 89  EN Title  VII 
Environmentally sound management and enforcement  
Chapter  1 
Article 56 
Environmentally sound management  
1. The waste producer, the notifier and any other undertaking involved in a shipment of 
waste or its recovery or disposal shall take the necessary steps to ensure that any 
waste shipped is managed without endangering human health and in an 
environmentally sou nd manner throughout the period of shipment and during the 
recovery and disposal of the waste.  
2. For the purposes of export of waste, the waste shipped shall be deemed to be 
managed in an environmentally sound manner as regards the recovery or disposal 
operation concerned, where it can be demonstrated that the waste will be managed in 
accordance with human health and environmental protection requirements that are 
broadly equivalent to the human health and environmental protection requirements 
laid down i n Union legislation. When assessing such broad equivalence, full 
compliance with requirements stemming from Union legislation shall not be 
required, but it should be demonstrated that the requirements applied in the country 
of destination ensure a similar level of protection of human health and the 
environment than the requirements stemming from Union legislation.  
 
Chapter  2 
Enforcement  
SECTION 1 
INSPECTIONS BY THE MEMBER STATES AND PENALTIES   
Article 57 
Inspections  
1. Member States shall, for the purpose of enforcing this Regulation, carry out  
inspections of establishments, undertakings, brokers and dealers in accordance with 
Article 34 of Directive 2008/98/EC, and inspections of shipments of waste and of the 
related recovery or disposal.  
2. Inspections of shipments shall  take place at least in one of the following points : 
(a) at the point of origin, carried out with the  waste  producer, waste holder or 
notifier;  
(b) at the point of destination, including interim and non -interim recovery or 
disposal, carried out with the consignee or the facility;  
(c) at the borders  of the Union;  
(d) during the shipment within the Union.   
EN 90  EN  
Article 58 
Documentation and evidence  
1. Inspections of shipments shall include at least verification of documents, 
confirmation of the identity of the actors involved in those shipments and, where 
appropriate, physical checking of the waste.  
2. In order to ascertain that a substance or object being carried by road, rail, air, sea or 
inland wa terway is not waste, the authorities involved in inspec tions may require the 
natural or legal person who is in possession of the substance or object concerned, or 
who arranges the carriage thereof, to submit documentary evidence:  
(a) as to the origin and d estination of the substance or object concerned; and  
(b) that it is not waste, including, where appropriate, evidence of functionality.  
For the purpose of the first subparagraph, the protection of the substance or object 
concerned against damage during tra nsportation, loading and unloading, such as 
adequate packaging and appropriate stacking, shall also be ascertained.  
The provisions of this paragraph shall be without prejudice to the application of 
Article 23(2) and Annex VI to Directive 2012/19/EU of the European Parliament and 
of the Council62. 
3. The authorities involved in inspections may conclude that the substance or object 
concerned is waste where:  
(a) the evidence referred to in paragraph 2 or required under other Union 
legislation to ascertain that a substance or object is not waste, has not been 
submitted within the period specified by them ; or 
(b) they consider the evidence and information available to them to be insufficient 
to reach a conclusion, or they consider the protection provided against damage 
referred to in the second subparagraph of paragraph 2 to be insufficient.  
Where the authorities h ave concluded that a substance or object is waste in 
accordance with the first subparagraph , the carriage of the substance or object 
concerned or the shipment of waste concerned shall be considered as an illegal 
shipment. Consequently, it shall be dealt wi th in accordance with Articles 24 and 25 
and the authorities involved in inspections shall, without delay, inform the competent 
authority of the country where the inspection concerned took place accordingly.  
4. In order to ascertain whether a shipment of w aste complies with this Regulation, the 
authorities involved in inspections may require the notifier, the person who arranges 
the shipment, the waste holder, the carrier, the consignee and the facility that 
receives the waste to submit relevant documentary  evidence to them within a period 
specified by them.  
5. In order to ascertain whether a shipment of waste subject to  the general information 
requirements set out in  Article 1 8 is destined for recovery operations which are in 
accordance with Article 56, the authorities involved in inspections may require the 
                                                 
62 Directive 2012/19/EU of the European Parliament and of the Council of 4 July 2012 on wa ste electrical 
and electronic equipment  (OJ L 197, 24.7.2012, p. 38 ).  
EN 91  EN person who arranges the shipment to submit relevant documentary  evidence, 
provided by the interim and non -interim recovery facility and, if necessary, approved 
by the competent authority of destination.  
6. Where the evidence referred to in paragraph 4 has not been submitted to the 
authorities involved in inspections within the period specified by them, or they 
consider the evidence and information available to them to be insufficient to reach a 
conclusion , the shipment concerned shall be considered as an illegal shipment  and 
shall be dealt with in accordance with Articles 2 4 and 25. The authorities involved in 
inspections shall, without delay, inform the competent authority of the country where 
the inspect ion concerned took place accordingly.  
7. The Commission is empowered to adopt , by means of implementing acts,  a 
correlation table between the codes of the combined nomenclature, provided for in 
Council Regulation (EEC) No 2658/8763 and the entries of waste listed in Annex III, 
Annex IIIA, Annex IIIB, Annex IV, and Annex V to this Regulation. The 
Commission shall keep this act updated , in order to reflect changes to that 
nomenclature and to the entries listed in those Annexes, as wel l as to include any 
new waste -related codes of the Harmonised System Nomenclature that the World 
Customs Organisation may adopt.  Those implementing acts shall be adopted in 
accordance with the examination procedure referred to in Article 77(2). Commission 
Implementing Regulation (EU) 2016/124564 shall remain in force until the 
empowerment referred to in the present Article is exercised by the Commission.  
Article 59 
Inspection plans  
1. Member States shall establish , in respect of their entire geographical territory, one or 
more plans, either separately or as a clearly defined part of other plans, for 
inspections  to be  carried out pursuant to Article 57(1) (‘inspection plan’).  
Inspection plans shall be based on a risk assessment covering specific waste stre ams 
and sources of illegal shipments , the results of previous inspections  and considering, 
where appropriate, intelligence -based data such as data on investigations by police 
and customs authorities and analyses of criminal activities. That risk assessment  shall 
aim, inter alia, to identify the minimum number and frequency of inspections 
required, including physical checks on establishments, undertakings, brokers, dealers 
and shipments of waste or on the  related recovery or disposal.  
2. Inspection plan s shall include , at least,  the following elements:  
(a) the objectives and priorities of the inspections, including a description of how 
those objectives and priorities have been identified;  
(b) the geographical area covered by th e inspection plan;  
(c) informat ion on planned inspections, including on physical checks;  
                                                 
63 Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statistical nomenclature and on 
the Common Customs Tariff ; OJ L 256, 7.9.1987, p. 1 –675 
64 Commission Implementing Regulation (EU) 2016/1245 of 28 July 2016 setting out a preliminary 
correlation table between codes of the Combined Nomenclature provided for in Council Regulation 
(EEC) No 2658/87 and entries of waste listed in Annexes III, IV and V to Regulation (EC) No 
1013/2006 of the European Parliament and of the Council on shipments of waste  (OJ L 204, 29.7.2016, 
p. 11 ).  
EN 92  EN (d) the tasks assigned to each authority involved in inspections;  
(e) arrangements for cooperation between authorities involved in inspections;  
(f) information on the training of inspectors on matte rs relating to inspections; and  
(g) information on the human, financial and other resources for the implementation 
of the inspection plan.  
3. An inspection plan  shall be reviewed at least every three years and, where 
appropriate, updated. That review shall  evaluate to which extent the objectives and 
other elements of that inspection plan have been implemented.  
4. Without prejudice to applicable confidentiality requirements , Member States shall 
notify the Commission of the inspection plans  referred to in par agraph 1  and any 
substantial revisions thereof  every three years , and for the first time one year after the 
date of entry into force of this Regulation .  
5. The Commission shall review the inspection plans notified by the Member State s in 
accordance with p aragraph 4  and, if appropriate, draw up reports, based on the  
review of the se plans, on the implementation of this Article . Such reports may 
include , inter alia,  recommendations  on prioriti es of inspections and on enforcement 
cooperation and coordination b etween the relevant authorities involved in 
inspections. Such reports  may also be presented, where appropriate, in the meetings 
of the waste shipment enforcement group established under Article 63. 
Article 60 
Penalties  
1. Member States shall lay down the rules on administrative penalties applicable to 
infringement s of this Regulation and shall take all measures necessary to ensure that 
they are applied . The penalties provided for shall  be effective, proportionate and 
dissua sive. Member States shall, without delay, notify the Commission of those rules 
and of those measures and of any subsequent amendment affecting them.  
2. When determining the type and level of penalties  to be imposed in case of 
infringements , the competent authorities  of the Member States  shall give due regard 
to the following criteria:   
(a) the nature, gravity and duration of the infringement;  
(b) where appropriate, the intentional or negligent character of the infringement;  
(c) the financial strength of the natural or legal person held responsible, as 
indicated for example by the total turnover of the legal person held responsible 
or the annual income of the natural person held responsible;  
(d) the economic benefit s derived from the infringement  by the na tural or legal 
person held responsible, insofar as they can be determined;  
(e) the environmental damage caused by the infringement , insofar as it can be 
determined;  
(f) any action taken by the natural or legal person held responsible  to mitigate or 
remedy the damage  caused ;  
(g) the level of cooperation of the natural or legal person held responsible with the 
competent authority;   
EN 93  EN (h) previous infringements  by the natural or legal person held responsible;   
(i) any action aiming to circumvent or obstruct administrative controls and 
(j) any other aggravating or mitigating factor applicable to the circumstances of 
the case.  
3. The Member States shall at least be able to impose the following penalties in case of 
infringements of this  Regulation : 
(a) fines;  
(b) confiscation of revenues gained by the natural or legal person from a 
transaction related to the infringement;  
(c) suspension or revocation of the authorisation to carry out activities related to 
management and shipment of waste  insofar as these activities fall under the 
scope of this Regulation;  
(d) exclusion from public procurement proce dures. 
 
SECTION 2 
ENFORCEMENT COOPERATI ON 
Article 61 
Enforcement cooperation at national level  
Member States shall establish, as regards  all relevant competent authorities involved in 
enforcement of this Regulation , effective mechanisms to enable them to cooperate and 
coordinate domestica lly concerning the development and implementation of enforcement 
policies a nd activities to address illegal shipments of waste , including for the establishment 
and implementation of  the inspection plans . 
Article 62 
Enforcement cooperation between Member States  
1. Member States shall cooperate, bilaterally and multilaterally, with one another in 
order to facilitate the prevention and detection of illegal shipments. They shall 
exchange relevant information on shipments of waste, flows of waste, operators and 
faciliti es and share experience and knowledge on enforcement measures, including 
the risk assessment carried out pursuant to Article 59(1), within established 
structures, in particular, through the waste shipment enforcement group established 
under Article 63.  
2. Member States shall identify those members of their permanent staff responsible for 
the cooperation referred to in paragraph 1 and identify the focal points for the 
physical checks referred to in Article  58(1). That information shall be sent to the 
Commis sion which shall distribute to those members a compiled list.  
3. At the request of another Member State, a Member State may take enforcement 
action against persons suspected of being engaged in the illegal shipment of waste 
who are present in that Member S tate.  
EN 94  EN Article 63 
Waste shipment enforcement group  
1. An enforce ment group shall be established to facilitate and improve cooperation and 
coordination between the Member States  in order to prevent  and detect illegal 
shipments  (the ‘waste shipment enforcement group’) . 
2. The waste shipment enforcement group shall consist of the designated permanent 
staff responsible for the cooperation  referred to in Article 62(2) and may also include 
further representatives of each Member Stat e's relevant authorities with responsibility 
for enforcement of this Regulation. It shall be chaired by the representative(s) of the 
Commission . 
3. The waste shipment  enforcement group shall be a forum for sharing information and 
intelligence on general trends relating to illegal shipment s of waste, risk -based 
assessments carried  out by Member States, and enforcement activities, as well as  for 
exchanging views on best practices and  for facilitating cooperation and coordination  
between relevant authorities . The waste shipment enforcement  group may examine 
any technical question relating to the enforcement of this Regulation raised by the 
chairperson, either on his  or her own initiative or at the request of the members of the 
group or the committee referred to in Article 77. 
4. The waste shipment enforcement group shall meet at least twice a year. In addition to 
the members referred to in paragraph 2, the chairperson may invite to the meetings, 
where appropriate, representatives of other relevant institutions , bodies, offices, 
agencies or networks.  
5. The Commission shall convey the opinions expressed in the waste shipment 
enforcement group to the committee referred to in Article 77. 
 
SECTION 3 
ACTIONS  PERFORMED BY THE COMMISSION  
Article 64 
General provisions  
1. In order to fight against infringements of the provisions of this Regulation, to support 
and complement the enforcement activities of the Member States, and to contribute 
to a uniform application of this Regulation throughout the Union, the Commission 
shall exercise the powers conferred onto it by Articles 6 4 to 68.    
2. These powers are without prejudice to:  
(a) the primary responsibility  of the Member States  to ensure and enforce 
compliance with this Regulation; and  
(b) the powers conferred onto the Commission or the European Anti -Fraud Office 
(OLAF ), respectively, in other legal acts, in particular in Regulation (EU, 
Euratom) 883/2013  of the Europea n Parliament and of the Council65, Council 
Regulation 515/9766, or Council Regulation 2185/9667. 
                                                 
65 Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 
September 2013 concerning investigations conducted by the  European Anti -Fraud Office (OLAF) and 
  
EN 95  EN 3. The Commission may exercise the powers conferred onto it by this Regulation on its 
own initiative, on the request of one or more Member States, or on a complaint if 
there is sufficient suspicion that the carriage of the substance or object concerned or 
the shipment of waste concerned constitutes an illegal shipment.  
4. The Commission may exercise the powers conferred onto it by this Regulation with 
respect to shipments of waste that fall under the scope of application of this 
Regulat ion pursuant to Article 2(1), and in particular with respect to such shipments 
that affect several countries or that have serious adverse effects on human health 
and/or the environment.  
5. In exercising its powers , the Commission shall take into account the inspections in 
progress or already carried out in respect of the same shipments by a Member State 
pursuant to this Regulation.  
6. On completion of its actions, the Commission shall draw up a report. If the 
Commission concludes that the carriage of the substance or object concerned or the 
shipment of waste concerned constitutes an illegal shipment, it shall inform the 
competent authorities of the country or countries concerned accordingly and 
recommend that such an illegal shipment is  dealt with in accor dance with Articles 24 
and 25. Such authorities may apply penalties in accordance with Article 60. The 
Commission may also recommend certain follow -up to the relevant authorities, and, 
where necessary inform the Union institutions, bodies, offices and agen cies 
concerned.  
7. Reports drawn up on the basis of paragraph 6, together with all evidence in support 
and annexed thereto, shall constitute admissible evidence:  
(a) in judicial proceedings of a non -criminal nature before national courts and in 
administrat ive proceedings in the Member States;  
(b) in criminal proceedings of the Member State in which their use proves 
necessary in the same way and under the same conditions as administrative 
reports drawn up by national administrative inspectors and shall be su bject to 
the same evaluation rules as those applicable to administrative reports drawn 
up by national administrative inspectors and shall have the same evidentiary 
value as such reports;  
(c) in judicial proceedings before the Court of Justice of the European Union . 
Article 65 
Inspections by the Commission  
1. The Commission may carry out inspections of shipments pursuant to Article 5 7(2) of 
this Regulation.  
                                                                                                                                                         
repealing Regulation (EC) No 1073/1999 of the European Parliament and of the Council and Council 
Regulation (Euratom) No 1074/1999 (OJ L 248, 18.9.2013, p. 1)  
66 Council Regulation 515/97 of 13 March 1997 on mutual ass istance between the administrative 
authorities of the Member States and cooperation between the latter and the Commission to ensure the 
correct application of the law on customs and agricultural matters (OJ L 82 of 22.3.1997, p. 1 ). 
67 Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on -the-spot checks 
and inspections carried out by the Commission in order to protect the European Communities' financial 
interests against fraud and other irregularities (OJ L 292 of 15.11.1996, p. 2 ).  
EN 96  EN 2. The Commission shall prepare and conduct inspections in close cooperation  with the 
relevant a uthorities of the Member State concerned.  
The Commission shall give notice in good time of the object, purpose and legal basis 
of inspections to the focal points referred to in Article  62(2) in the Member State 
concerned in whose territory the inspection  is to be conducted, so that such 
authorities may provide the requisite assistance. To that end, officials of the Member 
State concerned may participate in the inspections.  
In addition, upon request of the  Member State concerned, the inspections may be 
carried out jointly by the Commission and the relevant authorities  of that Member 
State . 
3. The staff and other accompanying persons authorised by the Commission to conduct 
an inspection shall exercise their powers upon production of a written authorisation 
specifying the subject matter and purpose of the inspection.  
4. The staff of the Commission that conduct an inspection sh all be empowered to:  
(a) have access to any premises, land and means of transport of the person who 
arranges the shipment, the holder, the carrier, the consignee or the facility that 
receives the waste;  
(b) examine any relevant documents related to the subject -matter and purpose of 
the inspections, irrespective of the medium on which they are stored, and to 
take or obtain in any form copies of or extracts from such documents;  
(c) ask the notifier, the person who arranges the shipment, the holder, the carrier, 
the consignee or the facility that receives the waste for explanations on facts or 
documents relating to the subject -matter and purpose of the inspections and to 
record the answers;  
(d) take and record statements from the notifier, the person who arranges the 
shipment, the holder, the carrier, the consignee or the facility that receives the 
waste related to the subject -matter and purpose of the inspections;  
(e) physically check the waste and take samples of the waste for laboratory tests, 
where appropriate.  
5. The notifier, the person who arranges the shipment, the waste holder, the waste 
carrier, the consignee and the facility tha t receives the waste shall cooperate with the 
Commission in the course of its inspections.  
6. The authorities of the Member States involved in inspections on the shipments of 
waste in whose territory the inspection of the Commission is to be conducted shall, at 
the request of the Commission, provide the necessary assistance to the staff of the 
Commission.  
7. The notifier, the person who arranges the shipment, the waste holder, the waste 
carrier, the consignee and the facility that receives the waste are  required to submit to 
inspections of the Commission.  
8. Where the Commission finds that the notifier, the person who arranges the shipment, 
the waste holder, the waste carrier, the consignee or the facility that receives the 
waste opposes an inspection, the Member State concerned shall afford the 
Commission the necessary assistance, requesting where appropriate the assistance of 
enforcement authorities, so as to enable the Commission to conduct its inspection. If  
EN 97  EN such an assistance requires authorisation from a judicial authority according to 
national rules, such authorisation shall be applied for.  
Article 66 
Requests for information  
1. The Commission may interview any natural or legal person who consents to be 
interviewed for the purpose of collecting all  necessary information relating to the 
relevant waste shipments.  
2. Where such an interview is conducted in the premises of an establishment, 
undertaking, broker or dealer, the Commission shall inform the focal points  referred 
to in Article  62(2) in the M ember State concerned in whose territory the interview 
takes place. If so requested by the authority of that Member State, its officials may 
assist the staff of the Commission to conduct the interview.  
3. The Commission may request legal or natural persons  responsible for an 
establishment or an undertaking, or any broker and dealer to provide all necessary 
information relating to the relevant waste shipments. The Commission shall state the 
legal basis and the purpose of the request, specify what information  is required and 
fix the time -limit within which the information is to be provided.  
4. The Commission shall without delay forward a copy of the request to the relevant 
authorities of the Member State in whose territory the seat of the establishment, 
undert aking, broker or dealer is situated and to the authorit ies of the Member State 
whose territory is affected.  
5. Where the establishment, undertaking, broker or dealer does not provide the 
requested information, or the Commission considers the information it  received to be 
insufficient to reach a conclusion, Article 58(5) shall apply, mutatis mutandis .  
Article 67 
Procedural guarantees  
1. The Commission shall carry out inspections and request information in full respect of 
the procedural guarantees of the person who arranges the shipment, the waste holder, 
the waste carrier, the consignee or the facility that receives the waste, including:  
(a) the right not to make self -incriminating statements;  
(b) the right to be assisted by a person of choice;  
(c) the right to use any of the official languages of the Member State where the 
inspection takes place;  
(d) the right to comment on facts concer ning them ;  
(e) the right to receive a copy of  the record of interview  and either approve it or 
add observations . 
The Commission shall seek evidence for and against the person who arranges the 
shipment, the waste holder, the waste carrier, the consignee or the facility that 
receives the waste, and carry out inspections and request information objectively and 
impartially and in accordance with the principle of the presumption of innocence.  
2. The Commission shall carry out ins pections and request information in full respect of  
applicable confidentiality and Union data protection rules.   
EN 98  EN Article 68 
Mutual assistance  
1. In order to ensure compliance with the relevant requirements set out in this 
Regulation, Member States and the C ommission shall provide each other assistance 
in accordance with this Article.  
2. Within the scope of Article 2(1) and  without prejudice to Articles 6 1 and 62 of this 
Regulation, provisions of Article 2 paragraph 1, indents 3 to 5, 7 and 8, Articles 3, 
4(1) until ‘legislation ’ and (2) , 5 to 14, 15(1) and 16 to 18 of Regulation (EC) No 
515/97 shall apply mutatis mutandis  to the cooperation between the competent 
national and Union authorities implementing this Regulation; references to ‘customs 
and agricultural legislation’ shall be understood to refer to this Regulation.  
  
EN 99  EN Title  VIII 
Final provisions  
Article 69 
Reporting  
1. Before the end of each calendar year, each Member State shall send the Commission 
a copy of the report which, in accordance with Article 13(3) of the Basel Convention, 
it has drawn up and submitted to the Secretariat of that Convention  for the previous 
calendar year . 
2. Before the end of each calendar year, Member States shall also draw up a report for 
the previous year, based on the additional reporting questionnaire in Annex X I, and 
send it to the Commission. Within a month of transmission of that report to the 
Commission, Member States shall  make the section of that report relating to Articles 
57(1) and 60(1), including Table 5 of Annex X I, publicly available, electronically via 
the internet, together with any explanation that the Member States consider to be 
appropriate. The Commission shall  compile a list of the Member States’ hyperlinks 
referred to in the section relating to Article 57(1) in Annex X I and make it publicly 
available on its website.  
3. The reports drawn up by Member States in accordance with paragraphs 1 and 2 shall 
be submitted to the Commission in an electronic version.  
4. The Commission shall review the data reported in accordance with this Article and 
publish a report  with the results of its review.  
The European Environment Agency shall support the Commission in the  task of 
monitoring the implementation of the Regulation by, when appropriate, drawing up 
reports providing an analysis of the shipments of specific waste streams, and of their 
environmental impacts.  
The report  mentioned in the first subparagraph  shall be drawn up  for the  first time by 
[OP: Please insert date of the end of the fifth year after  the date of entry into force  of 
this Regulation ] and every four years thereafter.   
 
Article 70 
International cooperation  
Member States, where appropriate and necessary in liaison with the Commission, shall 
cooperate with other Parties to the Basel Convention and inter -State organisations, inter alia, 
via the exchange and/or sharing of information, the promotion of environmentally sound 
technologies and the deve lopment of appropriate codes of good practice.  
Article 71 
Designation of competent authorities  
Member States shall designate the competent authority or authorities responsible for the 
implementation of this Regulation. Each Member State shall designate onl y one single 
competent authority of transit.   
EN 100  EN  Article 72 
Designation of correspondents  
Member States and the Commission shall each designate one or more correspondents  
responsible for informing or advising persons or undertakings making enquiries  relating to the 
implementation of this Regulation . The Commission correspondent shall forward to the 
correspondents of the Member States any questions put to him  or her which concern the 
Member States , and vice versa.   
Article 73 
Designation of customs of fices of entry and exit  
Member States may designate specific customs offices of entry and exit for shipments of 
waste entering and leaving the Union . Where  Member States decide to designate such 
customs offices, no shipment of waste shall be allowed to use  any other border  crossing points 
within a Member State for the purposes of entering or leaving the Union . 
Article 74 
Notification of, and information regarding, designations  
1. Member States shall notify the Commission of designations of:  
(a) competent authorities, pursuant to Article 71; 
(b) correspondents , pursuant to Article 72;  
(c) where relevant , customs offices of entry and exit, pursuant  to Article 73. 
2. In relation to th e designations  referred to in paragraph 1 , Member States shall 
provide  the Commission with the following information:  
(a) name(s);  
(b) postal address(es);  
(c) e-mail address(es);  
(d) telephone number(s);   
(e) languages acceptable to the competent authorities.  
3. Member States shall immediately notify the Commission of  any changes in th e 
information  referred to in paragraph 2 . 
4. The information  referred to in paragraph 2,  as well as any changes in th at 
information shall be submitted to the Commission in elec tronic ally. 
5. The Commission shall publish on its web -site li sts of the designated competent 
authorities, correspondents and , where relevant,  customs offices of entry and exit, 
and shall update th ose lists as appropriate.  
Article 75 
Amendment of Annexes  I to X 
1. The Commission is empowered to adopt delegated act s in accordance with Article 76 
to amend  Annexes IA, IB, IC, II, III, IIIA, IIIB, IV, V, VI and VII in order to take 
account of changes agreed under the Basel C onvention and the OECD Decision, or 
in case of Annex IC, in order to adapt it to the implementat ion of Article 26  after  
EN 101  EN [OP: Please insert the date two years after the date of entry into force of the 
Regulation  ]. 
2. The Commission is empowered to adopt delegated act s in accordance with Article 76 
to amend  Annex IIIA,  in order to,  following the submission of a request by a 
Member State or on its own  initiative, include  in that Annex  mixtures of two or more 
wastes listed in Annex III , where  those wastes are not mixed to an extent which 
prevents their recycling in an environmentally s ound manner , and, where necessary, 
provide  that one or more of the entries in Annex IIIA shall not apply for exports to 
countries to which the OECD Decision does not apply . 
3. The Commission is empowered to adopt delegated act s in accordance with Article 76 
to amend  Annex IIIB, in order to, following the submission of a request by a 
Member State or on its own  initiative, include in that Annex wastes not listed in 
Annex III,  Annex  IV or  Annex  V, and provide that  one or more of the entries in 
Annex IIIB  shall not apply for exports to countries to which the OECD Decision 
does not apply . 
4. The Commission is empowered to adopt delegated act s in accordance with Article 76 
to amend  the form and content of the information referred to in that  Annex . 
5. The Commission is empowered to adopt delegated act s in accordance with Article 76 
to amend  Annex IX, in order to update the lists of Union legislation and international 
guidance as regards environmentally sound management . 
6. The Commission is empowered to  adopt delegated act s in accordance with Article 76 
to amend  Annex X as regards the criteria contained in that Annex . 
Article 76 
Exercise of the delegation  
1. The power to adopt delegated acts is conferred on the Commission subject to the 
conditions laid down in this Article.  
2. The delegation of power referred to in Articles 14(3), 28(4), 38(1), 42(4) and 7 5 shall 
be conferred on the Commission for a period of five years from the date of entry into 
force of this Regulation . The Commission shall draw up a report in respect of the 
delegation of power not later than nine months before the end of the five -year period. 
The delegation of power shall be tacitly extended for periods of an identical duration, 
unless the European Parliament or the Council opposes su ch extension not later than 
three months before the end of each period.  
3. The delegation of power referred to in Articles 14(3), 38(1), 42(4) and 75 may be 
revoked at any time by the European Parliament or by the Council. A decision to 
revoke shall put an  end to the delegation of the power specified in that decision. It 
shall take effect the day following the publication of the decision in the Official 
Journal of the European Union or at a later date specified therein. It shall not affect 
the validity of a ny delegated acts already in force.  
4. Before adopting a delegated act, the Commission shall consult experts designated by 
each Member State in accordance with the principles laid down in the 
Interinstitutional Agreement of 13 April 2016 on Better Law -Maki ng. 
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to 
the European Parliament and to the Council.   
EN 102  EN 6. A delegated ac t adopted pursuant to Articles 14(3), 28(4), 38(1), 42(4) and 75 shall 
enter into force only if no objection has been expressed either by the European 
Parliament  or the Council within a period of two months of notification of that act to 
the European Parliament and the Council or if, before the expiry of that period, the 
European Parliament and the Coun cil have both informed the Commission that they 
will not object. That period shall be extended by two months at the initiative of the 
European Parliament or of the Council.  
Article 77 
Committee procedure  
1. The Commission shall be assisted by the committee  established by Article 39 of 
Directive 2008/98/EC. That committee is a committee within the meaning of 
Regulation (EU) No 182/2011.  
2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 
182/2011 shall apply.  
Where the committee delivers no opinion, the Commission shall not adopt the draft 
implementing act and the third subparagraph of Article 5(4) of Regulation (EU) No 
182/2011 shall apply.  
Article 78 
Amendment to Regulation (EU) No 12 57/2013  
In Article 6(2) of Regulation (EU) No  1257/2013 , point (a)  is replaced by the following:   
“(a) are only recycled at ship recycling facilities that are included in the European List  and, in 
the case of ships which become waste in the Union, only at those facilities included in the 
European List which are located in countries listed in Annex VII to the Basel Convention .” 
Article 79 
Amendment to Regulation (EU) No 2020/1056  
In Article 2(1)(a) of Regulation (EU) No 2020/1056 , point (iv)  is replaced by the following:  
“(iv)  Article 16 (1) and Arti cle 18( 3) of Regulation (EU) No [OP please insert the number of 
this act] ; this Regulation is without prejudice to controls by customs offices provided for in 
relevant provisions of Union legal acts ;” 
Article 80 
Review  
By 31 December 20 35, the Commission shall, taking into account, inter alia, the reports 
drawn up in accordance with Article 69, and the review  referr ed to in Article 59(5), carry out 
a review of this Regulation and submit a report on the results thereof to the European 
Parliament and to the Council, accompanied, if the Commission deems it appropriate, by a 
legislative proposal.    
EN 103  EN Article 81 
Repeal and transitional provisions  
1. Regulation (EC) No 1013/2006 is repealed with effect from [ OP: Please insert the 
date two months after the date of entry into force of this Regulation ].  
However, the provisions set out in Article s 4, 7, 8  and 9, Article  14(4) and (5), and  
Articles 15, 16 , 18, 26, 35, 38,  41, 42, 43, 44, 45,  47 and 48 , 50, 51, 54 and 55  of 
Regulation (EC) No 1013/2006 shall continue to apply until  [OP: Please insert the 
date two years after  the date of entry into force  of this Regulation ] and Article 37  of 
that Regul ation  shall continue to apply until [ OP: Please insert the date three years 
after  the date of entry into force of this Regulation  ]. 
References to the repealed Regulation shall be construed as references to this 
Regulation and shall be read in accordance with the correlation table set out in 
Annex XII. 
2. Regulation (EC) No 1013/2006 shall also continue to apply to shipment s that ha ve 
been notified in accordance with Article 4 of that Regulation and for which the 
competent authority of destination has given its acknowledgement in accordance 
with Article 8 of that Regulation before [OP: Please insert the date two months after 
the date of entry into force of this Regulation ]. For those shipments, the provisions of 
this Regulation shall not apply . 
3. Shipment s for which the competent authorities concerned have given their consent in 
accordance with  Article 9 of Regulation (EC) No 1013/2006  shall be completed not 
later than one year from [OP: Please insert the date one year after the date of entry 
into force of this Regulation ]. 
Article 82 
Entry into force and application  
This Regulation shall enter into force on the twentieth day following that of its publication in 
the Official Journal of the European Union . 
It shall apply from two months after the entry into force of the Regulation.  
However , Articles 5, 8  and 9, Article  14(14) and ( 15), Articles 15, 16, 18, Article 26(1) , (2) 
and (3), and Articles  35, 41, 47, 48, 49, 50, 51,  54 and 55 from [OP: Please insert the date 
two years after the date of entry into force of the Regulation ] and Article s 37, 38, 39, 40 , 43 
and 44 shall apply  from [OP: Please insert the date three  years after the date of entry into 
force of the Regulation ]. 
This Regulation shall be binding in its entirety and directly applicable in all Member States.  
Done at Brussels,  
For the European Parliament  For the Council  
The Preside nt The President 
EN 104  EN LEGISLATIVE FINANCIAL STATEMENT  
1. FRAMEWORK  OF THE  PROPOSAL/INITIATIVE   
1.1. Title of the proposal/initiative  
Proposal for a Regulation of the European Parliament and of the Council on 
shipments of waste and amending Regulations (EU) No 1257/2013 and (EU) No 
2020/1056 . 
1.2. Policy area(s) concerned   
Policy area:   09 Environment  
Activity:  09 02 02 Programme for Environment and Climate Action (LIFE) - 
Circular economy and quality of life  
1.3.  The proposal/initiative relates to:  
 a new action   
 a new action following a pilot project/preparatory action68  
 the extension of an existing action   
 a merger or redirection of one or more actions towards another/a new action   
1.4. Objective(s)  
1.4.1.  General objective (s) 
The purpose of this Regulation is to protect the environment and human health 
against the adverse impacts which may result from the shipment of waste.  
To do so, the Commission proposes provisions to facilitate the  environmentally 
sound management of waste , in accordance with the waste hierarchy  and to reduce 
the overall impacts of using resource , including by  improving resource use 
efficiency . The proposed measures are crucial for the t ransition to a circular 
economy . 
1.4.2.  Specific objective(s)  
– Facilitate shipments within the EU, in particular to align the WSR with circular 
economy objectives . 
– Guarantee that waste exported from  the EU is managed in an environmentally 
sound manner . 
– Better address illegal shipments of waste within and from and to  the EU  
1.4.3.  Expected result(s) and impact  
Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted.  
The new regulation should result in more materials and products being reused and in 
more waste being recycled. It  should also improve the standards and practices for 
waste management in countries importing waste from the EU. Finally, it should lead 
to a reduction of illegal standards and practices for waste management in countries 
                                                 
68 As referred to in Article 58(2)(a) or (b) of the Financial Regulation.   
EN 105  EN importing waste from the EU. All of these effects will contribute to building robust 
and dynamic markets for secondary materials and increasing the transition to a 
circular economy in the EU and third countries  
1.4.4.  Indicators of performance  
Specify the indicators for monitoring progress a nd achievements.  
The indicators of progress and achievement of the objectives will be:  
 - the amount of waste shipped for recycling in a given year;  
- the number of consents to notifications in a given year, destined for recycling;  
- the number of pre -consented facilities throughout the EU;  
- the amount of waste shipped to pre -consented facilities in a given year;  
- the number of consents to notifications in a given year, destined for pre -
consented facilities.  
- the amounts of waste exported  annually from  the EU  , per relevant waste 
stream;  
- the number of non -OECD countries which are included on the EU list of 
countries authorised to import waste from the EU, and the amount of waste 
exported to these countries.  
- the number of inspections carried out by a MS in a given year;  
- the number of reported illegal cases and penalties imposed;  
- the amounts of waste involved in those illegal cases;  
- the number of investigati ve and coordinating acti ons carried out by OLAF on 
illegal shipment s of waste, as well as  the number of recommendations issued 
by OLAF upon which Member States have acted . 
1.5. Grounds for the proposal/initiative  
1.5.1.  Requirement(s) to be met in the short or long term including a detailed timeline for 
roll-out of the implementation of the i nitiative  
The implementation of the Regulation will require that a number of detailed rules are 
adopted through implementing/delegated acts in a time horizon of 2 -5 years from the 
date of application of the Regulation. In addition, the Commission will need  take on 
a more important role in monitoring the implementation the new regulation, to ensure 
that its objectives are met.   
The delegated or implementing acts which would need to be adopted to ensure a 
proper implementation of the Regulation are the follo wing:  
- Detailed procedural and operational requirements to ensure the functioning of 
the electronic data interchange;  
- Develop a harmonised calculation method for financial guarantees;  
- Establish contamination thresholds for certain waste streams, in o rder to clarify 
their classification as non -hazardous or not;  
- Assess the inclusion of new waste streams or mixtures of waste in the “green 
list”;   
EN 106  EN - Establish criteria to distinguish for certain objects or materials, between used 
goods and waste;  
- Assessment and list ing of third countries that are able as regards their ability to 
perform Environmentally Sound Management (ESM) of waste;  
- Monitor waste exports to OECD countries and take action where necessary to 
limit such exports, when  a risk of har m to the environment due to these shipments is 
identified.  
1.5.2.  Added value of Union involvement (it may result from different factors, e.g. 
coordination gains, legal certainty, great er effectiveness or complementarities).  For 
the purposes of this point 'added value of Union involvement' is the value resulting 
from Union intervention which is additional to the value that would have been 
otherwise created by Member States alone.  
EU-wide rules on waste shipments  ensure that t he EU comprehensive waste 
legislation is not circumvented by shipping waste to third countries, where waste 
management standards and performance greatly differ from the EU ones. It is 
important that common rules on the control of transboundary movements of  waste 
are set out at the EU level, to avoid a situation where illegal operators would chose to 
ship their waste through EU countries with less strict domestic rules than others, to 
export this waste from  the EU (port -hopping scenario). EU rules are also j ustified for 
intra-EU shipments of waste, in view of the fact that the EU waste industry is highly 
integrated and in order to ensure equal treatment and legal clarity to all economic 
actors in this sector.  
The added -value of an EU approach to waste shipme nt is also that it ensures 
consistency in the implementation of the Basel Convention and the OECD Decision 
by each Member States. The detailed provisions contained in the WSR avoid that 
Member States develop different interpretations of these provisions, w hich would 
hamper the shipments of waste within the EU.  
1.5.3.  Lessons learned from similar experiences in the past  
This Regulation would build on and imp rove the functioning of the current Waste 
Shipment Regulation (EC) No 1013/2006, that itself was buil t on Council Regulation 
(EEC) No 259/93 on the supervision and control of shipments of waste within, into 
and out of the European  Community . The Regulation draws notably on the 
evaluation of Regulation (EC) No 1013/2006, which was published by the 
Commissi on in January 2020.  
1.5.4.  Compatibility with the Multiannual Financial Framework and possible synergies 
with other appropriate instruments  
The proposed Regulation is a response to the call by the Green Deal, the new 
Circular Economy Action Plan and the Z ero Pollution Action Plan that the 
Commission should propose an ambitious review of the EU rules on waste 
shipments.  
The objectives of this regulation are supported by the Multiannual Financial 
Framework and the Next Generation EU, which both place an important emphasis on 
funding and investments to support the transition of the European economy to 
climate -neutral and circular models.  This includes investments to modernise waste  
EN 107  EN management, increase capacity for recycling of some waste streams and promo te 
high quality recycling and innovation.  
Circular economy is also embedded in the matrix of the Horizon Europe programme 
on research, notably its partnership on circularity and is one of the pillars of the 
Programme for the environment and c limate action  (LIFE) 2021 –2027.  
1.5.5.  Assessment of the different available financing options, including scope for 
redeployment  
Currently EU exporters are required to follow the control procedure of third 
countries included in Regulation (EC) 1418/2007, when exporting  waste there. This 
Commission Regulation requires regular updating, which takes up human resources 
and funds for supportive studies from the Commission. At the moment this subtask 
of implementing the EU waste shipment rules is carried out by DG Trade. With  the 
proposed Regulation, Commission Regulation (EC) 1418/2007 would be repealed 
and replaced by new rules, the implementation of which would also require 
Commission resources. This task is expected to no longer be carried out by DG 
Trade but by DG ENV and  so a transfer of FTE from DG Trade to DG ENV is 
proposed. Approximately 1 additional FTE in DG ENV would be needed to carry out 
these new tasks.  
 
 
1.6. Duration and financial impact of the proposal/initiative  
 limited duration  
–  in effect from [DD/MM]YYYY to [DD/MM]YYYY  
–  Financial impact from YYYY to YYYY for commitment appropriations and 
from YYYY to YYYY for payment appropriations.  
 unlimited duration  
– Implementation with a s tart-up period from 2024 to 2027 , 
– followed by full -scale operation.  
1.7. Management mode(s) planned69  
 Direct management  by the Commission  
–  by its departments, including by its staff in the Union delegations;  
–  by the executive agencies  
 Shared management  with the Member States  
 Indirect management  by entrusting budget implementation tasks to:  
–  third countries or the bodies they have designated;  
–  international organisations and their agencies (to be specified);  
–  the EIB and the European Investment Fund;  
                                                 
69 Details of management modes and references to the Financial Regulation may be found on the 
BudgWeb site: 
https://myintracomm.ec.europa.eu/budgweb/EN/man/budgmanag/Pages/budgmanag.aspx    
EN 108  EN –  bodies referred to in Articles 70 and 71 of the Financial Regulation;  
–  public law bodies;  
–  bodies governed by private law with a public service mission to the extent that 
they provide adequate financial guarantees;  
–  bodies governed by the private law of a Member State  that are entrusted with 
the implementation of a public -private partnership and that provide adequate 
financial guarantees;  
–  persons entrusted with the implementation of specific actions in the CFSP 
pursuant to Title V of the TEU, and identified in the re levant basic act.  
2. MANAGEMENT  MEASURES   
2.1. Monitoring and reporting rules  
Specify frequency and conditions.  
The LFS concerns staff expenditure and procurement, and standard rules for this type 
of expenditure s apply .  
2.2. Management and control system (s)  
The LFS concerns staff expenditure and procurement, and standard rules for this type 
of expenditure s apply .  
2.3.   Measures to prevent fraud and irregularities  
The LFS concerns staff expenditure and procurement, and standard rules for this type 
of expenditure s apply.   
3.  ESTIMATED  FINANCIAL  IMPACT  OF THE  PROPOSAL/INITIATIVE   
3.1. Heading(s) of the multiannual financial framework and expenditure budget 
line(s) affected  
 Existing budget lines  
In order  of multiannual financial framework headings and budget lines.  
Heading of 
multiannual 
financial 
framework  Budget line  Type of  
expenditure  Contribution  
Number  
 Diff./Non -
diff.70 from 
EFTA 
countries
71 
 from 
candidate 
countries72 
 from third 
countries  within the 
meaning of 
Article  21(2)(b) of 
the Financial 
Regulation  
3.2 09 02 02 - Circular economy and 
quality of life  Diff. YES  NO NO NO 
7.2 20 01 02 01 - Remuneration and  Non-diff. NO NO NO NO 
                                                 
70 Diff. = Differentiated appropriations / Non -diff. = Non -differentiated appropriations.  
71 EFTA: European Free Trade Association.  
72 Candidate countries and , where applicable, potential candidates from the Western Balkans.   
EN 109  EN allowances  
7.2 20 02 01 01 - Contract staff  Non-diff. NO NO NO NO 
7.2 20 02 06 02 – Conference and meeting 
costs  Non-diff. NO NO NO NO 
7.2 20 03 17 - European Anti -Fraud 
Office (OLAF)  Non-diff. NO NO NO NO  
EN 110  EN 3.2. Estimated financial impact of the proposal on appropriations  
3.2.1.  Summary of estimated impact on operational appropriations  
EUR million (to three decimal places)  
Heading of multiannual financial  
framework  3 Natural Resources and Environment  
 
DG: ENV    Year 
2024  Year 
2025  Year 
2026  Year 
2027  TOTAL  
(2024 -2027)  
 Operational appropriations       
09 02 02 - Circular economy and 
quality of life  Commitments  (1a) 1.260  1.080  0.780  0.540  3.660  
Payments  (2a) 1.260  1.080  0.780  0.540  3.660  
09 02 02 - Circular economy and 
quality of life73 Commitments  (1a) p.m. p.m. p.m. p.m. p.m. 
Payments  (2a) p.m. p.m. p.m. p.m. p.m. 
Appropriations of an administrative nature financed from the 
envelope of specific programmes74  
      
Budget line   (3)      
TOTAL appropriations  Commitments  =1a+1b 
+3 1.260  1.080  0.780  0.540  3.660  
                                                 
73 The proposal foresees that in the future the interoperability of the proposed electronic data interchange system with the EU Single Window environment for Customs will be ensured. 
Such wo rk will need financial resources devoted to it and made available to DG TAXUD to provide for the decided interconnection to b e made possible. Currently, the level of 
appropriate resources for such work cannot be determined with certainty, but it is estimat ed that it could require a maximum estimated budget of 0.950 million EUR over a 5 -year 
period, while a maintenance fee of 0. 100 million EUR will be needed annually thereafter.  It is further estimated that DG TAXUD would require 0.6 FTE during the first fiv e years of 
implementation and 0.2 FTE for the maintenance of the interconnection with the EU Single Window Environment for Customs. As the development investment will be carried out over 
a 5-year period, the amount to be charged in the period 2024 -2027 wil l be proportional to the effort made.  
74 Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions ( former ‘BA’ lines), indirect research, direct research.   
EN 111  EN for DG ENV  
Payments  =2a+2b  
+3 1.260  1.080  0.780  0.540  3.660  
 
 
 TOTAL operational appropriations  Commitments  (4) 1.260  1.080  0.780  0.540 3.660 
Payments  (5) 1.260  1.080  0.780  0.540 3.660 
 TOTAL appropriations of an administrative nature 
financed from the envelope for specific programmes  (6)      
TOTAL appropriations  
under HEADING 3  
of the multiannual financial framework  Commitments  =4+ 6  1.260  1.080  0.780  0.540 3.660 
Payments  =5+ 6  1.260  1.080  0.780  0.540 3.660 
If more than one operational heading is affected by the proposal / initiative, repeat the section above:  
 TOTAL operational appropriations (all 
operational headings)  Commitments  (4) 1.260  1.080  0.780  0.540 3.660 
Payments  (5) 1.260  1.080  0.780  0.540 3.660 
 TOTAL appropriations of an administrative nature financed 
from the envelope for specific programmes (all operational 
headings)   
(6)      
TOTAL appropriations  
under HEADINGS 1 to 6  
of the multiannual financial framework  
(Reference amount)  Commitments  =4+ 6  1.260  1.080  0.780  0.540 3.660 
Payments  =5+ 6  1.260  1.080  0.780  0.540 3.660 
The amount reported above in 09.02.02 will be needed to support various implementation tasks related to the legislative  provisions , that will be carried out by 
DG ENV (with the support of other services) .  
The procured activities (see list below) include the commissioning of preparatory studies in support of adopting implementing and delegated acts to implement 
a number of measures in the W SR, namely to harmonise the calculation of financial guarantees, and to clarify the classification of certain waste and the 
distinction between used good and waste for certain product groups. These activities will intensify in the first two years af ter ado ption of the new Regulation.  
Further  to the procured activities , there is a need for including  ICT support in developing and maintaining the system for electronic data interchange and 
external experts support to implement the procedure for non -OECD countr ies to import EU waste. This includes informing non -OECD countries of the new  
EN 112  EN provisions, assessing the notifications from these countries and establish and update the list of non -OECD countries authorised to import green -listed waste 
from the EU . 
The prop osal also foresees the interoperability of the proposed electronic data interchange system with the EU Single Window environm ent for Customs. Such 
work will need additional financial resources, which will be made available to DG TAXUD by DG ENV from the LI FE, so that the decided interconnection to 
be made possible. Currently, the level of appropriate resources for such work cannot be determined with certainty, but see fo otnote 6 9 on the estimation of the 
costs.  
List of proposed Procurement studies and services contracts  (subjects may need further finetuning)  
EUR million (to three decimal places)  
List of proposed Procurement studies and services contracts 
(subjects may need further finetun ing)  2024  2025  2026  202775  Period  
2024 -2027 
Finetuning and maintenance of the central system for electronic 
data interchange for waste shipments  (ICT development and 
maintenance in DG ENV)  0.260  0.380  0.180  0.140  0.960 
Preparatory study for a harmonised calculation methodology for 
the financial guarantee  0.100     0.100  
Preparatory study to identify waste streams for which the 
Commission has to set thresholds for contamination of wastes  0.200     0.200  
Preparatory study to set a contamination thresholds for each 
waste stream   0.100  0.100  0.100  0.300  
Preparatory study to identify waste streams for which the 
Commission has to set out criteria to differentiate between used 
goods and waste  0.200     0.200  
Preparatory study to set out criteria to differentiate between used 
goods an d waste for each waste stream   0.100  0.100  0.100  0.300 
                                                 
75 It is expected that some studies foreseen in 2027, will be continued for the period starting in 2028.   
EN 113  EN External experts support to implement the procedure for non -
OECD countries to import EU waste. This includes informing 
non-OECD countries of the new provisions, assessing the 
notifications from these countries and establish and update the 
list of non -OECD countries authorised to import green -listed 
waste from the EU  0.500  0.500 0.400 0.200      1.600      
Total for procurement contracts (covering studies and ICT costs)  
(without the foreseen costs for  the link with the Single Window 
environment for Customs of DG TAXUD)  1.260  1.080 0.780 0.540 3.660 
     
        
   
EN 114  EN Heading of multiannual financial  
framework  7 ‘Administrative expenditure’  
This section should be filled in using the 'budget data of an administrative nature' to be firstly introduced in the Annex  to the Legislative 
Financial Statement  (Annex V to the internal rules), which is uploaded to DECIDE for interservice consultation purposes.  
EUR million (to three decimal places)  
   Year 
2024  Year 
2025  Year 
2026  Year 
2027  TOTAL  
(2024 -2027)  
DG: ENV and OLAF76 
 Human resources  0.509 0.509 0.468 0.193  1.679 
 Other administrative expenditure  0.040 0.040 0.040 0.040 0.160  
TOTAL DG <…….>  Appropriations  0.549 0.549 0.508 0.233  1.839 
 
TOTAL appropriations  
under HEADING  7 
of the multiannual financial framework   (Total commitments = 
Total payments)  0.549 0.549 0.508 0.233  1.839 
EUR million (to three decimal places)  
   Year 
2024  Year 
2025  Year 
2026  Year 
2027  TOTAL  
(2024 -2027)  
TOTAL appropriations  
under HEADINGS 1 to 7  
of the multiannual financial framework   Commitments  1.809 1.629 1.288 0.773 5.499  
Payments  1.809 1.629 1.288 0.773 5.499  
                                                 
76 Please note that DG TAXUD estimates that it would require 0.6 FTE during the first five years of implementation and 0.2 FTE f or the maintenance of the 
interconnection with EU Single Win dow Environment for Customs.   
EN 115  EN  
3.2.2.  Estimated output funded with operational appropriations  
Commitment appropriations in EUR million (to three decimal places)  
Indicate 
objectives and 
outputs  
 
   Year 
N Year 
N+1 Year 
N+2 Year 
N+3 Enter as many years as necessary to show the 
duration of the impact (see point 1.6)  TOTAL  
OUTPUTS  
Type
77 
 Avera
ge 
cost 
No 
Cost 
No 
Cost 
No 
Cost 
No 
Cost 
No 
Cost 
No 
Cost 
No 
Cost Total 
No Total 
cost 
SPECIFIC OBJECTIVE No 178…                 
- Output                    
- Output                    
- Output                    
Subtotal for specific objective No 1                  
SPECIFIC OBJECTIVE No 2 ...                  
- Output                    
Subtotal for specific objective No 2                  
TOTALS                  
                                                 
77 Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, et c.). 
78 As described in point 1.4.2. ‘Specific objective(s)…’   
EN 116  EN 3.2.3.  Summary of estimated impact on administrative appropriations  
 
EUR million (to three decimal places)  
 Year 
2024  Year 
2025  Year 
2026  Year 
2027  TOTAL  
(2024 -2027)  
 
HEADING 7  
of the multiannual 
financial framework       
Human resources  0.509 0.509 0.468 0.193  1.679 
Other administrative 
expenditure  0.040 0.040 0.040 0.040 0.160  
Subtotal HEADING 7  
of the multiannual 
financial framework  0.549 0.549 0.508 0.233  1.839 
 
Outside HEADING 779 
of the multiannual 
financial framework  
      
Human resources       
Other expenditure  
of an administrative 
nature       
Subtotal  
outside HEADING 7  
of the multiannual 
financial framework       
 
TOTAL  0.549 0.549 0.508 0.233  1.839 
The appropriations required for human resources and other expenditure of an administrative nature 
will be met by appropriations from the DG that are already assigned to management of the action 
and/or have been redeployed within the DG, together if necessary w ith any additional allocation which 
may be granted to the managing DG under the annual allocation procedure and in the light of 
budgetary constraints.  
                                                 
79 Technical and/or administrative assistance and expenditure in support of the implementation of EU  programmes 
and/or actions (former ‘BA’ lines), indirect research, direct research.   
EN 117  EN 3.2.3.1.  Estimated requirements of human resources  
–  The proposal/initiative does not require the use of human resources.  
–  The proposal/initiative requires the use of human resources, as explained 
below:  
Estimate to be expressed in full time equivalent units  
 
Year 
2024  Year 
2025  Year 
2026  Year 
2027  Enter as many years as 
necessary to show the duration 
of the impact (see point 1.6)  
 Establishment plan posts (officials and temporary staff)  
20 01 02 01  (Headquarters and Commission’s Representation 
Offices)  1.0 1.0 1.0 1.0    
20 01 02 03 (Delegations)         
01 01 01 01   (Indirect research)         
 01 01 01 11 (Direct research)         
20 03 17 - European Anti -Fraud Office (OLAF ) 1.0 1.0 1.0     
 External staff (in Full Time Equivalent unit: FTE)80 
 
20 02 01  (AC, END, INT from the ‘global envelope’)  2.5 2.5 2.0 0.5    
20 02 03 (AC, AL, END, INT and JPD in the delegations)         
XX 01  xx yy zz  81 
 - at Headquarters  
        
- in Delegations         
01 01 01 02  (AC, END, INT - Indirect research)         
 01 01  01 12 (AC, END, INT - Direct research)         
TOTAL  4.5 4.5 4.0 2.5    
The human resources required will be met by staff from the DG who are already assigned to management of the 
action and/or have been redeployed within the DG, together if necessary with any additional allocation which 
may be granted to the managing DG under the annual allocation procedure and in the light of budgetary 
constraints.  
Description of tasks to be carried out:  
Officials and temporary staff  For DG ENV, 1 AD post is needed in addition to the currently available staff 
for the general implementation of the regulation,  and for ensuring continuity 
for the different preparatory work and drafting of secondary legislation 
according to the deadlines proposed in the Regula tion.  
For OLAF, 1 AD post is needed in addition to the currently available staff to 
carry out the additonal  investigative and coordinating actions in OLAF  related 
to waste shipments.  
External staff  The CA ’s are needed to support the general implementation , and in particular 
the implementation  of the new rules on export of waste from the Union, and to 
perform technical work on preparing the needed secondary legislation  for the 
implementation of the Regulation  in DG ENV  (delegated and implementing 
acts) .  
                                                 
80 AC= Contract Staff; AL = Local Staff; END= Seconded National Expert; INT = agency staff; 
JPD=  Junior Prof essionals in Delegations.  
81 Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines).   
EN 118  EN 3.2.4.  Compatibility with the current multiannual financial framework  
The proposal/initiative:  
–  can be fully financed through redeployment within the relevant heading of the 
Multiannual Financial Framework (MFF).  
The costs foreseen under the budget line 09 02 02 will be borne by the LIFE 
programme and will be planned under the annual management plan exercises of DG 
ENV. The human resources required shall be preferably met by an additional 
allocation under the annual allocation procedure of human resources, possibly 
combined with any redeployment of resources from DG TRADE to DG ENV.   
–  requires use of the unallocated margin under the relevant heading of the MFF 
and/or use of t he special instruments as defined in the MFF Regulation.  
–  requires a revision of the MFF.  
3.2.5.  Third -party contributions  
The proposal/initiative:  
–  does not provide for co -financing by third parties  
–  provides for the co -financing by third parties esti mated below:  
Appropriations in EUR million (to three decimal places)  
 Year 
N82 Year 
N+1 Year 
N+2 Year 
N+3 Enter as many years as necessary 
to show the duration of the 
impact (see point 1.6)  Total  
Specify the co -financing 
body           
TOTAL appropriations 
co-financed          
 
 
                                                 
82 Year N is the year in which implementation of the proposal/initiative starts. Please replace "N" by the 
expected first year of implementation (for instance: 2021). The same for the following years.   
EN 119  EN 3.3. Estimated impact on revenue  
–  The proposal/initiative has no financial impact on revenue.  
–  The proposal/initiative has the following financial impact:  
–  on own resources  
–  on other revenue  
– please indicate, if the revenue is assigned to expenditure lines   
     EUR million (to three decimal places)  
Budget revenue line:  Appropriations 
available for 
the current 
financial year  Impact of the proposal/initiative83 
Year 
N Year 
N+1 Year 
N+2 Year 
N+3 Enter as many years as necessary to show 
the duration of the impact (see point 1.6)  
Article ………….          
For assigned revenue, specify the budget expenditure line(s) affected.  
 
Other remarks (e.g. method/formula used for calculating the impact on revenue or any other 
information).  
[…] 
                                                 
83 As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net 
amounts, i.e. gross amounts after deduction of 20 % for collection costs.