Council of theEuropean Union
Brussels, 7 December 2023
(OR. en)16528/23
Interinstitutional File:
2021/0367(COD)
ENV 1466
MI 1106
RELEX 1447
CODEC 2439
OUTCOME OF PROCEEDINGS
From:
To:

General Secretariat of the Council
Delegations

No. prev. doc.:

16076/23

No. Cion doc.:

14135/21 + ADD 1

Subject:

Proposal for a Regulation of the European Parliament andof the Council on
shipments of waste and amending Regulations (EU) No 1257/2013 and(EU) No 2020/1056‒

Letter to the Chair of the European Parliament Committee on theEnvironment, Public Health and Food Safety (ENVI)

Following the Permanent Representatives Committee meeting of 6 December 2023 which endorsed
the final compromise text, delegations are informed that the Presidency sent the attached letter,
together with the final text agreed in Coreper, to the Chair of the European Parliament Committee
on the Environment, Public Health and Food Safety (ENVI). Please note that the final compromise
text on the technical annexes to the waste shipments regulation has been established as addendum.

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2021/0367 (COD)
Proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
on shipments of waste, amending Regulations (EU) No 1257/2013 and (EU) No 2020/1056 andrepealing Regulation (EC) 1013/2006(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 proposal 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 Committee1,
Having regard to the opinion of the Committee of the Regions,
Acting in accordance with the ordinary legislative procedure,
Whereas:1

OJ C , , p. .

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(1)

It is necessary to lay out rules at the Union level to protect the environment and humanhealth against the adverse impacts which may result from the shipment of waste. These
rules should also contribute to the facilitation of environmentally sound management ofwaste, in accordance with the waste hierarchy laid down in Article 4 of Directive
2008/98/EC of the European Parliament and of the Council2, as well as to the reduction of
overall impacts of resource use and to the improvement of the efficiency of such use,which is crucial for the transition to a circular economy and for reaching climateneutrality by 2050 at the latest.

(2)

Regulation (EC) No 1013/2006 of the European Parliament and of the Council3 has, overthe past fifteen years, brought about important improvements to protect the environmentand human health against the adverse impacts which may result from the shipment ofwaste. However, the Commission’s evaluation4 of that Regulation has also revealed anumber of challenges and shortcomings, which need to be addressed through new
regulatory provisions.

2
3
4

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).
Regulation (EC) No 1013/2006 of the European Parliament and of the Council of 14 June
2006 on shipments of waste (OJ L 190, 12.7.2006, p. 1).
Commission Staff Working Document on the evaluation of Regulation (EC) No 1013/2006of the European Parliament and of the Council of 14 June 2006 on shipments of waste(SWD(2020) 27 final).

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(3)

The European Green Deal5 sets out an ambitious roadmap to transform the Union into asustainable, resource efficient and climate neutral economy. It calls on the Commission toreview the Union rules on waste shipments established under Regulation (EC)No 1013/2006. The New Circular Economy Action Plan6 adopted in March 2020 further
stresses the need for action to ensure that shipments of waste for re-use and recycling in theUnion 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 andsocial benefits, this can also result in ameliorating EU’s strategic dependencies on raw
materials. Keeping more of the generated waste within the Union will, however, require
improved recycling and waste management capacity. Both the Council7 and the European
Parliament8 have also called for a revision of the current Union rules on waste shipments
established under Regulation (EC) No 1013/2006. Article 60(2a) of Regulation (EC)No 1013/2006 mandated the Commission to carry out a review of this Regulation by
31 December 2020.

(4)

Regulation (EC) No 1013/2006 has already been amended on several occasions andrequires further significant amendments to ensure that the policy objectives of theEuropean Green Deal and the New Circular Economy Action Plan are met. Regulation(EC) No 1013/2006 should therefore be repealed and replaced by a new Regulation.

(5)

This Regulation supplements the general waste management legislation of the Union, suchas Directive 2008/98/EC. It refers to the definitions in that Directive, including, thedefinitions of waste and of terms related to waste management ▌ . It also includes anumber of additional definitions in order to facilitate uniform application of thisRegulation.

5

6

7
8

Communication from the Commission to the European Parliament, the European Council,
the Council, the European Economic and Social Committee and the Committee of theRegions, The European Green Deal (COM(2019)0640 final)
Communication from the Commission to the European Parliament, the Council, theEuropean 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)0098 final).
Council conclusions on Making the Recovery Circular and Green (13852/20 OJ CONS 34).
European Parliament resolution of 10 February 2021 on the New Circular Economy Action
Plan (2020/2077(INI)).

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(6)

This Regulation implements at Union level the Basel Convention of 22 March 1989 on thecontrol of transboundary movements of hazardous wastes and their disposal9 (‘the Basel
Convention’). The Basel Convention aims to protect human health and the environment
against the adverse effects resulting from the generation, transboundary movements andmanagement of hazardous wastes and other wastes. The Union has been a Party to theBasel Convention since 199410.

(7)This Regulation also implements at Union level an amendment to the Basel Convention11(the Ban Amendment) which was adopted in 1995 and entered into force at theinternational level on 5 December 2019. The Ban Amendment establishes a generalprohibition on all exports of hazardous wastes that are destined for disposal ▌ andrecovery operations from countries listed in Annex VII to the Basel Convention tocountries not listed in that Annex. The Union has ratified the Ban Amendment andimplemented it since 199712.

(8)

The Union submitted in October 2020 a notification, covering shipment of waste within theUnion, to the Secretariat of the Basel Convention under Article 11 of that Convention. Inline with that Article, the Union might therefore set out specific rules applying to the intraEU shipments of waste which are not less environmentally sound than those provided forby the Basel Convention.

(9)

In view of the fact that the Union has approved the OECD Decision of the Council on theControl of Transboundary Movements of Wastes Destined for Recovery Operations13 (‘theOECD Decision’), it is necessary to incorporate the content of that Decision, including its
amendments, in Union legislation.

9
10

11
12

13

OJ L 39, 16.2.1993, p. 3
Council Decision 93/98/EEC of 1 February 1993 on the conclusion, on behalf of theCommunity, 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).
Amendment to the Basel Convention (‘Ban Amendment’) adopted by Decision III/1 of theParties to the Basel Convention.
Council Decision 97/640/EC of 22 September 1997 concerned the approval, on behalf of theCommunity, of the Ban Amendment (OJ L 272, 4.10.1997, p. 45) and Council Regulation(EC) No 120/97 of 20 January 1997 amended Regulation (EC) No 259/93 on the supervisionand control of shipments of waste within, into and out of the European Community (OJ L
22, 24.1.1997, p. 14).
OECD/LEGAL/0266

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(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 ofthe environment and human health and which ensures a uniform application of rules onwaste shipments throughout the Union.

(10b)

To ensure a real transition towards a circular economy for shipments of waste from its
place of origin to the best place of treatment for such waste, the principle of proximity,material efficiency as well as the need to reduce the environmental footprint of waste
should be taken into account.

(11)

It is necessary to avoid duplication with applicable Union legislation on the transport ofcertain materials that could classify as waste under this Regulation.

(11a)Collection and conduction of wastewater through sewage systems pursuant to relevant
Union legislation should not be considered as transport of waste under this Regulation.

(11b)

In order to properly implement and enforce this Regulation, Member States should takethe necessary measures to ensure that waste is not shipped under the guise of usedgoods, second-handed goods, by-products or substances or objects that reached end ofwaste status.

(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 enters the Union). The requirements ofinternational law and international agreements should be respected in relation to such
shipments. In such cases, any competent authority of transit and the competent authority ofdestination in the Union should be informed in advance concerning the shipment and its
destination.

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(13)

It is necessary to avoid duplication with Regulation (EC) No 1069/2009 of the European
Parliament and of the Council14, which already contains provisions covering the overall
consignment, channelling 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 Council15 applies tolarge 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. Such ships,
when becoming waste and except when all hazardous substances and materials havebeen removed from it, are generally classified as hazardous waste. Following 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 are considered waste andare exported from the Union are made subject to the relevant Union waste shipment rules,
including those implementing the Ban Amendment, in order to ensure 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 fallingwithin the scope of that Regulation and which are considered hazardous waste and areexported from the Union should only be recycled at those facilities included in theEuropean List of ship recycling facilities established under that Regulation, which arelocated in countries listed in Annex VII to the Basel Convention.

14

15

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).
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 andDirective 2009/16/EC (OJ L 330, 10.12.2013, p. 1).

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(14a)In order to avoid unnecessary burden on Member State’s competent authorities andjudicial systems in enforcing this Regulation, a shipment should not be consideredillegal in case only minor clerical errors in the notification or movement documents or
the Annex VII documents occur, such as clerical errors in spelling out the information
when filling out the notification or movement documents or the Annex VII documents oromission of one of the contact details of one of the persons involved in the shipment.
However, such exceptions to the definition of what constitutes an illegal shipment
should be strictly limited to mistakes of a clerical nature, which occur exceptionally,
which do not significantly alter the substance of these documents and which do notaffect the objectives of the Regulation.

▌(16)

It is appropriate to ensure optimal supervision and control by requiring prior writtenconsent to shipments destined for recovery in particular of hazardous wastes, of wastes
not listed in Annex III, Annex IIIA or Annex IIIB and of wastes containing or
contaminated with persistent organic pollutants when containing or contaminated with
POPs meeting or exceeding a concentration limit specified in Annex IV to Regulation(EU) 2019/102116. 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 thoseauthorities to raise reasoned objections to such shipments.

16

Regulation (EU) 2019/1021 of the European Parliament and the Council of 20 June 2019
on persistent organic pollutants (OJ L 169, 25.6.2109, p 45).

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(16a)

To take account of innovation in waste treatment technologies with regard toenvironmental sound management, as well as of changes in consumer behaviour withregard to the sorting of waste, it is essential that Annexes IIIA and IIIB be continuously
updated. The Commission should in particular assess whether to add entries on mixturesof waste footwear, waste clothing and other textile waste to Annex IIIA, as well as onmineral wool and mattresses to Annex IIIB.

(16b)

A well-functioning Union market for waste shipments should prioritise proximity, selfsufficiency and the use of the best available techniques in waste management as guiding
principles. Achieving a fair transition to a circular economy is essential to attaining a
climate neutral, resource-efficient and competitive Union economy that is sustainable in
the long run. In order to achieve this objective, the Commission should facilitate sectorspecific climate dialogues and partnerships by bringing together key stakeholders in thewaste sector in accordance with Regulation (EU) 2021/1119 of the European Parliamentand of the Council17.

17

Regulation (EU) 2021/1119 of the European Parliament and of the Council of
30 June 2021 establishing the framework for achieving climate neutrality and amending
Regulations (EC) No 401/2009 and (EU) 2018/1999, (OJ L 243, 9.7.2021, p. 1–17).

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(17)

▌In order to support the achievements of targets to increase recycling and reduce disposalof waste set out in Directive 2008/98/EC and Council Directive 1999/31/EC18, allshipments of waste destined for disposal in another Member State should be generally
prohibited. Shipments of waste destined for disposal should be allowed only in exceptional
cases, where certain conditions are fulfilled; in relation to the conditions related totechnical feasibility and economic viability, the Commission should develop guidelines
on criteria specifying these conditions. In those cases, Member States should take into
account the principles of proximity and self-sufficiency at Union and national levels, inaccordance with Directive 2008/98/EC, and in particular Article 16 of that Directive, as
well as the priority for recovery. Member States should also be able to ensure that thewaste disposal facilities covered by Directive 2010/75/EU of the European Parliament andof the Council19 apply best available techniques as defined in that Directive in compliancewith the permit of the facility, and that the waste is treated in accordance with humanhealth and environmental protection requirements in relation to disposal operations
established in Union legislation. Furthermore, in order to support the implementation of
the provisions in Directive 2008/98/EC designed to increase the separate collection ofwaste and reduce the generation of mixed municipal waste, shipments of mixed
municipal waste to another Member State should be subject to particular scrutiny,
shipments of such waste for recovery should be subject to the procedure of prior written
notification and consent and shipments of such waste for disposal should be prohibited.
This should cover also mixed municipal waste that has been subject to a waste treatment
operation that has not substantially altered its properties, such as for example refuse
derived fuel processed from mixed municipal waste, classified under the waste code
19 12 10 in the list of waste referred to in Article 7 of Directive 2008/98/EC. In line withthe waste hierarchy and the principles of proximity and self-sufficiency, Member Statesshould ensure that such waste is prevented in the first place, and collected and sorted in
the second, with a view to separate those different fractions for recovery and only
consider disposal for those residues that have no other potential than to be disposed of.

18
19

Council Directive 1999/31/EC of 26 April 1999 on the landfill of waste (OJ L 182,
16.7.1999, p. 1).
Directive 2010/75/EU of the European Parliament and of the Council of 24 November 2010
on industrial emissions ( ▌ OJ L 334, 17.12.2010, p. 17).

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(18)

In the case of shipments of waste listed in Annex III, Annex IIIA or Annex IIIB of thisRegulation destined for recovery operations, it is appropriate to ensure a minimum level ofsupervision and control by requiring such shipments to be accompanied by certain
information on the persons and countries involved in the shipments, the description andquantities of the waste concerned, the type of recovery operation for which the waste isshipped and the details of the facilities which will recover the waste.

(18a)

Laboratory analysis and experimental treatment trials are often a necessary tool toassess the nature of the waste and its suitability for recovery and disposal operation.
Sound and innovative waste management operations are key to ensure theenvironmental sound management of waste and to establish circular economy businessmodels in the Union. The shipment of waste to such laboratory analysis andexperimental treatment trials should be facilitated by not subjecting it to all theapplicable procedures. Moreover, to deliver accurate results a sufficiently significant
amount of waste should be allowed to ship for the purpose of laboratory analysis andexperimental treatment trials for shipments within the Union, also because there arewaste management standards and practices that are more developed in the Union
compared to most third countries.

(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 toensure that the waste recovery facilities covered by Directive 2010/75/EU apply best
available techniques as set out in that Directive in compliance with the permit of the
facility. Member States should also be able to ensure that waste is treated in accordancewith human health and environmental protection requirements in relation to recovery
operations established in Union legislation and that, taking account of Article 16 of
Directive 2008/98/EC, waste is treated in accordance with waste management plansestablished pursuant to that Directive with the purpose of ensuring the implementation oflegally binding recovery or recycling obligations established in Union legislation. A
recipient Member State should hence be able to object to shipments of waste, including
shipments of mixed municipal waste, if they foresee that this waste will not be treated in
an environmentally sound manner.

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(20)

It is necessary to provide for procedural steps and safeguards, when a notifier wishes toship waste subject to the procedure of prior written notification and consent, in the interestsof legal certainty and to ensure uniform application of this Regulation and the proper
functioning of the internal market, contributing to long-term competitiveness of theUnion. It is also necessary, in line with Article 6(11) of the Basel Convention, to ensurethat the costs arising from situations where the shipment of waste subject to the priorwritten notification 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 theconditions under which the status of ‘pre-consented’ can be granted, to ensure their mutual
recognition by all Member States and harmonise the requirements for shipping waste tothese facilities.

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(22)

In order to make the exchange of information according to the Regulation more
efficient, in particular in the processing of notifications and information under Article 18of this Regulation for the shipment of waste and facilitate the exchange of information
between the relevant authorities and economic operators, it is imperative that thesubmission and exchange of information and data, which relates to shipments of waste
within the Union, be made via electronic means. The central system and the national
systems should be interoperable. It is also necessary to empower the Commission to lay
out the procedural and operational requirements for the practical implementation of thesystems ensuring this electronic submission and exchange of information (such as
interconnectivity, architecture and security). Such systems should facilitate the handlingof notification requests, inter alia by assisting those involved in a given request to keep
track of the progress of the notification procedure. Such systems should also allow to
extract data, including at the individual Member State’s level, for the Commission toreview how notification requests are handled in a timely manner, inter alia, for the
purpose of relevant reporting by the Commission as provided under this Regulation. It isalso necessary to provide sufficient time for competent authorities in the Member Statesand economic operators to prepare for the shift from a paper-based approach, as laid downin Regulation (EC) No 1013/2006, to an approach to exchange information and documents
electronically. This new obligation should therefore become applicable 24 months after thedate of entry into force of this Regulation.

(23)

Economic operators involved in the transport of waste should be allowed to use theenvironment as established in Regulation (EU) No 2020/1056 of the European Parliamentand of the Council20 for the exchange of the information required under this Regulation
during the transport of the waste, and interoperability of the systems provided for in thisRegulation and the environment for the exchange of electronic freight transport
information should be ensured.

20

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).

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(24)

In order to facilitate the work carried out by customs in the implementation of thisRegulation, it is necessary that the central system operated by the Commission that allows
for the electronic submission and exchange of information and documents becomesinteroperable with the European Union Single Window Environment for Customs,
currently being developed at the Union level21, when all required technical work to ensure
this operability is completed.

(25)

Competent authorities in third countries should be able to issue and exchange theinformation 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 with the requirements to exchange data via this system.

(26)

In order to ensure traceability of shipments of waste and not to impair the environmentallysound management of waste shipped across borders, it should be prohibited to mix wastewith other waste from the start of the shipment to the receipt of the waste in recovery or
disposal facility.

(27)

To facilitate the enforcement of the obligations laid down in this Regulation, it is importantthat 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 whena certificate of the completion of the recovery or disposal has been provided .

21

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.

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(28)

With a view to providing transparency contributing to ensure that shipments of waste arecarried out pursuant to this Regulation and that the treatment of the waste at its
destination is performed in an environmentally sound manner, information concerning
shipments of waste should be published. In that regard, the Commission should be
required to publish and regularly update certain non-confidential data on notificationsof shipments that have been consented or objected to by the competent authorities, aswell as on shipments of waste subject to the general information requirements of thisRegulation. For this purpose, the Commission should use, to the extent possible, theelectronic system for the exchange of data on waste shipments. The publication of suchinformation by the Commission should be without prejudice to the United Nations
Economic Commission for Europe (UNECE) Convention on Access to Information, Public
Participation in Decision-making and Access to Justice in Environmental Matters of 25
June 1998 (Aarhus Convention)22 and Directive 2003/4/EC of the European Parliamentand of the Council23 and national legislation of Member States in this field. Any further
requests to competent authorities on access to other information concerning waste
shipments should be addressed in accordance with that legislation.

22
23

OJ L 124, 17.5.2005, p. 4.
Directive 2003/4/EC of the European Parliament and of the Council of 28 January 2003
on public access to environmental information and repealing Council Directive
90/313/EEC, OJ L 41, 14.2.2003, p. 26–32.

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(29)

In order to implement the requirements set out in Article 9(2), (3) and (4) of the Basel
Convention, an obligation should be laid down to the effect that waste from a shipment thatcannot be completed as intended is to be taken back to the country of dispatch, and where
needed stored safely, or recovered or disposed of in an alternative way. It should also becompulsory for the person whose action is the cause of an illegal shipment to take back thewaste involved or make alternative arrangements for its recovery or disposal, and to bear
the costs arising from the take-back operations. If this is impracticable, meaning that thisperson does not have the possibility to fulfil these obligations in a reasonable time , thecompetent authorities of dispatch or destination, as appropriate, should cooperate and takeaction to ensure the environmentally sound management of the waste concerned. In casethere is no clarity on the person to whom the responsibility of an illegal shipment can be
imputed to, the competent authorities concerned are to cooperate to ensure that thewaste in question is taken back, recovered or disposed of. In order to reduce theenvironmental effects of shipments following from the obligation to take back waste inillegal shipments and allow, where appropriate, a more efficient procedure in situations
with illegal shipments, it should be possible for the competent authorities of dispatch,transit and destination to agree in certain cases that the waste in an illegal shipment may
be recovered or disposed of in an alternative way outside the country of dispatch, insteadof taking it back. Such an alternative management should be environmentally sound.
This should however only apply to shipments within the Union.

(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 anobligation for the notifier to provide an authorised translation of these documents in alanguage acceptable to these authorities ▌ if they so request. In order to avoid
unnecessary administrative burden, the electronic system for exchanging information onwaste shipments should include a function, which provides courtesy translations of
relevant documents submitted in that system.

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(31)

In order to avoid disruptions of shipments of objects or substances, due to a disagreement
between competent authorities on the status of these being waste or non-waste, it isnecessary to set out a procedure to resolve such disagreements. It is important in thatregard that competent authorities base their decisions on the provisions relating to thedetermination of by-products and to the end- of-waste status of Directive 2008/98/EC.
Uniform conditions are needed for the Member States to decide whether an object or asubstance should be considered as a used good or waste. Furthermore, Member Statesshould take measures aiming to ensure that objects or substances intended to be shipped
to another country as used goods fulfil such conditions in accordance with Union law. It
is also necessary to establish criteria for the classification of specific waste in the
Annexes to this Regulation and to lay out a procedure to resolve disagreements between
competent authorities as to whether waste should be subject or not to the notification
procedure. To ensure a better harmonisation across the Union of the conditions underwhich waste, including waste from composite materials which may be difficult to recycle,
should be subject to the notification procedure, the Commission should also be empoweredto adopt delegated acts establishing criteria for the classification of specific waste in therelevant Annexes to this Regulation, which will determine whether or not it is subject tothe notification procedure. In addition, in order to avoid that waste are falsely declared as
used goods and to provide legal clarity, the Commission should be 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 proceduresfor the shipment of waste and to the enforcement of this Regulation, it is necessary toforesee the possibility that appropriate and proportionate administrative costs linked tothese procedures, as well as to supervision, analyses and inspections, be charged to thenotifier and, where relevant, the person who arranges the shipment.

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(33)

In order to reduce administrative burdens and in exceptional circumstances, linked to
specific geographical or demographical situations, Member States may conclude bilateralagreements making the notification procedure for shipments of specific flows of waste lessstringent in respect of cross-border shipments to the nearest suitable facility located in theborder area between the two Member States concerned. It should also be possible for a
Member State to conclude such agreements with members of the EFTA (European Free
Trade Association) , as well in a situation where waste is shipped from and treated in the
country of dispatch but transits through another Member State.

(33a)

Given the specific geographical situation of the Faroe Islands, and the status they holdas part of the Kingdom of Denmark, Denmark is the main importer of waste from theFaroe Islands for its recovery or disposal within its territory. Without prejudice to theapplicability of the rules on the transit of waste through the Union, Denmark should beallowed to assume the full responsibility to treat the import of waste from the Faroe
Islands into its territory as transport within its territory when it is the country ofdestination of this import.

(33b)

Although the supervision and control of transports of waste within a Member State is amatter for that Member State, national systems concerning transports of waste shouldtake account of the need for coherence with the Union system for shipments of waste inorder to ensure a high level of protection of the environment and human health.

(34)

It is necessary, in order to protect the environment of the countries concerned, to clarify thescope 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 thecontrol procedures provided for shipments within the Union. In such cases, shipments
between the Union and these countries should be subject to the same rules as shipments
within the Union.

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(36)

To protect the environment of the countries concerned, it is necessary to clarify the scopeof the prohibition of exports of hazardous waste destined for recovery in third countries towhich 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 toensure that it also includes the waste listed in Annex II to the Basel Convention, namely
waste collected from households, residues from the incineration of household waste andhard-to-recycle certain plastic waste.

(36a)

To ensure environmentally sound management of wastes containing or contaminatedwith persistent organic pollutants (POPs), such wastes should not be allowed for export
from the Union to countries that are not members of the OECD, when containing or
contaminated with POPs meeting or exceeding a concentration limit specified in Annex
IV to Regulation (EU) 2019/1021.

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EN

(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 ensurethat this waste does not create damages to the environment and public human health inthese countries. Under these rules, export from the Union should be allowed only for wastethat is not already covered by the prohibition of exports of hazardous waste and certain
other wastes destined for recovery in third countries to which the OECD Decision does
not apply, and only to countries included in a list drawn up and to be updated by theCommission, when these countries have submitted a request to the Commission stating
their willingness to receive certain non-hazardous wastes or mixtures of non-hazardous
wastes from the Union and demonstrating their ability to manage such waste in anenvironmentally sound manner, on the basis of criteria laid down in this Regulation. Suchcriteria should include compliance with international labour and worker rights
Conventions. As Member States will evolve in ratifying more such Conventions, theCommission should be empowered to add relevant Conventions to the criteria in thisRegulation. Exports to countries other than those included in the aforementioned list
should be prohibited. To ensure sufficient time for the transition to this new regime, atransitional period of three years after the general date of application of this Regulation
should be foreseen. In particular when establishing and updating the list of countries towhich the OECD Decision does not apply and to which export of non-hazardous wastefrom the Union for recovery are authorised, the principle of equality in Union law
should be applied and its application monitored.

(37a)

It is necessary to ensure that the shipment of waste that is necessary for building strong
value chains is facilitated within the internal market, while ensuring that adequate
controls are in place. Strengthening key value chains will accelerate the development of
our resilience and enhance the Union’s strategic autonomy.

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(38)

Countries to which the OECD Decision applies are subject to the rules andrecommendations laid down by the OECD on the shipment and management of waste, andhave generally higher standards for the management of waste than countries to which theOECD 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 the environment and humanhealth in countries to which the OECD Decision applies. It is therefore necessary toestablish a mechanism to monitor shipments of non-hazardous waste to such countries. In
cases where there is insufficient evidence 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 is not
sufficient to prove that the waste is recovered in an environmentally sound manner, beempowered to suspend such exports. The Commission should ensure that the principle ofequality is applied throughout the waste shipment process towards third countries towhich the OECD Decision applies.

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(38a)The Union has developed and implemented an ambitious policy to address the serious
environmental and human health damage caused by plastic pollution, especially when it
is linked to the mismanagement of plastic waste. The European Strategy for Plastics in a
Circular Economy24, the European Green Deal, the New Circular Economy Action Plan
and the EU Action Plan: 'Towards Zero Pollution for Air, Water and Soil'25 reflect thisambition and have led to the adoption of a wide range of measures to reduce plastic
waste and improve its management. These measures include in particular legislation on
the management of waste (Directive 2008/98/EC), packaging and packaging waste(European Parliament and Council Directive 94/62/EC26, as revised in 2018), single-use
plastic products (Directive (EU) 2019/904 of the European Parliament and of theCouncil27), as well as on the restrictions of intentionally added microplastics(Commission Regulation (EU) 2023/205528). In addition to these measures, newinitiatives have been launched to further reduce plastic waste in the Union, such as therevision of Directive 94/62/EC on packaging and packaging waste and of Directive
2000/53/EC of the European Parliament and of the Council29 on end-of-life vehicles,
and a proposal for new rules preventing pellet losses to reduce microplastic pollution30.
In order to complement these measures designed to reduce plastic waste and improve its
management within the Union, and to avoid that the Union exports its waste challenges
to third countries, it is appropriate to lay down specific provisions to also ensure thesound management of plastic waste exported from the Union. These provisions aim at

24

25

26
27

28

29
30

Communication from the Commission to the European Parliament, the Council, theEuropean Economic and Social Committee and the Committee of the Regions. A
European Strategy for Plastics in a Circular Economy (COM(2018) 28 final).
Communication from the Commission to the European Parliament, the Council, theEuropean Economic and Social Committee and the Committee of the Regions. Pathway to
a Healthy Planet for All (COM(2021) 400 final).
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).
Directive (EU) 2019/904 of the European Parliament and of the Council of 5 June 2019
on the reduction of the impact of certain plastic products on the environment (OJ L 155,
12.6.2019, p. 1–19).
Commission Regulation (EU) 2023/2055 of 25 September 2023 amending Annex XVII toRegulation (EC) No 1907/2006 of the European Parliament and of the Council
concerning the Registration, Evaluation, Authorisation and Restriction of Chemicals(REACH) as regards synthetic polymer microparticles (OJ L 238, 27.9.2023, p. 67–88).
Directive 2000/53/EC of the European Parliament and of the Council of 18 September
2000 on end-of life vehicles (OJ L 269 21.10.2000, p. 34).
Proposal for a Regulation of the European Parliament and of the Council on preventing
plastic pellet losses to reduce microplastic pollution (COM(2023) 645 final).

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ensuring that plastic waste exported from the Union is treated in conditions equivalent tothose in place in the Union. Countries to which the OECD Decision does not apply are
more likely to face serious environmental and human health challenges linked to the
management of plastic waste exported from the Union. Furthermore, the standards andinfrastructure for the management of plastic waste in these countries are, in most cases,
not as developed as in the Union. The Union has prohibited the export of certain types ofplastic waste (those classified under the codes Y48 and A3210) to these countries since 1
January 2021. In light of the elements provided above, and with the aim of further
protecting the environment and human health, it is appropriate to extend the scope of
this prohibition to cover the export of all plastic waste to these countries. In order toprovide economic operators and competent authorities with sufficient time to adapt theiroperations to these new rules, the prohibition should become applicable 30 months after
the entry into force of the Regulation. Any country to which the OECD Decision does
not apply may be granted a derogation from this prohibition if it demonstrates that it
manages plastic waste in an environmentally sound manner. Such derogation should be
granted by means of a delegated act, upon request from a country as from 30 months
from the application of the export prohibition.
(38b)

The Commission should exercise particular scrutiny as regards shipments of plastic
waste to countries to which the OECD Decision applies and monitor how such waste is
managed in such countries, and be empowered, to restrict exports of plastic waste tosuch countries to protect the environment and human health.

(38c)

Furthermore, where they are permitted, the exports of all plastic waste to all third
countries should be subject to the procedure of prior written notification and consent.

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(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 andwaste imported into the Union is managed, throughout the period of shipment andincluding recovery or disposal in the country of destination, without endangering humanhealth and the environment. It is also necessary to ensure that waste exported from theUnion 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, anobligation should be introduced for exporters of waste to ensure that the facility which
receives the waste in a third country of destination is made subject to an audit by anindependent third party with appropriate qualifications, prior to exporting waste to thefacility in question. The purpose of this audit is to verify compliance of the facility inquestion with specific criteria laid down in this Regulation, designed to ensure that thewaste will be managed in an environmentally sound manner. Where such audit concludes
that the criteria laid down in this Regulation are not fulfilled by the facility in question, theexporter should not be entitled to export waste to this facility. In order to ensure that
audits are conducted in a professional and impartial manner, it is important to set out
criteria on the independence and qualifications of the third party auditors, and to makeclear that they should be authorised or accredited by an official public authority toperform these activities. The obligation on audits 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 forrecovery operations within a recovery facility which will recover the wastes in anenvironmentally sound manner according to national laws, regulations and practices towhich the facility is subject”. The OECD Decision does not contain any element or
criterion specifying how to implement this requirement as regards the “environmentallysound management” of waste. In the absence of common criteria defining the conditions
under which waste is to be recovered in the relevant facilities, it is necessary to address therisk 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 theaudit requirements foreseen in this Regulation.

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(39a)A register should be established and maintained by the Commission that contains
information on facilities that have been subject to an audit. Such a register should
provide information that facilitates the preparation of sound shipments by notifiers or
persons who arrange a shipment intending to export waste from the Union, but is notintended to demonstrate compliance with conditions and obligations outlined in thisRegulation. The register should facilitate for exporters of waste but does not take away
the responsibility of the exporter of waste to demonstrate such compliance.

(40)

Considering the right 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 theexporting country is a Party to that Convention. Imports into the Union of waste forrecovery 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 beallowed only 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 theBasel Convention, except when this is not possible during situations of crisis,
peacemaking, peacekeeping or war.

(41)

This Regulation should reflect the rules regarding exports and imports of waste to and fromthe overseas countries and territories laid down in Council Decision 2013/755/EU31.

(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 waste through the Union from and to third countries.

(43)

For environmental reasons and in view of the particular status of the Antarctic, thisRegulation shall explicitly prohibit the export of waste to this territory.

31

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.

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(44)

To ensure harmonised implementation 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 thecapacity 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 forinspections across the Union, Member States should notify their inspection plans to theCommission, which should be tasked to review these plans and, where appropriate, issue
recommendations for improvements. If competent authorities in the Member States ofdispatch and destination are notified of an illegal shipment of waste, they should
consider how they could increase their control measures for similar shipments to identify
illegal shipments of waste at an early stage.

(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 thelegality of shipments. Such evidence could concern, inter alia, whether the substance orobject 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 accordancewith this Regulation. This Regulation should therefore provide the possibility for
authorities involved in inspections in Member States to require such evidence. Suchevidence may be requested on the basis of general provisions or on a case-by-case basis.
Where such evidence is not made available or is considered to be insufficient, the carriageof the substance or object concerned, or the shipment of waste concerned should beconsidered as an illegal shipment and should be dealt with in accordance with the relevant
provisions of this Regulation.

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(46)

▌ The evaluation of Regulation (EC) No 1013/2006 found that one of the shortcomings isthat national rules on penalties differ significantly across the Union. Therefore, to facilitate
more consistent application of penalties, common non-exhaustive criteria should beestablished 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 andgravity of the infringement and the economic benefits derived from and the environmental
damage caused by the infringement ▌ . Furthermore, in addition to the ▌ penalties required
under this Regulation, Member States should ensure that illegal shipment of waste
constitutes a criminal offence in ▌ accordance with the provisions laid down in Directive
2008/99/EC of the European Parliament and of the Council of 19 November 200832.
Member States should lay down rules on penalties applicable to infringements of thisRegulation and should ensure that those rules are enforced. The penalties provided forshould be effective, proportionate and dissuasive. Member States may lay down rules foradministrative as well as criminal penalties for the same infringements. In any case, theimposition of criminal and administrative penalties should not lead to a breach of theright not to be tried or punished twice in criminal proceedings for the same criminal
offence (ne bis in idem) as interpreted by the Court of Justice.

(47)

Experience with the application of Regulation (EC) No 1013/2006 showed that the
involvement of multiple actors at the national level creates challenges to coordination andcooperation in relation to enforcement. Therefore, Member States should 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 andimplementation of enforcement policies and activities to address illegal shipments ofwaste, including for the establishment and implementation of the inspection plans.

32

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). ▌16528/23
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(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 dedicated enforcement
group should be established with the participation of designated representatives of theMember 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 relevant for theprevention and detection of illegal shipments, including information and intelligence on
trends in illegal shipments and experience and knowledge on enforcement ▌ , including
best practices.

(49)

To support and complement the enforcement activities of the Member States, theCommission should be empowered to carry out inspections and coordinating actions in
respect of illegal shipments, which are of a complex nature and might have serious
adverse effects on human health or the environment and where the investigation needed
has a cross-border dimension involving at least two countries. In carrying out these s
inspections, the Commission should act in full respect of procedural guarantees and inclose collaboration with the relevant authorities in the Member States, ensuring not tonegatively impact any ongoing prosecuting, legal or administrative procedure
concerning the same illegal shipment in the Member State. 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. The inspection and mutual assistance coordinating
action should be without prejudice to the primary responsibility of the Member States toensure and enforce compliance with this Regulation; and should not affect thecontinued application of the powers conferred onto the Commission or the European
Anti-Fraud Office (OLAF), respectively, in other legal acts, in particular in Regulation

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EU, Euratom) 883/2013 of the European Parliament and of the Council33, Council
Regulation 515/9734, or Council Regulation 2185/9635.
(50)

Member States should provide the Commission with information concerning theimplementation of this Regulation, both through the reports submitted to the Secretariat of
the Basel Convention and on the basis of a separate questionnaire. The purpose of thereporting should be to analyse trends in relation to shipments of waste and data relevant
for fighting against illegal shipments, such as data on illegal shipments and on
inspections. The Commission should produce a report every three years on theimplementation 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 theCommission and the European Environment Agency on the shipments of plastic waste andother specific waste streams that are a source of concern. The systems for electronic
submission and exchange of information and documents should be designed in such a
way that data can be extracted from the system for the purpose of those reports.

(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 andits Member States and third countries should be promoted with a view to ensuring soundmanagement of waste.

33

34

35

Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Councilof 11 September 2013 concerning investigations conducted by the European Anti-Fraud
Office (OLAF) and repealing Regulation (EC) No 1073/1999 of the European Parliamentand of the Council and Council Regulation (Euratom) No 1074/1999 (OJ L 248,
18.9.2013, p. 1).
Council Regulation 515/97 of 13 March 1997 on mutual assistance between theadministrative authorities of the Member States and cooperation between the latter andthe Commission to ensure the correct application of the law on customs and agricultural
matters (OJ L 82 of 22.3.1997, p. 1).
Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-thespot checks and inspections carried out by the Commission in order to protect theEuropean Communities' financial interests against fraud and other irregularities(OJ L
292 of 15.11.1996, p. 2).

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(52)

In order to facilitate the exchange of information and cooperation for the harmonised
implementation of this Regulation, Member States should designate competent authorities
and correspondents and notify them to the Commission, which should make thisinformation publicly available. Member States should also identify the authority or
authorities and the members of their permanent staff responsible for the cooperation
between Member States.

(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 makethis information publicly available.

(54)

In order to supplement or amend this Regulation, the power to adopt acts in accordancewith Article 290 of the Treaty on the Functioning of the European Union should bedelegated to the Commission in respect of amending the elements of the recovery
facility’s request to obtain a pre-consent (Article 14(3)), laying down the information to
be provided in certificates confirming recovery and disposal operations (Article 15(5a)),establishing instructions on completing Annex VII document (Article 18(12)), updating
the list of information and documentation to be exchanged via electronic system (Article26(1a)), laying down criteria based on which certain wastes shall be classified in
Annexes III, IIIA, IIIB or IV (Article 28(4)), establishing list of countries to which theOECD Decision does not apply and to which exports of non-hazardous wastes, andmixtures of non-hazardous wastes, including plastic waste classified under B3011(Article 40(3a)), from the Union for recovery are authorised and regularly updating thislist (Article 38(1), (3) and (4)), prohibiting export of waste to certain countries, to which
the OECD Decision applies (Article 42(2)) and amending Annexes (Article 75 of thisRegulation). It is of particular importance that the Commission carries out appropriate
consultations during its preparatory work, including at expert level, and that those
consultations be conducted in accordance with the principles laid down in theInterinstitutional Agreement of 13 April 2016 on Better Law-Making36. In particular, toensure equal participation in the preparation of delegated acts, the European Parliament
and the Council receive all documents at the same time as Member States’ experts, and36

OJ L 123, 12.5.2016, p. 1.

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ENtheir experts systematically have access to meetings of Commission expert groups
dealing with the preparation of delegated acts.
(54a)

As a replacement of the regular meetings of correspondents and for the consultations
with experts and correspondents of the Member States and, where appropriate,
representatives of other stakeholders and organisations, in the preparation of delegatedacts and for the examination of questions raised by the implementation of thisRegulation, a group of experts should be established by the Commission, in accordancewith Commission Decision C(2016) 3301 final, establishing horizontal rules on thecreation and operation of Commission expert groups.

(55)

In order to ensure uniform conditions for the implementation of this Regulation,
implementing powers should be conferred on the Commission to adopt a simple, riskbased and harmonised method for calculating the financial guarantee or equivalent
insurance, to establish detailed criteria for technical feasibility and economic viability, toclarify for certain types of commodities the distinction between used goods and waste
when shipped transboundary, to adopt a correlation table between the codes of the
combined nomenclature provided for in Council Regulation (EEC) No 2658/8737 and theentries of waste listed in Annex III, Annex IIIA, Annex IIIB, Annex IV, and Annex V tothis Regulation, and to detail the information required for waste shipments in situationsof crisis, peacemaking or peacekeeping operations. Those powers should be exercised inaccordance with Regulation (EU) No 182/2011 of the European Parliament and of theCouncil38.

37
38

Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statisticalnomenclature and on the Common Customs Tariff; OJ L 256, 7.9.1987, p. 1–675.
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 forcontrol by Member States of the Commission’s exercise of implementing powers (OJ L 55,
28.2.2011, p. 13).

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(56)

Regulation (EU) 2020/1056 establishes a legal framework for the electronic
communication of regulatory information between the economic operators concerned andcompetent authorities in relation to the transport of goods on the territory of the Union andcovers parts of this Regulation in its provisions. In order to ensure consistency between the
instruments, it is necessary to amend Regulation (EU) 2020/1056. In order to avoid that
before the date of application of the mandatory electronic data interchange according tothis Regulation no implementing rules are adopted pursuant to Regulation (EU)2020/1056 in relation to the definition, accessing and processing in electronic format of
information requirements pursuant to this Regulation, the amendment to Regulation(EU) 2020/1056 should apply retroactively as of the date of application of thisRegulation.

(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 administrative infrastructure necessary for its application. 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 adelayed application becomes applicable.

(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 Unionlevel, the Union may adopt measures, 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 ofproportionality, as set out in that Article, this Regulation does not go beyond what isnecessary in order to achieve those objectives,

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HAVE ADOPTED THIS REGULATION:

Title I
General Provisions

Article 1
Subject matter
This Regulation lays down measures to protect the environment and human health and tocontribute to climate neutrality and achieving circular economy and zero pollution by
preventing or reducing the adverse impacts which may result from the shipment of waste
and the treatment of the waste at its destination. It establishes procedures and control
regimes for the shipment of waste, depending on the origin, destination and route of theshipment, the type of waste shipped and the type of treatment to be applied to the waste atits 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.

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2.

This Regulation shall not apply to:(a)▌ waste, including waste water and residues, generated by the normal operation ofships and offshore platforms until such waste is offloaded in order to be recoveredor disposed of, provided that such waste is subject to the requirements of Directive(EU) No 2019/88339, the International Convention for the Prevention of Pollution
from Ships, the International Convention for the Control and Management ofShips' Ballast Water and Sediments or other relevant binding international
instruments;(b)

waste generated on board vehicles, trains, aeroplanes and ships, until such waste is
offloaded, in order to be recovered or disposed of;(c)shipments of radioactive waste as defined in Article 5 of Council Directive
2006/117/Euratom40;(d)shipments of animal by-products and derived products as defined in Article 3(1) and(2) of Regulation (EC) No 1069/2009, respectively, except animal by products orderived products mixed or contaminated with any waste listed as hazardous in the listof waste referred to in Article 7 of Directive 2008/98/EC ;(e)shipments of waste waters where such shipments are already covered by Directive
91/271/EEC41 or other relevant Union legislation;(ea) shipments of substances that are destined for use as feed materials as defined inpoint (g) of Article 3(2) of Regulation (EC) No 767/2009 of the European
Parliament and of the Council and that do not consist of or contain animal byproducts;

39

40
41

Directive (EU) 2019/883 of the European Parliament and of the Council of 17 April 2019
on port reception facilities for the delivery of waste from ships, amending Directive
2010/65/EU and repealing Directive 2000/59/EC (OJ L 151, 7.6.2019, p. 116)
Council Directive 2006/117/Euratom of 20 November 2006 on the supervision and controlof shipments of radioactive waste and spent fuel (OJ L 337, 5.12.2006, p. 21).
Council Directive 91/271/EEC of 21 May 1991 concerning urban waste water treatment(OJ L 135, 30.5.1991, p. 40).

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(f)

shipments of waste from the Antarctic into the Union which are in accordance withthe requirements of the Protocol on Environmental Protection to the Antarctic
Treaty42;(g)

shipments of CO2 for the purposes of geological storage in accordance with
Directive 2009/31/EC of the European Parliament and of the Council43;(h)ships flying the flag of a Member State falling within the scope of Regulation (EU)No 1257/2013, with the exception of ships;- which are considered as hazardous waste, are located in an area under the national
jurisdiction of a Member State and are exported from the Union for recovery, towhich only Article 36, 45, 46 and Title VII apply, or- which are considered as waste, are located in an area under the national
jurisdiction of a Member State and destined for disposal;

3.

For imports of waste generated by armed forces or relief organisations in situations ofcrisis, peacemaking or peacekeeping operations where such waste is shipped, by thosearmed forces or relief organisations concerned or on their behalf, directly or indirectly tothe country of destination, only Articles 48(5) and 48(6) shall apply.

4.

For shipments of waste from the Antarctic to third countries, which transit through theUnion, Articles 36 and 56 shall apply.

5.

For transports of waste exclusively within a Member State, only Article 33 shall apply.

42

Protocol on Environmental Protection to the Antarctic Treaty of 1991.
Directive 2009/31/EC of the European Parliament and of the Council of 23 April 2009 on
the geological storage of carbon 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).

43

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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, which are ▌(a)listed in different entries in Annexes III, IIIA, IIIB and IV, or, whereapplicable, in different indents or sub-indents of such entries, or(b)

not classified under one single entry in Annexes III, IIIA, IIIB or IV.

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 D8, D9, D13, D14 andD15 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 ensurethat waste is managed in a manner that will protect human health, the climate and theenvironment against adverse effects which may result from such waste;(5)‘consignee’ means the person or undertaking under the national jurisdiction of thecountry of destination to whom or to which the waste is shipped for recovery or
disposal;

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(6)

‘notifier’ means:(a)in the case of a shipment originating from a Member State, any natural or legal
person under the national jurisdiction of that Member State who plans or carries
out a shipment of waste referred to in Article 4(1) or (2) or who has had ashipment of waste carried out 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
resulting in a change in the nature or composition of the waste;(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 tostart from a single notified location;(iv) a dealer or a broker acting on behalf of any of the categories specified inpoints (i), (ii) or (iii);(v)

where all of the persons specified above, are unknown or insolvent, thewaste 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 ashipment 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 the export took place;

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(6a) ‘person who arranges the shipment’ means any natural or legal person under thenational jurisdiction of the country of dispatch who plans or carries out ashipment of waste referred to in Article 4(3) or (4), or who has had a shipment ofwaste carried out, and who is listed below:(i)the original waste producer;(ii)

the new waste producer who carries out operations prior to shipment
resulting in a change in the nature or composition of the waste;(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 tostart from a single location;(iv) a dealer or a broker acting on behalf of any of the categories specified inpoints (i), (ii) or (iii);(v)

where all of the persons specified under points (i) to (iv) are unknown or
insolvent, the waste holder;(7)‘collector’ means any natural or legal person carrying out waste collection as definedin 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 thatcountry as the competent authority for the purposes of the Basel Convention inaccordance with Article 5 thereof;

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(c)

in the case of any country not referred to in either point (a) or point (b), thebody that has been designated as the competent authority by the country or
region concerned or, in the absence of such designation, the regulatory
authority for the country or region, as appropriate, which has jurisdiction overshipments 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 fromwhich the shipment is planned to be initiated or is initiated;(10) ‘competent authority of destination’ means the competent authority for the area towhich the shipment is planned or takes place, or in which waste is loaded prior torecovery or disposal in an area not under the national jurisdiction of any country;(11) ‘competent authority of transit’ means the competent authority for any country, otherthan 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 torecovery or disposal in an area not under the national jurisdiction of any country;(14) ‘country of transit’ means any country, other than the country 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 inaccordance with international law as regards the protection of human health or theenvironment;(16) ‘overseas countries and territories’ means the overseas countries and territories listed
in Annex II to the Treaty;

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EN(17) ‘customs office of export’ means customs office of export as defined in Article 1,
point (16), of Commission Delegated Regulation (EU) 2015/244644;(18) ‘customs office of exit‘ means customs office of exit as determined in accordancewith Article 329 of Commission Implementing Regulation (EU) 2015/244745;(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 theUnion;(21) ‘export’ means any exit of waste from the Union but excluding transit through theUnion;(22) ‘transit’ means a shipment of waste or a planned shipment of waste through one ormore 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 thelocation from which the transport starts until the receipt of the waste by the facility
that carries out the disposal or recovery operation 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, underthat country's protection;

44

45

Commission Delegated Regulation (EU) 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).
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 theEuropean Parliament and of the Council laying down the Union Customs Code (OJ L 343,
29.12.2015, p. 558).

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(c)

between a country and any geographic area which is not part of any country
under international law;(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) andwhich 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 any shipment of waste effected:(a)without notification to the competent authorities concerned pursuant to thisRegulation;(b)

without the consent of the competent authorities concerned pursuant to thisRegulation;(c)with consent obtained from the competent authorities concerned pursuant tothis Regulation through falsification, misrepresentation or fraud;(d)in a way which is not in accordance with the information contained in the
notification document or contained in or to be provided in the movement
document, except in case of minor clerical errors in the notification or the
movement documents;(e)

in a way which results in recovery or disposal in contravention of Union orinternational rules;(f)

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contrary to Articles 4(1), 4(2a), 34, 36, 37, 42, 43, 45, 46 or 47;

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(g)

in a way which, in relation to shipments of waste as referred to in Article 4(3)and (4), is not in accordance with the requirements referred to in paragraphs
1a, 1b, 2a and 7 of Article 18 or with the information contained or to beprovided in the document set out in Annex VII, except in case of minor
clerical errors in the document set out in Annex VII;▌▌▌

(26) ‘inspection’ means any action undertaken by an authority to ascertain compliancewith the requirements set out in this Regulation;(27) ‘waste hierarchy’ means waste hierarchy as referred to in Article 4 of Directive
2008/98/EC.
(27a) ‘routing’ means the point of exit from and the point of entry into each country
concerned, including customs offices of entry, exit and export;(27b) ‘route’ means the itinerary between the location where the shipment starts in the
country of dispatch, via the point of exit from and the point of entry into eachcountry concerned, to the treatment facility in the country of destination.
In addition, the definitions of ‘waste’, ‘hazardous waste’, ‘treatment’, ‘disposal’, 'waste
management'; ‘recovery’, ‘preparing for re-use’, ‘re-use’, ‘recycling’, ‘waste producer’,‘waste holder’, ‘dealer’ and ‘broker’ laid down in Article 3, points (1), (2), (9), (14), (19),(15), (16), (13), (17), (5), (6), (7) and (8) respectively of Directive 2008/98/EC shall apply.

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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 a consent is given inaccordance with Article 11. In order to obtain a consent in accordance with Article 11 fora shipment of waste destined for disposal, the procedure of prior written notification andconsent laid down in Chapter 1 shall apply.

2.

Shipments of the following wastes destined for recovery operations shall ▌ be subject tothe 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 either Annex III, Annex IIIB or Annex
IV;

(c)

mixtures of wastes, unless listed in Annex IIIA;(d)waste listed in Annex III or Annex IIIB and mixtures of wastes listed in Annex
IIIA contaminated by other materials to an extent which:- increases the risks associated with the wastes sufficiently to render themappropriate for submission to the procedure of prior written notification andconsent, when taking into account the of list of waste referred to in Article 7 of
Directive 2008/98/EC as well as the hazardous properties listed in Annex III tothat Directive, or- prevents the recovery of the wastes in an environmentally sound manner;

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(e)

wastes or mixtures of wastes containing or contaminated with persistent organic
pollutants (POPs) within the meaning of Regulation (EU) 2019/1021 in quantities
meeting or exceeding a concentration limit indicated in Annex IV to that
Regulation, which are not to be classified as hazardous wastes.

2a.

Paragraph 2 shall apply to shipments of mixed municipal waste collected from privatehouseholds, 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 substantiallyaltered its properties, including refuse-derived fuels processed from mixed municipal
waste, where such waste is destined for recovery operations. Shipments of such waste
destined for disposal shall be prohibited.

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.

By way of derogation from Article 4(1) and (2), shipments of waste explicitly destined forlaboratory 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
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(b)

the amount of waste does not exceed the quantity reasonably needed to perform theanalysis or trial in each particular case, but not more than 250 kg or any higher
amount agreed on a case-by-case basis by the competent authorities of dispatch anddestination and the person who arranges the shipment;(ba) in case an amount higher than 250 kg is requested by a person who arranges the
shipment, the person who arranges the shipment shall provide the information
contained in Annex VII to the competent authorities of dispatch and destination
together with a motivated explanation that such a higher amount is needed toperform the analysis or trial.
▌

Chapter 1
Prior written notification and consent

Article 5
Notification
1.

▌
Where a notifier intends to ship waste referred to in Article 4(1),(2), or (2a), they shallsubmit a notification to all competent authorities concerned.
A notifier referred to in Article 3, points (6)(a)(ii), (iii) and (iv) may only submit a priorwritten notification (‘notification’) when they have obtained a permit or are registered inaccordance with Chapter IV of Directive 2008/98/EC.
Where a notifier submits a general notification for several shipments as referred to in
Article 13, they shall also comply with the requirements laid down in that Article.

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Where a shipment is destined to a pre-consented facility pursuant to Article 14, theprocedural requirements in paragraphs 12, 14, and 16 of that Article shall apply.
Where a shipment is destined for an interim recovery operation or an interim disposal
operation, Article 15 shall also apply.
2.

The notification shall include the following documents:(a)the notification document 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, where
relevant, 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 the original waste producer or one of the persons indicated in
Article 3, points (6)(a)(ii), (iii) or (v), where practicable, also signs the notification
document. A dealer or a broker shall ensure they have a written authorisation from oneof the persons referred to in Article 3, points (6)(a)(i), (ii) or (iii), to act on their behalf,
and that written authorisation shall be included in the notification.
3.

The notification document or annex thereto, shall contain the information anddocumentation 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,
to the extent possible at the time of notification.

3b.

Where requested by any of the competent authorities concerned, the notifier shallprovide information and documentation in accordance with paragraph 3 and additional
information and documentation as set out in Part 3 of Annex II to all competentauthorities concerned. The competent authority which made the request shall inform theother competent authorities concerned of that request.

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4.

A notification shall be considered properly carried out when the competent authority of
dispatch is satisfied that the notification document and movement document have been
completed in accordance with paragraphs 3 and 3b.

5.

▌
A notification shall be considered properly completed when all the competent authorities
concerned are satisfied that the notification document and ▌ movement document ▌ havebeen completed in accordance with paragraphs 3 and 3b or when all information anddocumentation that has been requested by them in accordance with paragraph 3b has
been received .

6.

A copy of the contract concluded in accordance with Article 6 and a declaration certifying
its existence in accordance with Annex IA shall be provided to the competent authorities
concerned at the time of notification.

7.

A declaration that a financial guarantee or equivalent insurance has been established inaccordance with Article 7 shall be provided by the notifier through completion of theappropriate part of the notification document.
The financial guarantee or equivalent insurance as referred to in Article 7 or, if thecompetent authorities concerned so allow, a declaration certifying its existence inaccordance with Annex IA shall be provided to the competent authorities concerned as partof the notification document at the time of notification.
By way of derogation from the second subparagraph, the documentation referred to in thatsubparagraph may, where the concerned competent authorities so allow, be provided after
the notification is submitted, ▌ at the latest at the time of completion of the movement
document according to Article 16(2)8.

The notification shall cover the shipment of waste from the location from which it starts
and shall include its interim and non-interim recovery or disposal.

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Where subsequent interim or non-interim recovery or disposal operations take place in acountry other than the first country of destination, the non-interim operation and its
destination shall be indicated in the notification and Article 15(6) shall apply.
8a.

Only one waste identification code as mentioned in Annex III, Annex IIIA, Annex IIIB
or Annex IV shall be specified in the notification and movement document. When wastes
are not classified under one single entry in either Annex III, Annex IIIB or Annex IV, only
one waste identification code from the list of waste referred to in Article 7 of Directive
2008/98/EC shall be specified in the notification and movement document, except for:- waste not classified under one single entry in either Annex III, Annex IIIB or
Annex IV which may be specified using more than one waste identification codefrom the list of waste referred to in Article 7 of Directive 2008/98/EC, where all
waste covered by the notification has essentially similar physical and chemical
characteristics, but is not a mixture of wastes, or- mixtures of wastes ▌ not classified under one single entry in either Annex III, Annex
IIIA, Annex IIIB or Annex IV, for which the waste identification code from the listof waste referred to in Article 7 of Directive 2008/98/EC and the waste identification
code from either Annex III, IIIB or IV for each fraction of the waste shall be
specified in order of importance in the notification and movement document, or
where these are not available for all fractions, the waste identification code from thelist of waste referred to in Article 7 of Directive 2008/98/EC for the mixture as well
as for each fraction of the waste shall be specified in order of importance in the
notification and movement document.

8b.

Waste or mixtures of waste specified in accordance with paragraph 8a firstsubparagraph may be further specified by providing the relevant waste identification
codes from the list of waste referred to in Article 7 of Directive 2008/98/EC and otherrelevant identification codes.

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Article 6
Contract1.

All shipments of waste for which notification is required shall be subject to therequirement of the conclusion of a contract between the notifier and the consignee for therecovery or disposal of the notified waste. If the consignee is not the operator of the
facility for the recovery or disposal of the notified waste, the contract shall also be signedby the operator of the facility.

2.

The contract shall be concluded and effective at the time of notification and for theduration of the shipment until a certificate is issued in accordance with Article 15(5),Article 16(4), or, where appropriate, Article 15(4).
The contract shall be consistent with the corresponding notification document and the
movement document and at least contain information on the notifier, the consignee andthe facility together with an identification of persons representing each party,
notification number, the designation and composition of the waste, the waste
identification, the quantity of waste covered by the contract, the recovery or disposal
operation and the period of validity of the contract.

3.

The contract shall include obligations:(a)on the notifier to take the waste back or, where applicable, ensure its recovery or
disposal in an alternative way if the shipment or the recovery or disposal has notbeen 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 anillegal shipment, in accordance with Article 24(4);(c)

on the facility where the waste is recovered or disposed of, to provide, in accordancewith Article 16(4), a certificate that the waste has been recovered or disposed of, in
accordance with the notification and the conditions specified therein and therequirements of this Regulation.

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4.

Where the waste shipped is destined for interim recovery or interim disposal operations,the contract shall include the following additional obligations:(a)on the facility to provide, in accordance with Article 15(4), and, where appropriate,
Article 15(5), the certificate(s) from the facility or facilities carrying out the noninterim recovery or disposal operation(s), that all waste received in accordance with
the notification and the conditions specified therein and the requirements of thisRegulation, has been recovered or disposed of, specifying where possible thequantity and type of waste covered by each certificate;(b)on the consignee to submit, where applicable, a notification to the initial competentauthority of the initial country of dispatch in accordance with Article 15(7).

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 that 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 therequirement of a financial guarantee or equivalent 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.

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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 byanother natural or legal person on its behalf and shall be effective at the time of thenotification or, if the competent authority which approves the financial guarantee or
equivalent insurance so allows, at the latest at the time of completion of the movement
document according to Article 16(2) . 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 approve the financial guarantee or equivalent
insurance, including the form, wording and amount of the cover.
▌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 competentauthority that has approved it has received the certificate referred to in Article 16(4) or,
where appropriate, the certificate referred to in Article 15(5) as regards interim recovery
operations or interim disposal operations.

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6.

By way of derogation from paragraph 5, where the waste shipped is destined for interim
recovery operations or interim disposal operations and a further recovery operation or
disposal operation takes place in the country of destination, the competent authorities ofdispatch and destination may agree that the financial guarantee or equivalent insurance
shall be released when the competent authority concerned has received the certificate
referred to in Article 15(4). In that case, the competent authorities which decide to release
the financial guarantee or equivalent insurance shall immediately inform the othercompetent authorities concerned of their decision and 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 those circumstances, the competent authority ofdestination shall be responsible for obligations arising in the case of take-back where theshipment or the further recovery or disposal operation cannot be completed as intended, as
referred to in Article 22, or in the case of an 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 for 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 13, a financial guarantee or
equivalent insurance covering parts of the general notification may be established, insteadof 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 thetime of completion of the movement document according to Article 16(2) .

9.

The financial guarantee or equivalent insurance referred to in paragraph 8 shall be
released when the competent authority that has approved it has received the certificate
referred to in Article 16(4) or, where appropriate, in Article 15(5) as regards interim
recovery or interim disposal operations for the relevant waste. Paragraph 6 shall apply
mutatis mutandis.

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10.

The Commission shall assess the feasibility of establishing a simple, risk-based andharmonised calculation method for determining the amount of financial guarantees or
equivalent insurances and, if appropriate, adopt an implementing act to establish such asimple, risk-based and harmonised calculation method. That implementing act shall be
adopted in accordance with the examination procedure referred to in Article 77(2).
In carrying out the assessment referred to in the first subparagraph the Commission shalltake into account, inter alia, the relevant rules of the Member States relating to thecalculation 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 to in Article 5(4), the competentauthority of dispatch shall request information and documentation from the notifier inaccordance with Article 5(3) and where applicable with Article 5(3b).

1a.

The request for information and documentation referred to in paragraph 1 shall be
submitted to the notifier as soon as possible, but no later than 10 working days after
submission of the notification.

2.

The notifier shall provide the information and documentation referred to in paragraph 1 assoon as possible, and no later than 10 working days after the request by the competentauthority of dispatch. If requested by the notifier, the competent authority of dispatch
may extend this period by a reasonable time if the notifier provides motivated reasonsthat this is necessary to be able to provide the requested information and documentation.

3.

Where the competent authority of dispatch considers that the notification is still notproperly carried out as referred to in Article 5(4), or additional information anddocumentation as referred to in Article 5(3b) is still required, it may as soon as possible,and no later than seven working days after the end of the period as mentioned inparagraph 2, make up to two more requests for information and documentation from thenotifier. For such a request, paragraph 2 shall apply mutatis mutandis.

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3a.

The competent authority of dispatch may decide that the notification is not valid and shallnot be further processed, if the information and documentation provided is not sufficientor where no information has been provided by the notifier, within the deadline set out inparagraph 2, or where a first request pursuant to paragraph 3 was made, within thedeadline set out in that paragraph.
The competent authority of dispatch shall decide that the notification is not valid andshall not be further processed, if the information and documentation provided upon the
final request made in accordance with paragraph 3, is not sufficient or where no
information has been provided by the notifier, within the deadline set out in paragraph 3.
The competent authority of dispatch shall inform the notifier and the other competentauthorities concerned of that decision as soon as possible, but no later than sevenworking days after the end of the period as mentioned in paragraph 2, or, whereapplicable, paragraph 3.

4.

Where the competent authority of dispatch considers that the notification has been
properly carried out, as referred to in Article 5(4), it shall, as soon as possible, but no later
than 10 working days after submission of the properly carried out notification, or withinseven working days after the end of the period as mentioned in paragraph 2, or, whereapplicable, paragraph 3, respectively inform the notifier and other competent authorities
concerned thereof.

4a.

Where the competent authority of destination or any competent authority of transit
consider that information and documentation in accordance with Article 5(3) oradditional information and documentation as referred to in Article 5(3b) is required , itshall, as soon as possible, but no later than 10 working days after receipt of theinformation as referred to in the paragraph 4, request such information and documentationfrom the notifier and inform the other competent authorities of that request.

5.

The notifier shall provide the information and documentation referred to in paragraph 4a,
as soon as possible, but no later than 10 working days after the request by the competentauthority concerned.

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If requested by the notifier, the competent authority concerned may extend this period bya reasonable time, if the notifier provides motivated reasons that this is necessary to beable to provide the requested information and documentation.
5a.

Where the competent authority of destination or any competent authority of transit
consider that information and documentation in accordance with Article 5(3) oradditional information and documentation as referred to in Article 5(3b) is still required,the competent authority concerned may as soon as possible, but no later than sevenworking days after the end of the period as mentioned in paragraph 5, make up to two
more requests for information and documentation from the notifier according toparagraph 4a. For such a request, paragraph 5 shall apply mutatis mutandis.

5b.

The competent authority of destination or any competent authority of transit may decidethat the notification is not valid and shall not be further processed if the information anddocumentation provided is not sufficient or where no information has been provided by
the notifier, within the deadline set out in paragraph 5, or where a first request pursuant
to paragraph 5a was made, within the deadline set out in that paragraph.
The competent authority of destination or any competent authority of transit shall decidethat the notification is not valid and shall not be further processed if the information anddocumentation provided upon the final request made in accordance with paragraph 5, is
not sufficient or where no information has been provided by the notifier, within thedeadline set out in paragraph 5.
▌
The competent authority of destination or any competent authority of transit shall informthe notifier and the other ▌ competent authorities concerned of that decision ,as soon as
possible, but no later than seven working days after the end of the period as mentioned
in paragraph 5, or, where applicable, paragraph 5a.

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5c.

The competent authority of destination or any competent authority of transit shallinform the notifier and the other competent authorities concerned that it is satisfied withthe properly carried out notification as soon as possible, and no later than three working
days after receipt of the information as referred to in paragraph 4 or that it is satisfied
with the information and documentation as soon as possible, and no later than threeworking days after the requested information and documentation have been provided by
the notifier pursuant to paragraph 5 and, where relevant, paragraph 5a.

5d.

Where the notification has been properly completed, as referred to in Article 5(5), taking
into account the information as referred to in paragraph 5c, the competent authority ofdestination shall immediately inform the notifier and the competent authority of dispatch
and any competent authority of transit concerned.

6.

Where, within 30 working days starting from the day after the submission of thenotification or the information and documentation has been provided in accordance withparagraphs 2 or 3, the competent authority of dispatch has not acted in accordance withparagraphs 1, 3a or 4, it shall provide the notifier with a motivated explanation uponrequest.
Where, within 30 working days after the end of the period as mentioned in paragraph 4a,
or after information and documentation has been provided in accordance withparagraphs 5 or 5a, the competent authority of destination or any competent authority oftransit has not acted in accordance with paragraph 4a or paragraphs 5a, 5b, 5c or 5d, it
shall provide the notifier with a motivated explanation upon request.

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Article 9
Consents by the competent authorities and time periods for shipment, recovery or disposal
1.

The competent authorities of destination, dispatch and transit shall take, within 30 days
after the date on which the notifier has been informed in accordance with Article 8(5d)that the notification has been properly completed, one of the following duly motivateddecisions as regards the notified shipment:(a)consent without conditions;(b)consent with conditions in accordance with Article 10;(c)objections in accordance with Article 12;(d)

not to consent, where the conditions in accordance with Article 11 are not fulfilled.

By way of derogation, a competent authority concerned may take a decision inaccordance with points (c) or (d) of the first subparagraph before the date on which thenotifier has been informed in accordance with Article 8(5d), once the notification has
been properly carried out, as referred to in Article 5(4).
By way of derogation, the competent authority of dispatch may take a decision inaccordance with points (c) or (d) of the first subparagraph after having received thenotification and before having considered it properly carried out, if it is evident that theconditions in Article 11 are not fulfilled or that there are grounds for objection inaccordance with Article 12.
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2.

The competent authorities of dispatch, destination, and, where appropriate ▌ transit, shallsubmit their decision and the reasons therefore to the notifier within the 30-day time limit
referred to in the first subparagraph of paragraph 1, and inform the other competentauthorities concerned of that decision. . The competent authority shall immediately
inform the notifier and the other competent authorities concerned of decisions taken inaccordance with the second and third subparagraphs of paragraph 1.
Tacit consents referred to in the fourth subparagraph of paragraph 1 shall be valid forthe period as indicated in the written consent in accordance with the first subparagraphgiven by the competent authority of destination.
Where, within 30 days after the date on which the notifier, the competent authority of
dispatch or a competent authority of transit concerned has been informed in accordancewith Article 8(5d), any of the competent authorities concerned has not taken a decision inaccordance with the first subparagraph of paragraph 1 ▌ it shall provide the notifier witha motivated explanation upon request.

2a.

If a notifier submits a notification according to Article 5 or a general notificationaccording to Article 13, to ship, compared to a consented notification, the same type ofwaste from the same location in the country of dispatch to the same consignee and thesame facility and whereby the countries of transit, if any, are the same, the competentauthorities concerned shall take into consideration any information previously submitted
in accordance with Articles 5(2), (3) and (3b) or Articles 13(2) and (3) and take adecision in accordance with paragraph 1 of this Article as soon as possible.

3.

A written consent to a planned shipment shall expire on the earliest date at the end ofvalidity periods as indicated by the competent authorities concerned . It shall not cover a
period of more than one calendar year ▌ .

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4.

The planned shipment may take place only after fulfilment of the requirements set out in
Article 16(1), and (2), and during the period of validity of the tacit or written consent of allcompetent authorities concerned in accordance with paragraph 3 of this Article. The
waste shall have been received by the facility for recovery or disposal before the end of
the period of validity of the tacit or written consent of all competent authorities concerned.

5.

The recovery or disposal of waste in relation to a planned shipment shall be completed nolater than one calendar year 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 competentauthorities 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 notin accordance with the information supplied on, or annexed to, the notification andmovement documents;

7.

(e)

the termination of the financial guarantee;(f)the termination of the contract;(g)

on the request by the notifier.

The competent authority concerned shall inform the notifier, the other competentauthorities concerned and the consignee of any withdrawal of consent, including thereason for such withdrawal.

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8.

When a consent by any of the competent authorities concerned is withdrawn inaccordance with paragraph 6 the shipment or the treatment of waste shall, whereapplicable, not be allowed to continue and Articles 22 or 24 shall apply, as relevant.

Article 10
Conditions for a shipment1.

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 duly motivated and may be based on one or more of
the conditions listed in Article 11 or 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 ofwaste within their national jurisdiction. Such transport conditions shall not be more
stringent than those laid down in respect of similar shipments occurring wholly within theirnational 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 beconsidered withdrawn if the financial guarantee or equivalent insurance is not applicable atthe latest at the time of completion of the movement document according to Article 16(2), as required by Article 7(3).

4.

Conditions shall be specified in, or annexed to, the notification document by the competentauthority that lays them down.

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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 aregular 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 ofvalidity of the notification. Such records shall be signed by a person legally responsible forthe facility and shall be submitted to the competent authority of destination within one
month of completion of the notified recovery operation or disposal operation.

Article 11
Conditions for shipments 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 ofdestination shall only give their ▌ 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 disposed 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 Article 56 and the wastehierarchy and the principles of proximity and self-sufficiency ▌ as laid down in
Directive 2008/98/EC;

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(b)

the competent authorities concerned do not have information that the notifier orthe consignee have been convicted of illegal shipment or any other illegal act inrelation to environmental or human health protection in a period of 5 years prior to
the notification request;(c)the competent authorities concerned do not have information that the notifier orthe facility have not, in a period of 5 years prior to the notification request,
repeatedly failed to comply with Articles 15 and 16 in connection with past
shipments of waste;(ca) the Member State of destination has not exercised its right pursuant to Article 4(1)of the Basel Convention to prohibit the import of hazardous waste or of waste
listed in Annex II to that Convention;(cb) the planned shipment and disposal is in accordance with national legislation
relating to environmental protection, public order, public safety or healthprotection in the Member State where the competent authority is located;(d)the planned shipment or disposal does not conflict with obligations resulting frominternational 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 waste management plans drawn up pursuant to Article 28 of
Directive 2008/98/EC, 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 incompliance with the permit of the facility;(f)the waste is not mixed municipal waste collected from private households, fromother waste producers or both, or mixed municipal waste which has been subject to awaste treatment operation that has not substantially altered its properties.

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1a.

In the case where the notifier demonstrates that the waste concerned is produced in a
Member State of dispatch in such a small quantity overall per year that the provision of
new specialised disposal facilities within that Member State would not be economically
viable, the conditions set out in paragraph 1, points (a)(ii) and (iii) shall not apply.

2.

Where a competent authority of transit provides a consent to that shipment in accordancewith Article 9(1) only the conditions set out in paragraph 1, points (b), (c), (cb) and (d), of
this Article shall be considered.

▌4.

Consents by competent authorities in accordance with paragraph 1 shall be communicatedin the report in accordance with Article 69. The Commission shall inform all Member
States of such consents taken in the previous calendar year.

5.

By [OP: Please insert the date of 36 months following the date of entry into force of thisRegulation], the Commission shall adopt an implementing act establishing detailed
criteria for the uniform application of the conditions laid down in paragraph 1, point (a),to specify how technical feasibility and economic viability in points (a)(i) and (ii) of thatparagraph shall be demonstrated by notifiers and assessed by competent authorities.
This implementing act shall be adopted in accordance with the examination procedurereferred to in Article 77(2).

Article 12
Objections to shipments of waste destined for recovery
1.

Where a notification is submitted regarding a planned shipment of waste destined forrecovery in accordance with Article 5, the competent authorities of destination anddispatch may, within the 30-day time limit referred to in Article 9(1), raise motivatedobjections 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;

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(b)

the waste concerned will not be treated in accordance with waste management plansor waste prevention programmes drawn up by the countries of dispatch or
destination, respectively, pursuant to Articles 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 healthprotection concerning actions taking place in the country of the objecting competentauthority;(d)the planned shipment or recovery would not be in accordance with national
legislation in the country of dispatch relating to the recovery of waste as well as to
the recovery or disposal of residual waste generated through the recovery of thewaste concerned, including where the planned shipment would concern waste
destined for recovery in a facility which has lower treatment standards for theparticular 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 legislation, in particular related to waste, andrequirements that are at least as stringent as those laid down in that Union
legislation have been introduced in national legislation transposing such Union
legislation;(ii)

the recovery operation and the recovery or disposal of residual waste
generated through the recovery of the waste concerned in the country ofdestination takes place under conditions that are considered equivalent to thoseprescribed in the national legislation of the country of dispatch;(iii) the national legislation in the country of dispatch, other than that covered bypoint (i), has not been notified in accordance with Directive (EU) 2015/1535 of
the European Parliament and of the Council46, where required by that
Directive;

46

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 technicalregulations and of rules on Information Society services (OJ L 241, 17.9.2015, p. 1).

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(e)

limiting incoming shipments of waste destined for recovery operations other thanrecycling and preparing for re-use is necessary for a Member State in order to protect
its waste management network, where it is expected, based on available
information, that such shipments would result in domestic waste having to bedisposed of or treated in a way that is not consistent with their waste management
plans;(f)the notifier or the consignee has ▌ been convicted of illegal shipment or any otherillegal act in relation to environmental or human health protection in a period of 5
years prior to the notification request.

(g)

the notifier or the facility has, in a period of 5 years prior to the notification request,
repeatedly failed to comply with Articles 15 and 16 in connection with past
shipments;(h)the planned shipment or recovery conflicts with obligations resulting frominternational conventions concluded by the Member State(s) concerned or by theUnion;(i)the ratio of the recoverable and non-recoverable waste, the estimated value of thematerials to be finally recovered or the cost of the recovery and the cost of thedisposal 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 legallybinding recovery or recycling obligations established in Union legislation or thewaste will be treated in a facility which is covered by Directive 2010/75/EU, butwhich does not apply best available techniques as defined in Article 3(10) of that
Directive.

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2.

The competent authorities of transit may, within the 30-day time limit referred to inparagraph 1, raise motivated objections to the planned shipment of waste destined forrecovery based only on the grounds set out in paragraph 1, points (c), (f), (g) and (h), of
this Article.

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, theyshall 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 forrecovery shall cease to be valid. In cases where the notifier still intends to carry out theshipment, 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 Article and the reasons for these objections shall be communicated to theCommission in accordance with Article 69.

5a.

As referred to in Article 9(2), the competent authorities shall inform the notifier of thespecific reasons for their objection to a planned shipment of waste.

6.

The Member States of dispatch shall inform the Commission and the other Member Statesof the national legislation on which objections raised by competent authorities inaccordance with paragraph 1, point (d) , may be based, and shall state to which waste andrecovery operations as well as the recovery or disposal operations of residual waste
generated through the recovery of waste concerned those objections apply, before such
legislation is invoked as grounds for a motivated objection.

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The Member States of destination shall inform the Commission and the other Member
States of decisions or legislation on which objections raised by competent authorities inaccordance with paragraph 1, point (e), may be based and shall state to which waste andrecovery operations those objections apply, before such decisions or legislation is
invoked as grounds for a motivated objection.

Article 13
General notification
1.

The notifier may submit a general notification covering several shipments where all thefollowing requirements are fulfilled:(a)the waste contained in the different shipments has essentially similar physical andchemical characteristics as identified in accordance with Article 5(8a);(b)

the waste contained in the different shipments is shipped to the same consignee andthe same facility;(c)

the countries of transit, if any, are the same, and the routing of the different
shipments, is indicated in or annexed to the notification document and the locationfrom which the shipment starts is the same.

2.

The notifier may indicate in an annex attached to the notification document one or more
possible alternative routings. The movement document completed in accordance with
Article 16(2) shall provide information on which routing indicated in the notification
document that will be followed, including possible alternative routings, as indicated in
the notification document, in case of unforeseen circumstances.
▌

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3.

The competent authorities concerned may make their agreement to the use of a generalnotification subject to the subsequent provision of additional information anddocumentation, in accordance with Article 5(3) to (5)Article 14
Pre-consented recovery facilities
1.

A legal or natural person owning or exercising control over a recovery facility may submit
a request for that facility to be pre-consented to the competent authority which has
jurisdiction over the facility, as designated pursuant to Article 71.
Facilities that only perform operation R13, are not eligible for submitting a request as
referred to in the first subparagraph.

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 orcertifications with which the facility complies;(c)a description of technologies employed to ensure the environmentally soundrecovery of waste in the recovery facility, for which the pre-consent is requested,
including technologies designed to save energy and limit the emission ofgreenhouse gases linked to the activities of the facility;(ca) the R-code(s) as referred to in Annex II of Directive 2008/98/EC for the recovery
operation(s) for which the pre-consent is requested;(d)

the designation and composition of the waste, the physical characteristics and thewaste identification for the wastes for which the pre-consent is requested, as listed in
Annex IV to this Regulation and in the list of waste referred to in Article 7 of
Directive 2008/98/EC;

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(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;(ea) the quantity of residual waste generated through the recovery of the waste inrelation to the quantity of recovered material, and the planned method of recovery
or disposal for the residual waste;(f)

records of the activities of the facility linked to waste recovery, covering in particular
the amount and types 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 inrelation to waste management in a period of 5 years prior to the request, inparticular with regard to the protection of the environment or human health.

3.

The Commission is empowered to adopt delegated acts in accordance with Article 76 toamend 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 authority shall, within 55 days after the date of receipt of the request
referred to in paragraph 1 and containing the information as referred to in paragraph 2,
assess the request and decide whether to approve it.

6.

Where the legal or natural person referred to in paragraph 1 has provided all theinformation referred to in paragraph 2, the competent authority 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, the 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.

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7.

By way of derogation from paragraph 6, the competent authority may refuse to approve therequest for pre-consent when they are not satisfied that issuing the pre-consent will ensurethat the waste will be managed in accordance with the waste hierarchy and otherrequirements laid down in Directive 2008/98/EC and, where relevant, that best available
techniques are applied in accordance with conclusions established under Directive
2010/75/EU.

8.

The decision to approve or refuse the request for pre-consent shall be communicated to thelegal or natural person that submitted the request as soon as it is taken by the competentauthority and shall be duly motivated.

9.

The pre-consent of a recovery facility shall be valid for ten years, unless stated otherwise
in the decision to approve the request for pre-consent. During this period the competentauthority shall conduct at least one inspection in accordance with Article 57. Additional
inspections shall be conducted if needed pursuant to the risk-based assessment approachas referred to in Article 59.

10.

A pre-consent of a recovery facility may be revoked at any time by the competentauthority, if information becomes available which shows that the information provided inaccordance with paragraph 2 is false or that the conditions in paragraph 6 are no longer
fulfilled. 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 thecompetent authority concerned of any change in the information referred to in paragraph 2.
The competent authority concerned shall duly assess those changes ▌ and, if necessary,
update or revoke the pre-consent.

12.

In the case of a general notification submitted in accordance with Article 13 relating toshipments destined to a pre-consented facility, the period of validity of the consent referred
to in Article 9(3) shall be extended to three years. By way of derogation from this rule, thecompetent authorities concerned may decide to shorten that period in duly justified cases.

13.

The competent authorities that have issued a pre-consent to a facility in accordance withthis Article shall, using the form set out in Annex VI, inform the Commission and, whereappropriate, the OECD Secretariat of the following:

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(a)

the name, registration number and address of the recovery facility;(b)a description of the technologies employed, and the R-code(s) as referred to in
Annex II of Directive 2008/98/EC;

14.

(c)

the waste identification for 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.

By way of derogation from Articles 9, 10 and 12, the consent given in accordance with
Article 9(1), the conditions imposed in accordance with Article 10 or the objections raisedin accordance with Article 12 by all the competent authorities concerned in respect to a
notification for shipments destined to a pre-consented facility shall be subject to a time
limit of seven working days after the date on which the notifier has been informed inaccordance with Article 8(5d) that the notification has been properly completed.

15.

If one or more competent authorities wish to request additional information in accordancewith Article 8(1a), (3), (4a) or (5a), in relation to a notification for shipments to a preconsented facility, the time periods mentioned in those paragraphs, as well as inArticle 8(2) and (5), shall be shortened to(a) five working days for Article 8(1a), (2), (4a) and (5), and(b) three working days for Article 8(3) and (5a).

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16.

Notwithstanding paragraph 14, a competent authority concerned may decide that moretime is needed in order to receive further information or documentation from the notifier.
In such cases, that competent authority shall, within seven working days after the date on
which the notifier has been informed in accordance with Article 8(5d) that the
notification has been properly completed , inform the notifier and the other competentauthorities concerned.
The total time needed to take one of the decisions as referred to in Article 9(1) shall not
exceed 30 days after the date on which the notifier has been informed in accordance with
Art 8(5d) that the notification has been properly completed.

Article 15
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 as well as non-interim disposal operations areenvisaged shall also be indicated in the notification document in addition to the initialinterim recovery operation or interim disposal operation.

2.

The competent authorities of dispatch and destination may give their consent to a shipmentof waste destined for an interim recovery operation or interim disposal operation only ifthey consider the conditions in Article 11 fulfilled or if they do not find reason to raise
an objection, in accordance with Article 12, concerning the shipment(s) of waste to thefacilities performing any subsequent interim or non-interim recovery operations or interim
or non-interim disposal operations.

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3.

Within two working days of the receipt of the waste by the facility which carries out theinterim recovery operation or interim disposal operation, that facility shall provide
confirmation to the notifier and the competent authorities concerned 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 thisoperation shall, under its responsibility, provide a certificate to the notifier and thecompetent authorities concerned that the operation has been completed. This certificate
shall be supplied on or annexed to the movement document.
▌

5.

When a recovery or disposal facility which carries out an interim recovery operation orinterim disposal operation delivers the waste for any subsequent interim or non-interim
recovery operation or interim or non-interim disposal operation to a facility located in the
country of destination, it shall obtain as soon as possible and no later than one calendar
year, or the shorter period referred to in Article 9(5), after delivery of the waste acertificate from that facility that the subsequent interim and non-interim recovery andinterim and non-interim disposal operation has been completed.
The said facility that carries out an interim recovery operation -or interim disposal
operation shall promptly transmit, the relevant certificates to the notifier and the competentauthorities concerned, identifying the shipments to which the certificates pertain.

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5a.

In order to ensure the consistency of the content of the certificate in the firstsubparagraph of paragraph 5 throughout the Union, the Commission shall, in good time
before adopting the implementing act according to Article 26(4), and at the latest by[OP: Please insert date of twelve months after the date of entry into force of thisRegulation], adopt a delegated act supplementing this Article establishing theinformation to be provided in such a certificate. That delegated act shall be adopted inaccordance with Article 76.

6.

When a delivery as described in paragraph 5 is made to a facility located in the initialcountry of dispatch or in another Member State, a new notification shall be required inaccordance with this Regulation, in case it concerns shipments of waste as referred to in
Article 4(1) or (2).

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, in case it concerns
shipments of waste as referred to in Article 4(1) or (2), and the provisions concerning thecompetent authorities concerned shall also apply to the initial competent authority of theinitial country of dispatch.

Article 16
Requirements following consent to a shipment
1.

After consent has been given to a notified shipment by the competent authorities
concerned, all undertakings involved shall complete the movement document, or, in thecase of a general notification, the movement documents at the points indicated. They shallensure that the information in the movement document is made electronically available inaccordance with Article 26, including during the time of the transport, to the other naturaland legal persons involved in the shipment, the competent authorities concerned and theauthorities involved in inspections.

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2.

When the notifier has received written consent from the competent authorities of dispatch,
destination and transit or may assume tacit consent in relation to the competent authorityof transit, he or she shall provide the actual date of shipment and complete the movement
document to the extent possible, in accordance with the instructions for completing thenotification and movement documents in Annex IA and IB according to Article 5(3a),and submit it to the competent authorities concerned and to the consignee, at least twoworking days before the shipment starts. As an exception, information on the actual
quantity of the waste, carrier(s) and, if applicable, container identification number may
be submitted at the latest before the actual start of the shipment.

2a.

The notifier shall ensure that, in addition to the obligation set out in paragraph 1, thenotification document containing the written consents of and the conditions given by thecompetent authorities concerned are made electronically available, including during thetime of the transport, to the competent authorities concerned and to the authorities
involved in inspections.

2b.

Where the documents referred to in paragraphs 1 and 2a cannot be made available
online during the transport, the notifier and the carrier(s) shall ensure that the
documents are available offline in the transport vehicle. In such cases, the notifier shallensure that any changes or additions to the documents during the transport are
submitted to a system as mentioned in Article 26.

3.

The facility shall, within two working days of receipt of the waste, provide confirmation to
the notifier and the competent authorities concerned that the waste has been received. Thisconfirmation shall be supplied on, or annexed to, the movement document.

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 that operation, and no later
than one calendar year, or the shorter period referred to in Article 9(5), after receipt of thewaste, certify, under its responsibility, that the non-interim recovery or disposal has been
completed.

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5.

The certificate referred to in paragraph 4, shall be submitted to the notifier and thecompetent authorities concerned.

Article 17
Changes after consent
1.

If any essential change is made to the details or conditions of the consented shipment, thenotifier shall inform, the competent authorities concerned and the consignee immediately
and, where possible, before the shipment starts. Essential changes include, but are notlimited to, changes in the intended quantity of waste, in the routing, including possible
alternative routings, date of shipment or carrier(s) compared to those indicated in the
notification, or to the duration of the shipment due to unforeseen circumstances
occurring after the start of the shipment, leading to the shipment exceeding its period ofvalidity.

2.

In cases of essential changes referred to in paragraph 1, a new notification shall be
submitted, unless all the competent authorities concerned inform the notifier, that the
proposed changes do not require a new notification. The competent authorities concerned
shall inform the notifier as soon as possible but no later than five working days after
receipt of the information. The planned shipment shall not take place until the notifier
has been informed by the competent authorities concerned. Where a shipment has
already started, the notifier shall ensure that its movement is halted as soon aspracticable until being informed by the competent authorities concerned whether a new
notification is required.

3.

Where essential changes referred to in paragraph 1 involve competent authorities otherthan those concerned in the original notification, a new notification shall be submitted.

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Chapter 2General information requirements

Article 18
Waste to be accompanied by certain information
1.

Waste referred to in Article 4(3) and (4) that is intended to be shipped shall be subject tothe general information requirements set out in paragraphs 1a to 7 of this Article.

1a.

A shipment referred to in paragraph 1 may only be arranged by a person who arranges ashipment referred to in Article 3, points (6a)(ii), (iii) and (iv) when it has obtained apermit or is registered in accordance with Chapter IV of Directive 2008/98/EC.

1aa.

A person who arranges a shipment shall only ship waste to a waste recovery facility
which has obtained a permit or registration in accordance with Chapter IV of Directive
2008/98/EC. The facility has to present the permit or proof of registration to the person
who arranges the shipment before the shipment occurs.

1b.

All undertakings involved shall complete the relevant information contained in Annex
VII at the points indicated and ensure that the information is made electronicallyavailable in accordance with Article 26, including during the time of the transport, to theother persons involved in the shipment, the competent authorities concerned and theauthorities involved in inspections.
When the person who arranges the shipment is not the original waste producer referred
to in Article 3, point (6a)(i), the person who arranges the shipment shall ensure that theoriginal waste producer or one of the persons indicated in Article 3, points (6a)(ii), (iii)or (v), where practicable, also signs the Annex VII document.

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2.

The person ▌ who arranges the shipment shall complete ▌ the relevant information
contained in Annex VII to the extent possible, no later than two working days before theshipment starts. As an exception, information on the actual quantity of the waste,carrier(s) and, if applicable, container identification number may be submitted at thelatest before the actual start of the shipment.

2a.

Where the information referred to in paragraph 1b and 2 cannot be made available
online during the transport, the person who arranges the shipment and the carrier(s)shall ensure that the information is available by other means in the transport vehicle,
provided that the information is consistent with the information made available
electronically in accordance with paragraph 1b and 2. In such cases, the person who
arranges the shipment shall ensure that any changes or additions to the documents
during the transport are submitted to a system as mentioned in Article 26.

2b.

Where a shipment of waste is destined for an interim recovery operation, the facility
where the interim or non-interim operations directly following the initial interim
operation and the R-codes of these operations, shall also be indicated in the Annex VII
document in addition to the initial interim recovery operation, as well as, wherepracticable, the facilities where subsequent interim as well as non-interim recovery
operations are envisaged and the R-codes of these operations.

▌4.

The recovery facility or the laboratory shall, within two working days of receipt of thewaste, provide confirmation to the person who arranges the shipment that the waste has
been received by completing the relevant information contained in Annex VII. In casethe recovery facility or the laboratory have no access to a system referred to in Article
26, they shall provide the confirmation via the person who arranges the shipment.

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5.

The recovery facility shall, as soon as possible and no later than 30 days after completionof the recovery operation, and no later than one calendar year after receipt of the waste,certify, under its responsibility, that the recovery has been completed by completing therelevant information contained in Annex VII. In case the recovery facility has no accessto a system referred to in Article 26, it shall provide the confirmation via the person who
arranges the shipment.

▌
7.

All shipments of waste referred to in Article 4(3) and (4) shall be subject to therequirement of the conclusion of a contract between the person who arranges the
shipment and the consignee for the recovery of the waste. If the consignee is not theoperator of the facility, the contract shall also be signed by the operator of the facility.
The contract referred to in the first subparagraph shall be concluded and effective at thelatest at the time when the information contained in Annex VII is completed inaccordance with paragraph 2 and for the duration of the shipment until a certificate isissued in accordance with paragraph 5.
The contract shall be consistent with the corresponding Annex VII document(s) and at
least contain information on the person who arranges the shipment, the consignee andthe facility, together with an identification of persons representing each party, thedescription of the waste, the waste identification codes, the quantity of waste covered by
the contract, the recovery operation and the period of validity of the contract.
The contract shall include an obligation, where the shipment of waste or its recovery
cannot be completed as intended or where it has been effected as an illegal shipment, on
the person who arranges the shipment or, where that person is not in a position tocomplete the shipment of waste or its recovery, on the consignee, to take the waste backor ensure its recovery in an alternative way; and to provide, if necessary, for its storage
in the meantime.

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8.

The person who arranges the shipment or the consignee shall provide a copy of thecontract referred to in paragraph 7 and of any agreement according to Article 4(4) to theauthorities involved in inspections upon their request.

9.

The information required in Annex VII shall be available for inspection, enforcement,planning and statistical purposes by Member States and the Commission, in accordancewith Article 26 and national legislation.

10.

The information referred to in paragraphs 2 to 5 shall be treated as confidential where thisis 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 that legal
entity. That declaration shall cover mutatis mutandis the obligations referred to inparagraph 7.

12.

At the latest by [OP: Please insert the date of 24 months following the date of entry into
force of this Regulation], the Commission is empowered to adopt a delegated act inaccordance with Article 76 to supplement this Regulation by setting out instructions on
how to complete the document in Annex VII.

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 18, shall not be mixed
with other waste or other substances or objects.

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Article 20
Keeping of documents and information
1.

The competent authorities, the notifier, the consignee and the facility which receives thewaste shall keep in the Union all information and documents submitted or exchanged inrelation to notified shipments for at least five years from the date when a certificate
according to Articles 15(4) or 16(4) has been provided. In the case of general notificationsin accordance with Article 13, that obligation shall apply from the date when the lastcertificate according to Articles 15(4) or 16(4) has been provided.

2.

Information provided pursuant to Article 18 shall be kept in the Union for at least five
years from the date when a certificate according to Article 18(5) has been provided , by
the person who arranges ▌ the shipment, the consignee and the facility which receives thewaste.

3.

The competent authorities shall keep in the Union all information and documents
submitted or exchanged in relation to illegal shipments for at least five years from thedate when a take-back or alternative recovery or disposal has been completed.

Article 21
Publication of information on notifications of shipments and on shipments of waste subject tothe general information requirements
The Commission shall publish the information on notifications of shipments and on
shipments of waste subject to the general information requirements contained in Annex
XIa via its website and update it on a monthly basis. The Commission shall for that
purpose extract the relevant data from the central system as referred to in Article 26.

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Chapter 4
Take-back obligations

Article 22
Take-back when a consented shipment cannot be completed as intended
1.

Where any of the competent authorities concerned becomes aware that a shipment ofwaste, or its recovery or disposal, to which the competent authorities concerned has
given consent, cannot be completed as intended in accordance with the terms of thenotification and movement documents or contract referred to Article 6 and where such
shipment is not an illegal shipment, it shall immediately inform the competent authorityof dispatch thereof. Where a recovery or disposal facility 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 inparagraph 3, the waste in question is taken back to its area of jurisdiction or elsewhere
within the country of dispatch by the notifier, or, where relevant, by a person deemed tobe the notifier in accordance with paragraphs 10 or 10a in order to arrange for its
disposal or recovery. Where that is impracticable, that competent authority itself or anatural 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 suchother period as may be agreed between the competent authorities concerned, after thecompetent authority of dispatch becomes aware or has been advised by the competentauthorities 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 ofdestination or transit, inter alia, by other competent authorities.

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3.

The take-back obligation set out in paragraph 2 shall not apply if the competent authorities
of dispatch, transit and destination concerned are satisfied that the waste can be recoveredor disposed of in an alternative way in the country of destination or elsewhere by the
notifier, or, where relevant, by a person deemed to be the notifier in accordance withparagraphs 10 or 10a, or, if that is impracticable, 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, inthe course of the operation at the facility concerned, been irreversibly mixed with otherwaste, so that its composition or nature has changed or can no longer be separated
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 berecovered or disposed of in an alternative way in accordance with the first subparagraph ofthis paragraph.

3a.

In cases of alternative arrangements as referred to in paragraph 3, the notifier, or,where relevant, the person deemed to be the notifier in accordance with paragraphs 10
or 10a, or, if that is impracticable, the competent authority of dispatch or the natural or
legal person on its behalf, shall ensure that the waste concerned is managed in anenvironmentally sound manner and in accordance with Article 56.

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, where
relevant, a person deemed to be the notifier in accordance with paragraphs 10 or 10a, or,if that is also impracticable, by the initial competent authority of dispatch or by a naturalor legal person on its behalf.
The competent authorities shall not oppose or object to the return of waste from a shipmentthat cannot be completed as intended or to the related recovery and disposal operation.

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5.

In cases of alternative arrangements outside the initial country of destination as referred toin paragraph 3, a new notification, where appropriate, shall be submitted by the initial
notifier or, where relevant, a person deemed to be the notifier in accordance withparagraphs 10 or 10a or, if that is impracticable, by the initial competent authority of
dispatch 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 thecompetent authority of the initial country of dispatch.

6.

In cases of alternative arrangements in the initial country of destination as referred to inparagraph 3, a new notification shall not be required and a duly motivated request shallsuffice. Such a duly motivated request, seeking agreement to the alternative arrangement,
shall be submitted to the competent authorities of destination and dispatch by the initial
notifier or, if that is impracticable, to the competent authority of destination by the initialcompetent authority of dispatch.

7.

If no new notification is to be submitted in accordance with paragraphs 4 or 6, a new
movement document shall be completed in accordance with Article 15 or Article 16 by the
initial notifier or, where relevant, a person deemed to be the notifier in accordance withparagraphs 10 or 10a or, if that is impracticable, 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 dispatch inaccordance with paragraphs 4 or 5, a new financial guarantee or equivalent insurance shallnot be required. ▌8.

The obligation of the notifier and the subsidiary obligation of the country of dispatch totake the waste back or arrange for alternative recovery or disposal shall end when thefacility issues the certificate of non-interim recovery or disposal referred to in
Article 16(4), or, where appropriate, in Article 15(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 referred to in Article 15(4).

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Where a facility issues a certificate of recovery or disposal in such a way that it results in
an illegal shipment, with the consequence that the financial guarantee is released,
Article 24(4) and Article 25(2) shall apply.
9.

Where waste from a shipment which cannot be completed as intended, or 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
arrangements 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-backobligations set out in this Article and Article 23, the original waste producer, the newwaste producer or the collector specified in Article 3, points (6)(a)(i), (ii) or (iii),
respectively who authorised the dealer or broker to act on its behalf shall be deemed to be
the notifier for the purposes of those take-back obligations.

10a.

Where a notifier specified in Article 3, points (6)(a)(i), (ii) or (iii), fails to fulfil any of the
take-back obligations set out in this Article and Article 23, the waste holder specified in
Article 3, point (6)(a)(v), shall be deemed to be the notifier for the purpose of those takeback obligations.

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Article 22a
Take-back when a shipment subject to general information requirements cannot be completed asintended1.

In the case a shipment referred to in Article 4(3) or (4) cannot be completed as intended,in accordance with the information contained in Annex VII or the contract referred to
Article 18(7), and where such shipment is not an illegal shipment, the person who hasarranged the shipment in accordance with Article 18 shall immediately inform thecompetent authority of dispatch thereof. In such cases, the person who arranges the
shipment or the consignee, following the obligations of the contract referred to in Article
18(7), shall take the waste back to the country of dispatch or ensure its recovery in analternative way in the country of destination or elsewhere, and ensure, if necessary, that
arrangements are made for the safe storage of the waste pending its return or noninterim recovery or disposal in an alternative way.
The take-back or recovery of the waste in an alternative way shall take place within 90
days or any other period agreed between the competent authorities concerned after thedate on which the person who arranges the shipment informed the competent authorityof dispatch in accordance with the first subparagraph.

1a.

In cases of alternative arrangements as referred to in paragraph 1, the person who
arranges the shipment or the consignee, as relevant, shall ensure that the waste
concerned is managed in an environmentally sound manner and in accordance with
Article 56.

2.

In cases of take back or alternative arrangements outside the initial country ofdestination, as referred to in paragraph 1, relevant information contained in Annex VII
shall be completed and submitted by the initial person who has arranged the shipment inaccordance with Article 18. In case the shipment for take back or alternative
arrangements is subject to Article 4(1) or (2), Article 22 shall apply mutatis mutandis.

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3.

Where the competent authority of dispatch becomes aware that a shipment referred to in
Article 4(3) or (4) has not been completed as intended and that the obligations to take thewaste back or arrange for its alternative recovery in accordance with paragraph 1 havenot been fulfilled, the competent authority of dispatch shall take all necessary measures
to ensure that the person that has arranged the shipment takes the waste back orarranges for its recovery in an alternative way and ensures, if necessary, that
arrangements are made for the safe storage of the waste pending its return or noninterim recovery or disposal in an alternative way. Where it is impracticable for the
person that has arranged the shipment to fulfil the take-back obligations, theseobligations shall be fulfilled by a person deemed to be the person who arranges the
shipment in accordance with paragraphs 4 or 5, where relevant.

4.

Where a person who arranges the shipment specified in Article 3, point (6a)(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(6a)(i), (ii) or (iii), respectively who authorised the dealer or broker to act on its behalf
shall be deemed to be the person who arranges the shipment for the purpose of thosetake-back obligations.

5.

Where the person who arranges the shipment specified in Article 3, points (6a)(i), (ii) or(iii) fails to fulfil any of the take-back obligations set out in this Article and Article 23,
the waste holder specified in Article 3, point (6a)(v), shall be deemed to be the person
who arranges the shipment for the purpose of those take-back obligations.

6.

Where it is impracticable for the person that arranges the shipment or a person deemed
responsible in accordance with paragraphs 4 or 5 to fulfil the take-back obligations set
out in paragraph 3, the competent authority of dispatch or a natural or legal person on
its behalf shall comply with this Article.

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Article 23
Costs for take-back when a shipment cannot be completed as intended
1.

Costs arising from the return of waste from a shipment that cannot be completed asintended, 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 ashipment of waste or its recovery or disposal cannot be completed as intended, storage
costs pursuant to Article 22(9) shall be charged in accordance with the following order:(a)to the initial notifier or, if impracticable, to the person referred to in point (b);(aa) to a person deemed to be the notifier in accordance with Article 22(10) or (10a),where relevant; or, if that is also impracticable, to the person referred to in point
(b);
(b)

to other natural or legal persons as appropriate; or ▌ if that is also impracticable, in
accordance with point (c);(c)

to the competent authority of dispatch; or, if that is also impracticable in accordancewith point (d);

(d)
1a.

as otherwise agreed between the competent authorities concerned.

Before charging costs to someone else than the initial notifier the financial gurantee or
equivalent insurance referred to in Article 7 shall be used. If there is no financial
guarantee or if the costs exceed the amount of the cover of the financial guarantee or
equivalent insurance the costs shall be charged following the order indicated inparagraph 1(a) to (d).

1b.

This Article shall apply mutatis mutandis to costs arising from the take-back oralternative recovery of wastes in accordance with Article 22a.

2.

This Article shall be without prejudice to Union and national provisions concerning
liability.

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Article 24
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, thecompetent authority of dispatch shall ensure that the waste in question is:(a)taken back by the notifier or, where relevant, by a person deemed to be the notifierin accordance with paragraphs 3 or 3a, in order to arrange for its disposal orrecovery; or if impracticable, in accordance with point (c); or if no notification has
been submitted, in accordance with point (b);(b)

taken back by a person deemed to be the notifier, in accordance with Article 3,
point (6), or, where relevant, by a person deemed to be the notifier in accordancewith paragraphs 3 or 3a; in order to arrange for its disposal or recovery; or ▌ if thatis impracticable, 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; ▌2a.

The take-back obligation set out in paragraph 2 shall not apply if the competentauthorities of dispatch, transit and destination concerned and, where relevant, thenotifier or person deemed to be the notifier, agree and are satisfied that the waste canbe:(a)alternatively recovered or disposed of in the country of destination, transit ordispatch by the notifier or, where relevant, by a person deemed to be the notifier inaccordance with paragraphs 3 or 3a, or, if that is impracticable, by competentauthority of dispatch itself or by a natural or legal person on its behalf; or, if that is
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(b)

alternatively recovered or disposed of in another country by the notifier or, where
relevant, by a person deemed to be the notifier in accordance with paragraphs 3 or
3a, or, if that is impracticable, by the competent authority of dispatch itself or by anatural or legal person on its behalf if all the competent authorities concerned agree.

In case of export or import, an alternative recovery or disposal agreed upon pursuant to
the first subparagraph shall only take place if the take-back according to paragraph 2 isimpracticable.
2aa.

In cases of alternative arrangements as referred to in paragraph 2a, the notifier, or,where relevant, the person deemed to be the notifier in accordance with paragraphs 3 or
3a, or, if that is impracticable, the competent authority of dispatch or the natural or legal
person on its behalf, shall ensure that the waste concerned is managed in anenvironmentally sound manner and in accordance with Article 56.

2b.

The take-back, recovery or disposal referred to in paragraphs 2 and 2a 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 advisedby the competent authorities of destination or transit of the illegal shipment and informedof the reasons therefore. Such advice may result from information submitted to thecompetent authorities of destination or transit, inter alia, by other competent authorities.
In cases of take-back as referred to in the paragraph 2, points (a), (b) and (c), a new
notification shall be submitted, unless the competent authorities concerned agree that aduly motivated request by the initial competent authority of dispatch is sufficient.
The new notification shall be submitted by the person or authority listed in the paragraph
2, 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 paragraph 2a, points (a)and (b), outside the country where the illegal shipment has been discovered, a new
notification shall be submitted by the person or authority listed in those points and inaccordance with that order .

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The competent authorities concerned shall cooperate, as necessary, to ensure that thewaste in question is taken back or alternatively recovered or disposed of as referred to inparagraphs 2 and 2a.
3.

Where a notifier specified in Article 3, point (6)(a)(iv), fails to fulfil any of the take-backobligations set out in this Article and Article 25, the original waste producer, the newwaste producer or the collector specified 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 those take-back obligations.

3a.

Where a notifier specified in Article 3, points (6)(a)(i), (ii) or (iii), fails to fulfil any of thetake back obligations set out in this Article and Article 25, the waste holder as specified
in Article 3, point (6)(a)(v), shall be deemed to be the notifier for the purposes of thosetake-back obligations.

4.

Where the responsibility of an illegal shipment can be imputed to the consignee, thecompetent 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 impracticable, 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 beenadvised by the competent authorities of dispatch or transit of the illegal shipment andinformed of the reason(s) therefore. Such advice may result from information submitted tothe 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.

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5.

Where no new notification is to be submitted, a new movement document shall becompleted in accordance with Articles 15 or 16 by the person responsible for take-back or,
if that is impracticable, by the initial competent authority of dispatch.
Where a new notification is submitted by the initial competent authority of dispatch, which
carries out the take-back in accordance with paragraph 2, point (c), 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 ensurethat 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 interim recovery operation or interim disposal
operation, the subsidiary obligation of the country of dispatch to take the waste back orarrange for alternative recovery or disposal shall end when the facility has issued thecertificate referred to in Article 15(4).
Where a facility issues a certificate of recovery or disposal in such a way that it results in
an illegal shipment, with the consequence that the financial guarantee is released,paragraph 4 of this Article and Article 25(2) shall apply.

8.

Where the waste of an illegal shipment is discovered within a Member State, thecompetent authority with jurisdiction over the area where the waste was discovered shallbe responsible for ensuring that arrangements are made for the safe storage of the waste
pending its return or non-interim recovery or disposal in an alternative way.

9.

Articles 34, 36, 37 and any export prohibitions contained in a delegated act referred to in
Article 42 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 inthose provisions.

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10.

In the case of a shipment of waste referred to in Article 4(3) or (4) that is considered to beillegal, the provisions of this Article shall apply mutatis mutandis to the person who
arranges the shipments and to the competent authorities concerned.

11.

This Article shall be without prejudice to Union and national provisions concerning
liability.

Article 25
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, pursuant to Article 24(2) or (2a) and, as of the date on
which the competent authority of dispatch becomes aware that a shipment is illegal,
storage costs pursuant to Article 24(8), shall be charged to:(a)the notifier or a person deemed to be the notifier, as referred to in Article 24(2),point (a); or, if impracticable, in accordance with point (c); or, if no notification has
been submitted, in accordance with point (b);(b)

the person deemed to be the notifier, as referred to in Article 24(2), point (b), or
other natural or legal persons as appropriate; or, if impracticable, in accordance withpoint (c);(c)
2.

the competent authority of dispatch.

Costs arising from recovery or disposal pursuant to Article 24(4), including possible
transport and storage costs pursuant to Article 24(8), shall be charged to the consignee; or,if impracticable, to the competent authority of destination.

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3.

Costs arising from recovery or disposal pursuant to Article 24(6), including possible
transport and storage costs pursuant to Article 24(8), shall be charged to:(a)the notifier or a person deemed to be the notifier in accordance with Article 24(2),point (b), Article 24(3) or Article 24(3a), and/or the consignee, depending upon thedecision by the competent authorities concerned; or, if impracticable, in accordancewith point (b);(b)

other natural or legal persons as appropriate; or, if that is also impossible, in
accordance with point (c);

(c)
3a.

the competent authorities of dispatch and destination.

In cases where a notification has been submitted and the notifier does not fulfill its
responsibilities for the costs being charged, the financial guarantee or equivalent
insurance referred to in Article 7 shall be used before charging costs in accordance withparagraphs 1, 2 or 3 to someone else than the notifier or the consignee respectively. If
the costs exceed the amount of cover of the financial guarantee or equivalent insurance,
the costs shall be charged following the order indicated in paragraphs 1, 2 and 3.

4.

In the case of a shipment of waste referred to in Article 4(3) or (4) that is considered to beillegal, the provisions of this Article shall apply mutatis mutandis to the person who
arranges the shipments and to the competent authorities concerned.

5.

This Article shall be without prejudice to Union and national provisions concerning
liability.

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Chapter 5General administrative provisions

Article 26
Electronic submission and exchange of information
1.

The following information and documents shall be submitted and exchanged via electronicmeans via the hub of the central system referred to in paragraph 2, or via other available
interoperable systems or software in accordance with paragraph 3:(a)

For waste as referred to in Article 4(1) and (2):(i)

notification of a planned shipment pursuant to Articles 5 and 13;(ii)

request(s) for information and documentation pursuant to Articles 5 and 8;(iii) ▌ information and documentation pursuant to Articles 5 and 8;(iv) information and decisions pursuant to Article 8;(v)

consent or objection to a notified shipment and, if applicable a withdrawal of aconsent thereof pursuant to Article 9;(vi) information and conditions for a shipment pursuant to Article 10;(via) information pursuant to Article 11;▌(viii) information and 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( ▌ 15);(xi) confirmations of receipt of the waste pursuant to Articles 15 and 16;

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(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 transport in accordance with Article 16;(xv) information pursuant to Article 17;▌(b)

For waste referred to in Article 4(3) and (4), information and documentation,
confirmation and certificates pursuant to Article 18;(c)information and documents related to the procedure of prior written notificationand consent and the general information requirements pursuant to Articles 31 and
32 and Titles IV, V and VI, where applicable.

1a.

In order to keep the list of information and documentation updated to the changes of thesystems for the exchange and submission under electronic means, the Commission isempowered to adopt delegated acts in accordance with Article 76 to amend paragraph 1
in order to modify the list of information and documentation thereof.

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 systemshall provide a hub that shall be used for the exchange in real time of the information anddocuments referred to in paragraph 1 between available systems or software for electronic
data interchange.
The hub referred to in the first subparagraph of this paragraph shall also be used for theexchange in real time of the information and documents referred to in paragraph 1 forshipments within the Union with transit via third countries, export from the Union,
import into the Union and transit through the Union, in case competent authorities,
customs offices of export, exit and entry, authorities involved in inspections andeconomic operators in third countries connect with that hub via an available system orsoftware, for which paragraph 3 applies mutatis mutandis, or via the website referred toin the third subparagraph of this paragraph.

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That central system shall also provide a website for preparing and processing informationand documents referred in paragraph 1 for shipments within the Union, for shipments
within the Union with transit via third countries, export from the Union, import into theUnion and transit through the Union that can be used by the competent authorities
involved in inspections and economic operators in the Member States and in third
countries that do not use systems or software for electronic data interchange, to submit
and exchange directly, by electronic means, the information and documents referred to inparagraph 1.
Software referred to in the first, second or third subparagraph of this paragraph shall beinteroperable with the central system referred to in paragraph 2, be operated inaccordance with the requirements and rules laid down in the implementing acts adopted
by the Commission pursuant to paragraph 4 and exchange information and documents
via the central system in real time.
The central system shall facilitate the keeping of documents in accordance with
Article 20.
That central system shall also provide for its interoperability with the environment forelectronic freight transport information established under Regulation (EU) 2020/1056 of
the European Parliament and of the Council47.
Within four years after adoption of the implementing act referred to in paragraph 4, theCommission shall ensure the interconnection of that central system with the European
Union Single Window Environment for Customs through the European Union Customs
Single Window - Certificate Exchange System established by Regulation (EU) 2022/2399
of the European Parliament and the Council48.

47
48

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).
Regulation (EU) 2022/2399 of the European Parliament and of the Council of 23
November 2022 establishing the European Union Single Window Environment for
Customs and amending Regulation (EU) No 952/2013 (OJ L 317, 9.12.2022, p. 1).

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3.

Member States may operate their own available systems or software that allow for
preparing and processing information and documents referred in paragraph 1 bycompetent authorities, authorities involved in inspections and, where appropriate,
economic operators in the Member States and for the electronic submission andexchange of information and documents referred to in paragraph 1. The Member Statesshall ensure that those systems or software are interoperable with the central systemreferred to in paragraph 2, are operated in accordance with the requirements and rules laid
down in the implementing acts adopted by the Commission pursuant to paragraph 4 andexchange information and documents via the hub of the central system in real time.
The systems referred to in the first subparagraph shall facilitate the keeping of
documents in accordance with Article 20.

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 toin paragraph 2 and other systems or software referred to in paragraph 3, including a
protocol for data exchange and a data model for the exchange of data in the
documents contained in Annexes IA, IB and VII, as well as the certificate referred
to in Article 15;(b)

any other technical and organisational requirements, including on security aspects,
data governance and data confidentiality, which are necessary for the practicalimplementation of the electronic submission and exchange of information anddocuments referred to in paragraph 1, taking into account the Regulation (EU)2016/67949.

Those implementing acts shall be adopted in accordance with the examination procedurereferred to in Article 77(2).

49Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April
2016 on the protection of natural persons with regard to the processing of personal dataand on the free movement of such data, and repealing Directive 95/46/EC (General Data
Protection Regulation) OJ L 119, 4.5.2016, p. 1–88.

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4a.

The functionality of the central system shall be reviewed by the Commission every two
years. The findings of these reviews shall be communicated to the European Parliament
and the Member States.
The review shall take into account feedback from users, such as competent authorities
and notifiers.

Article 27
Language1.

Any notification, information, documentation or other communication submitted pursuant
to the provisions of this Title shall be provided in a language acceptable to the competentauthorities concerned.

2.

The notifier, and where applicable, the person who arranges the shipment and theconsignee, shall provide the competent authorities concerned with authorised translationsof the communications referred to in paragraph 1 into a language which is acceptable tothem, where they so request.

3.

By [date of 4 years following the date of entry into force of this Regulation], theCommission shall incorporate a function into the central system referred to in
Article 26(2), which provides courtesy translations of the communications referred to inparagraph 1.

Article 28
Disagreement on classification issues
1.

(a) When deciding whether an object or substance resulting from a production process theprimary aim of which is not the production of that object or substance shall be considered
to be waste, Member States shall apply Article 5 of Directive 2008/98/EC.
(b) 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 apply
Article 6 of Directive 2008/98/EC.

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100EN(c) When deciding whether an object or substance shall be considered as a used goodand not as waste the Member States shall ensure that at least the following conditions
are fulfilled:(i)further use or reuse of the object or substance is certain;(ii)

the object or substance can fulfil its intended function without significant preprocessing;(iii)

where relevant, the object or substance is tested to ensure its full functionality;(iv) further use is lawful, i.e. the object or substance fulfils all relevant product,environmental and health protection requirements for the specific use and will notlead to overall adverse environmental or human health impacts;(v)

the object or substance is properly protected and preserved during transport,
loading and unloading.

The provisions in the first subparagraph shall be without prejudice to Article 23(2) andAnnex VI to Directive 2012/19/EU and Article 72(2) and Annex XIV to Regulation (EU)2023/1542.
1a.

If the competent authorities of dispatch and of destination cannot agree on theclassification as regards the distinction between waste and non-waste, taking into accountthe provisions in paragraph 1, and any conditions or decisions taken at Union level or by
Member States according to Articles 5 or 6 of Directive 2008/98/EC, 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 materialin accordance with its national legislation, following arrival of the shipped material andwhere such legislation is in accordance with Union or international law.

1b.

The Commission may adopt implementing acts in order to establish detailed criteria on
the uniform application of the conditions laid down in paragraph 1, point (c), to specificsubstances or objects for which the distinction between used goods and waste is ofparticular importance for the export of waste from the Union.

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Those implementing acts shall be adopted in accordance with the examination
procedure referred to in Article 77(2).
2.

If the competent authorities of dispatch and of destination cannot agree on theclassification of a waste destined for recovery as being listed in Annex III, Annex IIIA,
Annex IIIB or Annex IV, or not listed in any of those Annexes, the shipment of that waste
shall be subject to Article 4(2).

3.

If the competent authorities of dispatch and of destination cannot agree on theclassification of the waste treatment operation as being recovery or disposal, the provisionsof 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 delegatedacts in accordance with Article 76 to supplement this Regulation by establishing criteria,such as contamination thresholds, on the basis of which certain wastes shall be classified in
Annex III, Annex IIIA, Annex IIIB or Annex IV.

4a.

If the competent authorities of dispatch and destination cannot agree on theclassification of the waste treatment operation as interim operation or non-interim
operation, the provisions of this Regulation on interim operations shall apply.

Article 29
Administrative costs
Appropriate and proportionate administrative costs for implementing the notification andsupervision procedures and normal costs for appropriate analyses and inspections may becharged by the competent authorities concerned or authorities involved in inspections to
the notifier and, where relevant, the person who arranges the shipment. Member Statesshall notify the Commission of provisions applied at national level in relation to suchcosts. The Commission shall make the information received publicly available.

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Article 30
Border-area agreements
1.

In exceptional cases, and where the specific geographical or demographical situation
warrants such a step, Member States may conclude bilateral agreements making thenotification procedure for shipments of specific flows of waste less stringent in respect ofcross-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 isshipped from and treated in the country of dispatch but transits another Member State.

3.

Member States may also conclude bilateral agreements referred to in paragraph 1 withcountries members of the EFTA (European Free Trade Association).
Those agreements shall provide that the waste is managed in the EFTA country in anenvironmentally sound manner in accordance with Article 56.

4.

The agreements referred to in this Article shall be notified to the Commission before theytake effect.

Article 30a
Shipments between an outermost region and its Member StateBy way of derogation from Article 9(1) and (2), for shipments of waste between anoutermost region referred to in Article 349 of the Treaty on the Functioning of theEuropean Union and the Member State it is part of, requiring transit through anotherMember State, tacit consent by the competent authority of transit may be assumed if noobjection is lodged within seven working days after the date on which the notifier has
been informed in accordance with Article 8(5d) that the notification has been properly
completed. That tacit consent shall be valid for the period as indicated in the writtenconsent in accordance with Article 9(1) given by the competent authority of destination.

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Article 30b
Shipments of waste from Faroe Islands into Denmark
Denmark may adopt a decision to treat imports of waste from the Faroe Islands into
Denmark, which have not transited through any other country, under Article 33 of thisRegulation. This decision shall be notified to the Commission.

Chapter 6
Shipments within the Union with transit via third countries

Article 31
Shipments of waste destined for disposal
1. 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 provisions of Articles 4 to 17
and 19 to 29 shall apply mutatis mutandis, with the adaptations and additional
provisions set out in paragraphs 2 and 3.
2. The following adaptations shall apply:(-a) Article 35(2), points (a), (c), (ca) and (e) and Article 35(3), point (a), shall apply
mutatis mutandis;(a)where the third country is a Party to the Basel Convention, a competent authority oftransit outside the Union shall have 60 days after the date of transmission of its
acknowledgement of receipt of a properly completed notification to provide, if thecountry 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 orwithout conditions; or

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(b)

where the third country is not a Party to the Basel Convention, the competentauthority of dispatch shall ask the competent authority(ies) of transit in those third
countries whether they wish to send their written consent to the planned shipment
within a period agreed between 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 ▌ OECD Decision does not apply, and the waste is destined forrecovery, Article 31 shall apply.

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 provisions ofArticles 4 to 29 shall apply mutatis mutandis, with the following adaptations andadditional provisions:(a)Article 48(2), points (d) and (da), shall apply mutatis mutandis;(b)

the consent referred to in Article 9 may be provided tacitly by the competentauthority(ies) of transit outside the Union, and if no objection has been raised andany conditions laid down have been met , the shipment may start 30 days after thedate on which the notifier has been informed in accordance with Article 8(5d) thatthe notification has been properly completed, as referred to in Article 9(1) .

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Title III
Transports exclusively within a Member State

Article 33
Regime for transports of waste exclusively within a Member State
1.

Member States shall establish an appropriate regime for the supervision and control oftransports of waste 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 oftransports of waste. The Commission shall inform the other Member States thereof.

Title IV
Exports from the Union to third countries
Chapter 1
Exports of waste for disposal

Article 34
Prohibition of exports of waste destined for disposal
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.

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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(1) 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 in paragraph 1 shall not apply to waste that is subject to a take-backobligation pursuant to Articles 22 or 24.

Article 35
Procedures for exports of waste destined for disposal to EFTA countries
1.

Where waste is exported from the Union to an EFTA country 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 additional provisions set out in paragraphs 2
and 3.

2.

The following adaptations shall apply:(a)the notifier shall submit in accordance with Article 26 the notification and any
requested additional information and documentation ▌ , and at the same time,
provide these by post, or if appropriate, by fax or email with digital signature, to thecompetent authority of destination and any competent authority of transit ▌ outside
the Union, unless those authorities are connected to the central system referred to in
Article 26(2); in case of email with digital signature, any stamp or signature
required shall be replaced by the digital signature;▌

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(ba) the notifier shall provide, annexed to the notification document, documentary
evidence that an audit as referred to in Article 43(2) has been carried out in thefacility to which waste is being exported, unless the exemption in Article 43(8)applies;(c)

the competent authority of dispatch and any competent authority of transit in theUnion shall inform the competent authority of destination and any competentauthority of transit outside the Union of any request for information anddocumentation from its side and of their decision and conditions, if any, regarding
the planned shipment, by post, or if appropriate, by fax or email with digital
signature, unless those competent authorities are connected to the central systemreferred to in Article 26(2);(ca) the information to be provided to the competent authority of destination and any
competent authority of transit outside the Union according to Articles 7, 8, 16 and17 shall be provided by post, or if appropriate, by fax or email with digital
signature, unless those authorities are connected to the central system referred toin Article 26(2);(cb) the notifer shall ensure that the information to be provided by the facility
according to Article 15(3) to (5) and Article 16(3) and (4) is included in a systemreferred to in Article 26, unless those facilities are connected to the central systemreferred to in Article 26(2);(d)

a competent authority of transit outside the Union shall have 60 days after the dateof transmission of its acknowledgement of receipt of a properly completed
notification to provide, if the country concerned has decided not to require priorwritten consent and has informed the other Parties to the Basel Convention thereof inaccordance with Article 6(4) of that Convention, tacit consent or to give a writtenconsent with or without conditions;

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(e)

the competent authority of dispatch in the Union shall take the decision to consent tothe 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 a competent authority of transit outside the Union, and not earlier
than 61 days after the date of transmission of the acknowledgement of receipt of aproperly completed notification by a competent authority of transit outside theUnion, unless the competent authority of dispatch has the written consent of theother 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)a competent authority of transit in the Union shall provide an acknowledgment ofreceipt of a properly completed notification to the notifier and copies to the othercompetent authorities concernedin case they have no access to a system referred toin Article 26;(b)

the competent authority of dispatch and, any competent authority of transit in theUnion shall inform the customs office of export and the customs office of exit 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, or if appropriate, by
fax or email with digital signature, or, where the customs office of export and thecustoms office of exit have 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 thecompetent 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 dispatchin the Union has received no information from the facility about receipt of the waste,
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(f)

the contract referred to in Article 6 shall contain the following terms and conditions:(i)where a facility issues an incorrect certificate of disposal with the consequencethat 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 thecompetent authority of dispatch and from its recovery or disposal in analternative and environmentally sound manner;(ii)

the facility shall, within three days of receipt of the waste for disposal, send
signed copies of the completed movement document, except for the 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 completionof the disposal and in any case no later than one calendar year after the receiptof the waste under its responsibility, certify that the disposal has been
completed and shall send signed copies of the movement document containingthat certification to the notifier and to the competent authorities concerned;(g)the notifier shall, within three working days of receipt of the copies referred to inpoint (f)(ii) and (f)(iii), make the information contained in those copies electronicallyavailable in accordance with Article 26.

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 outside the Union and if the conditions
laid down in those consents or their annexes have been met;(b)environmentally sound management of the waste as referred to in Article 56, isensured.

5.

Where waste is exported, it shall be destined for disposal operations within a facility
which, under applicable national law, is operating or is authorised to operate in the countryof destination.

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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 competent authority of dispatch in the Union of the illegal
shipment; ▌(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; and(c)without delay communicate the decision of the competent authority of dispatchreferred to in point (b) to the customs office of export or the customs office of exitthat discovered the illegal shipment.

Chapter 2
Exports of waste for recovery
SECTION 1
EXPORTS OF HAZARDOUS AND CERTAIN OTHER WASTE TO COUNTRIES TO WHICH
THE OECD DECISION DOES NOT APPLY

Article 36
Prohibition of exports of hazardous and certain other wastes
1.

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(b)

wastes listed as hazardous in the list of waste referred to in Article 7 of Directive
2008/98/EC;▌(c)wastes referred to in Article 4(2a) and wastes listed in Part 2 of Annex V to thisRegulation;(ca) plastic waste classified under B3011;(cb) wastes listed in Annex III or Annex IIIB and mixtures of wastes listed in Annex
IIIA that are contaminated by other materials to an extent which increases therisks associated with the waste sufficiently to render them appropriate forsubmission to the procedure of prior written notification and consent, when taking
into account the hazardous properties in Annex III of Directive 2008/98/EC, or
prevents the recovery of the waste in an environmentally sound manner;(cc) wastes or mixtures of wastes containing or contaminated with persistent organic
pollutants (POPs) in quantities meeting or exceeding a concentration limit
indicated in Annex IV to Regulation (EU) 2019/1021;(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 thelist of waste referred to in Article 7 of Directive 2008/98/EC;(f)wastes that the country of destination has notified as hazardous under Article 3 of theBasel 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;

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▌
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 may, in exceptional cases, provide, on the basis of documentary evidence
provided by the notifier, that a specific hazardous waste listed in Annex V to thisRegulation 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 thecriteria and applicable cut-off values and concentration limits for the classification of waste
as hazardous as specified in that Annex. Where a hazardous property of a waste has beenassessed 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 andtherefore 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 hazardous, 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 competent authority concerned shallinform the envisaged competent authority of destination prior to taking a decision toconsent to planned shipments to that country. Member States shall notify such cases to theCommission before the end of each calendar year. The Commission shall forward that
information to all Member States, to the Secretariat of the Basel Convention in case theinformation refers to an entry listed in the Basel Convention and to the OECD Secretariat
in case the information refers to an entry listed in the OECD Decision. On the basis of
the information provided, the Commission may make comments and is empowered toadopt delegated acts in accordance with Article 76 to amend Annex V.

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SECTION 2EXPORTS OF NON-HAZARDOUS WASTE TO COUNTRIES TO WHICH THE OECDDECISION DOES NOT APPLY

Article 37
Prohibition of exports of non-hazardous waste
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)non-hazardous wastes listed in Annex III or Annex IIIB and mixtures of nonhazardous wastes listed in Annex IIIA;(b)

non-hazardous wastes and mixtures of non-hazardous wastes included in the list ofwaste referred to in Article 7 of Directive 2008/98/EC, when not already listed in
Annex III, Annex IIIA or Annex IIIB;(c)non-hazardous wastes and mixtures of non-hazardous wastes not classified under
one single entry in Annex III, Annex IIIA or Annex IIIB or in the list of wastereferred to in Article 7 of Directive 2008/98/EC;(d)2.

non-hazardous waste classified under AB130, AC250, AC260 and AC270.

Paragraph 1 shall not apply to exports of wastes or mixtures of waste destined for recovery
to a country included in the list of countries established in accordance with Article 38, forthe non-hazardous wastes and mixtures of non-hazardous wastes specified in that list.
Such export may only take place on the condition that the waste is:(a)destined to a facility licensed under the domestic legislation of the country
concerned, to undertake recovery operations for that waste;(b)

not destined for interim operations, unless all subsequent non-interim or interim
recovery operations will take place in the same country of destination or in othercountries for which the related waste is included in the list referred to in Article 38.

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3.

Exports allowed in accordance with paragraph 2 shall:(a)for waste listed in Annex IX to the Basel Convention other than B3011, be subject
to the general information requirements laid down in Article 18 or, in case thecountry concerned so indicates in the request referred to in Article 39, theprocedure of prior written notification and consent;(aa) for waste classified under B3011, be subject to the procedure of prior written
notification and consent;(b)

for non-hazardous wastes and mixtures of non-hazardous wastes not listed in
Annex IX to the Basel Convention, be subject to the procedure of prior written
notification and consent.

4.

In the case of exports in accordance with paragraph 2, the provisions of Title II shallapply mutatis mutandis.
Where such exports are subject to the general information requirements laid down in
Article 18, the person who arranges the shipment shall ensure that the information to beprovided by the facility according to Article 18(4) and (5) is submitted via a systemreferred to in Article 26, unless the facility is connected to a system referred to in
Article 26.
Where such exports are subject to the procedure of prior written notification andconsent, the procedures referred to in Article 35 shall apply with the following
adaptations:(a)Article 4(4) and Article 14 do not apply;(b)

when the removal of a country or the removal of certain wastes or mixtures ofwastes from the list referred to in Article 38 have entered into force, the competentauthority of dispatch shall withdraw their written consent for any notification
related to such country or to such wastes or mixtures of wastes.

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Article 38
Establishment of 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 establishing a list of countries to which the OECD Decision
does not apply and to which exports of non-hazardous wastes and mixtures of nonhazardous wastes from the Union for recovery are authorised ("list of countries to which
exports are authorised"). This list shall include countries which have submitted a request
pursuant to Article 39(1) and have demonstrated compliance with the requirements set out
in Article 39(3), based on an assessment carried out by the Commission pursuant to Article
40, and have agreed to comply with Article 39(4).

2.

The list referred to in paragraph 1 shall include the following information:(a)the name of the countries to which export of non-hazardous wastes and mixtures of
non-hazardous wastes from the Union for recovery is authorised;(b)the specific non hazardous waste(s) and mixtures of non-hazardous wastes 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) tocarry out the recovery of the waste and mixtures of waste referred to in point (b);(d)▌ information on ▌ specific control procedure, if any, applying under the domestic
legislation of each country referred to in point (a) to the import of the waste(s)referred to in point (b), including an indication of whether the import of waste listed
in Annex IX of the Basel Convention is subject to the procedure 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 arequest pursuant to Article 39(1) or no country complies with the requirements set out in
Article 39(3) at that time.

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By [OP Please insert the date three months after the date of entry into force of thisRegulation], 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 thosecountries 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 that complies with the requirements set out in Article 39;(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 ▌ based on a request received fromthe country concerned and, if that request concerns the addition of new wastes or
mixtures of wastes, provided that the country concerned has demonstrated
compliance with the requirements set out in Article 39 with respect to the new wastes
or mixtures of waste in question;(d)include or remove any other element relevant to ensure that the list contains accurate
and updated information.

5.

▌▌
After receiving information and evidence referred to in Article 39(4), the Commission may
request additional information from the country concerned to demonstrate that it continues
to comply with the requirements set out in Article 39(3).

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6.

Where information becomes available which shows in a plausible manner that therequirements set out in Article 39 are no longer fulfilled for a country which is alreadyincluded in the list referred to in paragraph 1, the Commission shall invite that country toprovide its views on that information, within a maximum period of two months from its
invitation to provide comments, together with relevant supporting evidence demonstrating
continued compliance with those requirements. That period may be extended by anadditional period of two months where the country concerned makes a reasoned request forsuch extension.

7.

Where the country concerned does not provide its views and the requested supporting
evidence within the time limit referred to in ▌ paragraph 6 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 inparagraph 1 to obtain information which is relevant to ensure that this country continues tocomply 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
wastes or mixtures of wastes referred to in Article 37(1) from the Union for recovery shallsubmit a request to the Commission indicating their willingness to receive these specificwastes or mixtures of wastes 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 therein.

3.

The country making the request shall demonstrate that it has put in place and implements
all necessary measures to ensure that the waste concerned will be managed in anenvironmentally sound manner as referred to in Article 56.

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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 soundmanagement of waste. That strategy or plan shall include at least the following
elements:(i)the annual amount of total waste generated in the country ▌ , as well as theannual amount of waste(s) covered by the scope of this request (“waste
concerned by the request”) generated in the country, and how these amounts
are estimated to 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 ▌ how these capacities are estimated to develop
in the next 10 years;(iii) the proportion of domestic waste that is separately 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;(v)

an indication of the proportion of the domestic waste which is recycled, andpossible objectives and measures to increase that proportion in the future;(vi) information on the amount of waste which is littered and on measures taken toprevent 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
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(b)

it has a legal framework for waste management in place, which includes at least thefollowing elements:(i)

permitting, licensing or registration system(s) for waste treatment facilities;(ii)

permitting, licensing or registration system(s) for transport of waste;(iii) provisions designed to ensure that the residual waste generated through therecovery operation for the wastes concerned by the request is managed in anenvironmentally sound manner 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 those operations;(v)

provisions on enforcement, inspection and penalties designed to ensure theimplementation of domestic and international requirements on waste
management and waste shipment;(c)

it is a Party to the multilateral environmental agreements referred to in Annex VIII,
and has taken the necessary measures to implement its obligations under thoseagreements;(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 ofwaste management facilities carried out and on penalties imposed in cases ofinfringements of the relevant domestic rules.

3a.

No earlier than [OP: Please insert the date 60 months after the date of entry into force of
the Regulation], countries to which the OECD Decision does not apply and which intend
to receive plastic waste referred to in Article 36(1)(ca) from the Union for recycling may
submit a request to the Commission indicating their willingness to receive such 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.

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In addition to the requirements set out in paragraphs 2 and 3 of this Article, the country
making the request shall also demonstrate all of the following:(a)it has a comprehensive waste management system in place that covers its entire
territory and effectively ensures separate collection of plastic waste in municipal
solid waste;(b)

it has a legal framework for waste management in place, which includes at least
the following elements:(i)

prohibition of open burning and of uncontrolled landfilling of waste;(ii)

prohibition of incineration and of landfilling of separately collected plastic
waste;(iii) provisions on enforcement, inspection and penalties designed to ensure theimplementation of the provisions in points (a) and (b)(i) and (ii);(c)

that imports of plastic waste from the EU do not have any adverse effects on the
management of plastic waste generated in the country.

4.

In the event of any change to the information provided to the Commission underparagraph 3, the countries included in the list referred to in Article 38 shallprovide an update of the information specified in the form set out in Annex VIII,
together with relevant supporting evidence without delay. The countries includedin the list referred to in Article 38 shall in any case, on the fifth year after theirinitial inclusion, provide to the Commission an update of the information specified
in the form set out in Annex VIII, together with relevant supporting evidence.

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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 areauthorised. The assessment shall be based on the information and supporting evidence
provided by the country making the request, as well as other relevant information, anddetermine if the country making the request complies with the requirements set out in
Article 39, including that it has put in place and implements all necessary measures toensure that the wastes and mixtures of wastes concerned will be managed in anenvironmentally sound manner as referred to in Article 56, and that there are no
substantial adverse effect on the management of domestic waste in the country
concerned as a consequence of the waste exported from the Union. In order to perform
this assessment, the Commission shall use, as points of reference, the relevant provisions 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 country making the request is incomplete or insufficient to demonstratecompliance 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 compliancewith the requirements set out in Article 39, the Commission shall inform without undue
delay the country making the request that it cannot be included in the list of countries towhich 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 that
conclusion. This is without prejudice to the possibility of the country making the request to
submit a new request pursuant to Article 39.

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3a.

The Commission shall assess the requests submitted pursuant to Article 39(3a) without
undue delay and, if it is satisfied that the requirements set out in Article 39(3) and (3a)are complied with, it is empowered to adopt a delegated act in accordance with Article 76
to include the country making the request in the list of countries to which exports areauthorised. In order to perform this assessment, the Commission shall use, as points ofreference, the relevant provisions in the legislation and guidance referred to in
Annex IX.

SECTION 3
EXPORTS TO COUNTRIES TO WHICH THE OECD DECISION APPLIES

Article 41
General regime for exports of waste
1.

Where ▌ wastes referred to in Article 4(2), (2a) and (3) are exported from the Union anddestined for recovery in countries to which the OECD Decision applies, with or withouttransit through countries to which the OECD Decision applies, the provisions of Title II
shall apply mutatis mutandis, with the adaptations and additional provisions listed inparagraphs 2, 3, 3a and 5.

2.

The following adaptations shall apply:(-a) the notifier shall provide, annexed to the notification document, documentary
evidence that an audit as referred to in Article 43(2) has been carried out in thefacility to which waste is being exported, unless the exemption in Article 43(8)applies;(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 subsequentinterim or non-interim recovery operation or disposal operation is to take place in acountry to which the OECD Decision does not apply;(aa) waste classified under B3011 shall be subject to the procedure of prior written
notification and consent;

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(b)

waste listed in Annex IIIB and shipments of waste destined for experimental
treatment trials referred to in Article 4(4) shall be subject to the procedure of priorwritten notification and consent;(ba) shipments of waste destined for laboratory analysis referred to in Article 4(4) shallbe subject to the procedure of prior written notification and consent, unless theamount of such waste has been determined by the minimum quantity reasonably
needed to adequately perform the analysis in each particular case, and does notexceed 25 kg, in which case the procedural requirements of Article 18 shall apply;(c)the export of waste referred to in Article 4(2a) shall be prohibited;(d)the consent as required in accordance with Article 9 may be provided in the form oftacit consent from the competent authority of destination outside the Union.

(e)the consent to a shipment of certain waste in accordance with Article 9 shall bewithdrawn by the competent authority of dispatch when a delegated act inaccordance with Article 42(4) entered into force that prohibits the export of such
waste to the country concerned;(f)

the facility mentioned in Articles 15(3) and 16(3) shall provide the respective
confirmation within 3 working days of receipt of the waste.

3.

As regards exports of waste referred to in Article 4(2) , the adaptations and additional
provisions listed in Article 35(2), points (a), (ba), (c), (ca) and (cb) and Article 35(3),points (b) to (g), shall apply.

3a.

As regards exports of waste listed referred to in Article 4(3), the person who arranges the
shipment shall ensure that the information to be provided by the facility according to
Article 18(4) and (5) shall be included in a system referred to in Article 26, unless thosefacilities are connected to a system referred to in Article 26.
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▌
▌
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 destinationand transit outside the Union have provided tacit consent or such tacit consent can beassumed and the conditions laid down in those consents or their annexes have been
met;

(b)
5.

Article 35(4), point (b) is complied with.

Where an export as referred to in paragraph 1 of waste referred to in Art. 4(2) 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 ofreceipt of a properly completed notification, to provide, where the country concerned
has decided not to require prior written consent and has informed the other Parties tothe Basel Convention thereof in accordance with Article 6(4) of that Convention,
tacit consent or to give a written consent with or without conditions;(b)the competent authority of dispatch in the Union shall take the decision to consent tothe shipment as referred to in Article 9 only after having received tacit or writtenconsent from the 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 a properly completed notification by a competentauthority of transit outside the Union, unless the competent authority of dispatch hasreceived the written consent of the other competent authorities concerned, in whichcase it may take the decision as referred to in Article 9 before that time limit.

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6.

Where waste is exported, it shall be destined for recovery operations within a facility
which, under applicable national law, is operating or is authorised to operate in the countryof destination.

7.

The provisions in Article 35(6) shall apply.
▌▌

Article 42
Monitoring of export and safeguard procedure
1.

The Commission shall monitor the ▌ 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 tosignificant environmental or human health damages in the country of destination or thatwaste imported from the Union are not shipped further to third countries. As part of its
monitoring, the Commission shall assess requests from natural or legal persons which areaccompanied by relevant information and data showing that management of waste
exported from the Union does not fulfil the requirements of environmentally soundmanagement as referred to in Article 56 in a third country to which the OECD Decisionapplies, or that such exports cause substantial adverse effects on the management ofwaste generated in that country.

2.

In cases where:(a)there is insufficient evidence available demonstrating that a country to which theOECD Decision applies has ▌ the ability to recover certain waste in anenvironmentally sound manner as referred to in Article 56, including due to theexport of such waste from the Union to the country concerned, or(b)where there is evidence that the country concerned fails to meet the requirementsof Article 56 for this waste, or(c)there is evidence that there are substantial adverse effects on the management ofwaste generated in that country due to the export of waste from the Union,

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the Commission shall request the competent authorities of the country concerned toprovide, within 60 days, information on the conditions under which the waste inquestion is recovered, the effect of the export of the waste from the Union on the
management of the waste generated in that country and the ability of the country
concerned to manage this waste in an environmentally sound manner as referred to in
Article 56. 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 andmanagement of ▌ waste concerned, both imported waste and waste generated in the
country, in an environmentally sound manner, as well as adequate measures toensure the environmentally sound management of the residual waste generated
through the recovery of the waste concerned;(aa) put in place separate reporting on the amount of waste generated in the country
concerned and of waste imported into that country;(b)sufficient capacity in its territory allowing the waste concerned to be managed in anenvironmentally sound manner, taking into consideration the ▌ volume of waste
imported into its territory;(c)put in place an adequate strategy, including measures to ensure that the import of
the waste concerned has no substantial adverse effect on the collection andmanagement of the waste generated domestically;(d)put in place and implemented adequate enforcement measures to ensure that thewaste concerned is managed in an environmentally sound manner and addresspossible illegal shipments or treatment of such waste ▌ .

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(e)

in the case of export of plastic waste, has been implementing requirements
designed to ensure that plastic waste will be recycled in an environmentally soundmanner and that residual waste generated through the recycling process will be
managed in an environmentally sound manner, including through a prohibition ofopen burning or dumping of such waste. The request shall in addition aim to verify
that measures are implemented to avoid that the import of plastic waste from theUnion undermines the environmentally sound management of plastic waste
generated domestically and that measures have been taken to prevent the shipmentof imported plastic waste to other countries. Information shall also be provided
showing that specific enforcement and inspections of shipments of plastic waste
and facilities managing such waste are carried out at regular intervals to
implement these requirements and mitigate avoid pollution to air, soil, water or themarine environment linked to the mismanagement of plastic waste.

3a.

For the purpose of the verifications referred to in paragraph 3, the Commission shall,where relevant, consult relevant stakeholders.

3b.

The Commission shall exercise specific scrutiny with regard to exports of plastic waste tocountries to which the OECD Decision applies. The Commission shall by [OP: Please
insert the date of twenty-four months following the date of entry into force of thisRegulation] assess whether countries to which the OECD Decision applies and which
import important volumes of plastic waste from the Union comply with the provisions of
this Article.

4.

Where, further to the request referred to in paragraph 2, the country concerned does notprovide sufficient evidence as referred to in paragraph 3 that the waste concerned ismanaged in an environmentally sound manner in accordance with Article 56, or that there
are no substantial adverse effects on the management of waste generated in that country
as a consequence of the waste exported from the Union, the Commission is empoweredto adopt delegated acts in accordance with Article 76 to supplement this Regulation byprohibiting the export of the waste concerned to this country.

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A prohibition shall be lifted by the Commission, when the Commission has sufficientevidence that the waste concerned will be managed in an environmentally sound mannerand that there are no substantial adverse effects on the management of waste generated
in that country as a consequence of the waste exported from the Union.

Chapter 3
Additional obligations

Article 43
Obligations on exporters
1.

A notifier or person who arranges a shipment shall only export waste from the Union if it
can demonstrate that the facilities which are to receive the waste in the country ofdestination will manage it in an environmentally sound manner as referred to in Article 56.

1a.

A notifier or person who arranges a shipment shall not export waste to a facility which
does not comply with criteria laid down in Part B of Annex X.

2.

In order to fulfil the obligation referred to in paragraph 1, a notifier or person who
arranges a shipment intending to export waste from the Union shall ensure that thefacilities which will manage the waste in the country of destination have been subject to anaudit ▌ .
This audit shall be carried out by a third party which shall be independent from thenotifier or person who arranges the shipment as well as from the audited facility andhave appropriate qualifications in the areas of audits and waste treatment.
When commissioning an audit, a notifier or a person who arranges the shipment shallverify that the third party complies with the requirements laid down in Part A of Annex
X and has been authorised or accredited by a national official body to perform audits as
defined in this Article.

3.

The audit referred to in paragraph 2 shall include both physical and documentary checks
and shall verify compliance of the facility concerned with the criteria laid down in Part B
of Annex X.

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4.

A notifier or person who arranges a shipment intending to export waste shall ensure,prior to exporting waste, that the facility which will manage the waste in the country ofdestination has been subject to an audit referred to in paragraph 2 which was carried out
no longer than two years prior to exporting waste to the facility concerned and which has
demonstrated compliance of the facility with the criteria in Part B of Annex X.
With a view to fulfilling this obligation, a notifier or a person who arranges the shipment
shall either:(a)commission an audit in accordance with this Article,(b)acquire the report of an audit commissioned in accordance with this Article byanother notifier or person who arranges the shipment, which was made available
in accordance with paragraph 5, after verifying that the audit had been conductedin accordance with paragraphs 2 and 3 and demonstrated compliance of the
facility with the criteria laid down in Part B of Annex X, or(c)acquire the report of an audit commissioned in accordance with this Article by thefacility itself, which was notified to the register referred to in paragraph 5b inaccordance with paragraph 5a second sub-paragraph, after verifying that the audit
had been conducted in accordance with paragraphs 2 and 3 and demonstrated
compliance of the facility with the criteria laid down in Part B of Annex X.

A notifier or person who arranges a shipment shall also commission an ad-hoc audit
without delay in case it receives reliable information that a facility no longer complies withthe criteria laid down in Part B of Annex X. In case an ad-hoc audit demonstrates that afacility no longer complies with the criteria laid down in Part B of Annex X, the notifieror the person who arranges the shipment shall immediately stop the export of waste tothat facility and inform the competent authorities of dispatch concerned.
5.

A notifier or person who arranges the shipment that has commissioned an audit for agiven facility in accordance with paragraph 2 shall ensure that such audit be madeavailable to other notifiers or persons who arrange a shipment intending to export waste
to the facility in question, under fair commercial conditions.

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5a.

A notifier or a person who arranges a shipment shall notify the Commission of audits
they have commissioned in accordance with paragraphs 2 and 4, and which havedemonstrated compliance of a facility with the criteria laid down in Part B of Annex X.
The notification shall contain the following information:(a)name and contact details of the facility that has been subject to an audit;(b)name and contact details of the notifier or the person who arranges the shipmentthat has commissioned the audit;(c)name and contact details of the third party that has carried out the audit;(d)the date of the audit;(e)the types of wastes, as listed in Annexes III, IIIA, IIIB or IV or in the list of wastereferred to in Article 7 of Directive 2008/98/EC;(f)

the recovery operations (R-codes), as referred to in Annex II of Directive
2008/98/EC.

A notifier or a person who arranges a shipment may notify the Commission of an audit
commissioned by the audited facility itself, provided that the notifier or the person who
arranges a shipment has verified that the audit had been conducted in accordance withparagraphs 2 and 3 and demonstrated compliance of the facility with the criteria laid
down in Part B of Annex X.
5b.

The Commission shall establish and keep up to date a register with information receivedin accordance with paragraph 5a. The Commission shall make the information in theregister publicly available.

6.

Upon request by a competent authority or an authority involved in inspections, a notifieror person who arranges a shipment shall provide documentary evidence that audits as
referred to in paragraph 2 have been carried out in all facilities to which they are exporting
the waste in question. Such documentary evidence shall be provided in a language
acceptable to the authorities concerned.

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7.

A notifier or person who arranges a shipment exporting waste outside the Union shall ona yearly basis make information on how they comply with their obligations under this
Article publicly available by electronic means.

8.

Where an international agreement between the Union and a third country to which theOECD Decision applies recognises that the facilities in that third country will manage
waste in an environmentally sound manner, as referred to in Article 56 and in accordancewith the criteria laid down in Part B of Annex X, notifiers or persons who arrange
shipments which intend to export waste to that third country shall be exempted from theobligation in paragraphs 2 to 5a and 6.
A notifier or a person who arranges a shipment exporting waste from the Union to afacility in a third country with which the Union has concluded an international
agreement shall carry out ad-hoc audit without delay in the event it receives reliable
information that a facility no longer complies with the criteria laid down in Part B of
Annex X. The notifier or person who arranges a shipment shall in such a case notify thecompetent authorities of dispatch of that reliable information as well as its plans to carryout an ad-hoc audit.
In case an ad-hoc audit demonstrates that a facility no longer complies with the criteria
laid down in Part B of Annex X, the notifier or the person who arranges the shipment
shall immediately stop the export of waste to that facility and inform the competentauthorities of dispatch concerned.

9.

The Commission shall make the relevant international agreements referred to inparagraph 8 publicly available on its website.

9a.

The Commission may adopt guidelines with regard to the application of this Article.

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Article 44
Obligations on Member States of export
1.

In case of exports from the Union, Member States shall take all the measures necessary toensure that legal and natural persons under their national jurisdiction do not export waste
in cases where the conditions laid down in Articles 36 to 43 for such export are not met or
where exported waste is not managed in an environmentally sound manner inaccordance with Article 56.

2.

▌
Where Member States are in possession of reliable information, which indicates thatnatural or legal persons exporting waste from the Union are not complying with their
obligations under Article 43 they shall carry out the necessary verifications.

Chapter 4General 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 country or territory of waste destined for disposal inthat country or territory shall be prohibited.

2.

As regards exports of waste destined for recovery in overseas countries or territories, theprohibition set out in Article 36 shall apply mutatis mutandis.

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3.

As regards exports of waste destined for recovery in overseas countries or territories notcovered by the prohibition set out in Article 36, the provisions of Title II shall apply
mutatis mutandis.

Title V
Imports into the Union from third countries
Chapter 1
Imports of waste for disposal

Article 47
Prohibition of imports of waste destined for disposal
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, haveconcluded 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 Member States have concluded bilateralagreements 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 agreements 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.

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These agreements and arrangements shall:(a)be compatible with Union legislation and in accordance with Article 11 of the Basel
Convention.

(b)guarantee that the disposal operations will be carried out in an authorised facility andwill comply with the requirements for environmentally sound management as
referred to in Article 56(1) of this Regulation, Article 13 of Directive 2008/98/EC
and other Union legislation on waste, in particular the Union legislation referred
to in Annex IX, part 1;(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; and(d)be notified to the Commission prior to their conclusion or, in emergency 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 referred 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 ofdestination on the basis that they do not have and cannot reasonably acquire the technicalcapacity and the necessary facilities in order to dispose of the waste in an environmentallysound manner as referred to in Article 56.

Article 48
Procedural requirements for imports of waste destined for disposal
1.

Where waste destined for disposal is imported into the Union from countries that are
Parties to the Basel Convention, or in cases referred to in Article 47(1), point (d), theprovisions of Title II shall apply mutatis mutandis, with the adaptations and additional
provisions set out in paragraphs 2 and 3.

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2.

The following adaptations shall apply:(a)a notifier that is not established within the Union and has no access to a systemreferred to in Article 26, may submit the notification and any requested additional
information and documentation to the competent authorities concerned by post, or if
appropriate, by fax or email with digital signature in case of email with digital
signature, any stamp or signature required shall be replaced by the digital
signature;▌(c)the notifier, or where the notifier is not established within the Union and has noaccess to a system referred to in Article 26, the competent authority of destination in
the Union, shall ensure that all relevant information, at least the notification
document including any annexes, the movement document including any annexes,
the written consents, information about tacit consents and the conditions, isincluded in that system;(d)the competent authority of destination and any competent authority of transit in theUnion shall inform the competent authority of dispatch and any competentauthority of transit outside the Union of any request for information anddocumentation from their side and of their decision on the planned shipment, by post,
or if appropriate, by fax or email with digital signature ▌ unless the competentauthorities in the countries concerned have access to the central system referred to in
Article 26(2);(da) the information to be provided to the competent authority of dispatch and any
competent authority of transit outside the Union according to Articles 7, 8, 16 and17 shall be provided by post, or if appropriate, by fax or email with digital
signature, unless those authorities are connected to a system referred to in
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(e)

a competent authority of transit outside the Union shall have 60 days after the date oftransmission of its acknowledgement of receipt of a properly completed notification,
to provide, if the country concerned has decided not to require prior written consent
and has informed the other Parties to the Basel Convention thereof in accordancewith Article 6(4) of that Convention, tacit consent or to give a written consent withor without conditions;(f)in the cases referred to in Article 47(1), point (d) involving situations of crisis,
peacemaking, peacekeeping or war, the consent of the competent authorities ofdispatch shall not be required.

3.

The following additional provisions shall apply:(-a) the competent authority of destination may, if necessary, require a financial
guarantee or equivalent insurance, or an additional financial guarantee or
equivalent insurance, after having reviewed the amount of cover of any financial
guarantee or equivalent insurance established by the notifier;(a)a competent authority of transit in the Union shall provide an acknowledgement ofreceipt of a properly completed notification to the notifier, with copies to thecompetent authorities concerned in case they have no access to a system referred toin Article 26;(b)

the competent authority of destination and any competent authority of transit in theUnion shall inform the customs office of entry ▌ of their decisions to consent to theshipment;(c)a copy of the movement document shall be delivered by the carrier to the customs
office of entry either by post or if appropriate, by fax or email with digital signature▌ or, where the customs office of entry has access to it, via the central systemreferred 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 authority
of destination and any competent authority of transit in the Union that the waste hasentered the Union.

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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 and the conditions laid down in those
consents or their annexes have been met;(b)a contract between the notifier and the consignee as referred to in Article 6 has beenconcluded and is effective;(c)a financial guarantee or equivalent insurance as referred to in Article 7 has been
established and is effective; and(d)5.

environmentally sound management as referred to in Article 56 is ensured.

Where a customs office of entry discovers an illegal shipment, it shall without delay
inform the competent authority in the country of that customs office. That competentauthority shall:(a)without delay inform the competent authority of destination in the Union of theillegal shipment, after which that competent authority shall inform the competentauthority of dispatch outside the Union; ▌(b)ensure detention of the waste until the competent authority of dispatch outside theUnion has decided otherwise and has communicated that decision in writing to thecompetent authority in the country of the customs office in which the waste isdetained; and(c)without delay communicate the decision of the competent authority of dispatchreferred to in (b) to the customs office of entry that discovered the illegal shipment.

6.

Where waste generated by armed forces or relief organisations in situations of crisis,
peacemaking or peacekeeping operations is imported , by those armed forces or relief
organisations or by a natural or legal person on their behalf, those armed forces or relief
organisations shall inform any competent authority of transit and the competent authority
of destination in the Union, or in urgent cases where the disposal or recovery facility is
not known at the time of the shipment, the competent authority responsible for the areaof the first place of destination in advance concerning the shipment and its destination.

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The information provided according to the first subparagraph shall accompany the
shipment, unless it is provided via a system in accordance with Article 26.
6a.

The Commission shall adopt an implementing act detailing the information to beprovided according to the first subparagraph of paragraph 6 and the related timing.
Such information shall be sufficient to enable authorities to carry out inspections, andprovide details on the persons involved in the shipments, the date of the shipment, thewaste quantity, the waste identification, the designation and composition of the waste,
the recovery or disposal facility, the code for the recovery or disposal operation and thecountries involved.
That implementing act shall be adopted in accordance with the examination procedurereferred to in Article 77(2).

Chapter 2
Imports of waste for recovery

Article 49
Prohibition of imports of waste destined for recovery
1.

▌Imports into the Union of waste destined for recovery shall be prohibited except forimports 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, haveconcluded bilateral or multilateral agreements or arrangements compatible with
Union legislation and in accordance with Article 11 of the Basel Convention;(d)other countries with which individual Member States have concluded bilateralagreements or arrangements in accordance with paragraph 2; or

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(e)

other areas in cases where, on exceptional grounds during situations of crisis,
peacemaking, peacekeeping or war, no bilateral agreements 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 agreements andarrangements 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 withparagraph 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 orfrom other areas during situations of crisis or war
1.

Where waste destined for recovery is imported into the Union from countries and throughcountries to which the OECD Decision applies, or in cases referred to in Article 49(1),point (e), the provisions of Title II shall apply mutatis mutandis, with the adaptations andadditional provisions 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 oftacit consent from the competent authority of dispatch outside the Union;(aa) shipments of waste destined for experimental treatment trials referred to in
Article 4(4) shall be subject to the procedure of prior written notification andconsent;

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(ab) shipments of waste destined for laboratory analysis referred to in Article 4(4) shallbe subject to the procedure of prior written notification and consent, unless theamount of such waste has been determined by the minimum quantity reasonably
needed to adequately perform the analysis in each particular case, and does notexceed 25 kg, in which case the procedural requirements of Article 18 shall apply;▌(ba) the provisions in Article 48(2), points (a) to (e).
(c)

the facility mentioned in Articles 15(3) and 16(3) shall provide the respective
confirmation within 3 working days of receipt of the waste

3.

The following additional provisions shall apply: Article 48(3), points (-a), (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 competentauthority of dispatch outside the Union has been provided or can be assumed and theconditions laid down in the respective decisions have been met;(b)

the conditions specified in Article 48(4), points (b), (c) and (d)▌▌5.

The provisions in Article 48(5) and (6) shall apply.
▌▌

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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 theOECD 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 48 shall apply mutatis
mutandis.

Chapter 3
Additional obligations

Article 52
Obligations of competent authorities of destination in the Union
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 ofjurisdiction is managed without endangering human health and in an environmentallysound manner in accordance with Article 56 of this Regulation, and in accordance with
Article 13 of Directive 2008/98/EC and other Union legislation on waste, in particular theUnion legislation referred to in Annex IX, part 1, throughout the period of shipment,
including recovery or disposal in the country of destination.

2.

The competent authority referred to in paragraph 1 shall also prohibit imports of wastefrom third countries where it has reason to believe that the waste will not be managed inaccordance with the requirements set out in paragraph 1.

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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 shallapply mutatis mutandis.

2.

An overseas country or territory 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
country of transit.

3.

Member States which apply paragraph 2 shall notify the Commission of the national
procedures applied.

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 andadditional provisions:(a)the first and last competent authority of transit in the Union shall, where appropriate,
inform the customs office of entry and the customs office of exit of their respective
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(b)

the customs office of exit shall, as soon as the waste has left the Union, inform thecompetent authority(ies) of transit in the Union that the waste has left the Union.

(c)a competent authority of transit in the Union may, if necessary, require a financial
guarantee or equivalent insurance, or an additional financial guarantee or
equivalent insurance, after having reviewed the amount of cover of any financial
guarantee or equivalent insurance established by the notifier.

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 additional provisions:(a)the first and last competent authority of transit in the Union shall, where appropriate,
inform the customs office of entry and the customs office of exit of their respective
decisions to consent to the shipment or, if they have provided tacit consent, of theacknowledgement 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 thecompetent authorities of transit in the Union that the waste has left the Union;(c)where waste is shipped through one or more Member States from and to a third
country the competent authorities of transit in the Union may, if necessary, requirea financial guarantee or equivalent insurance, or an additional financial
guarantee or equivalent insurance, after having reviewed the amount of cover ofany financial guarantee or equivalent insurance established by the notifier.

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3.

Where waste destined for recovery is shipped through Member States from a country towhich the OECD Decision does not apply to a country to which the OECD Decisionapplies or vice versa, paragraph 1 shall apply as regards the country to which the OECD
Decision does not apply and paragraph 2 shall apply as regards the country to which theOECD Decision applies.

Title VII
Environmentally sound management and enforcement
Chapter 1

Article 56
Environmentally sound management
1.

The waste producer, the notifier, the person who arranges a shipment and any other
undertaking involved in a shipment of waste or its recovery or disposal shall take thenecessary steps to ensure that any waste shipped is managed without endangering humanhealth and in an environmentally sound manner throughout the period of shipment andduring the recovery and disposal of the waste.

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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, as well as any residual waste generated
through the recovery or disposal operation, will be managed in accordance with humanhealth, climate and environmental protection requirements that are considered equivalent
to the human health and environmental protection requirements laid down in Union
legislation. When assessing such considered equivalence, full compliance withrequirements stemming from Union legislation shall not be required, but it shall bedemonstrated that the requirements applied in the country of destination ensure a similarlevel of protection of human health and the environment than the requirements stemmingfrom Union legislation. In order to perform this assessment in relation to Union
legislation, the relevant provisions in the Union legislation and the international
guidance referred to in Annex IX shall be used as points of reference.

Chapter 2
Enforcement
SECTION 1
INSPECTIONS BY THE MEMBER STATES AND PENALTIESArticle 57
Inspections
1.

Member States shall, for the purpose of enforcing this Regulation, ensure that inspectionsof 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, are carried out.

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, collector, waste holder,
notifier or person who arranges the shipment;

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(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.

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, physicalchecking of the waste.

2.

In order to ascertain that a substance or object being carried by road, rail, air, sea or inland
waterway is not waste, the authorities involved in inspections may require the natural or
legal person who is in possession of the substance or object concerned, or who arranges thecarriage thereof, to submit documentary evidence:(a)as to the origin and destination 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 transportation, loading and unloading, such as adequate
packaging and appropriate stacking, shall also be ascertained.
In order to distinguish between used goods and waste, for the purpose of inspection, thecriteria laid down in, and pursuant to, Article 28(1), point (c), and, where applicable,
Article 28(1b) shall apply.
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 Council50.

50

Directive 2012/19/EU of the European Parliament and of the Council of 4 July 2012 onwaste electrical and electronic equipment (OJ L 197, 24.7.2012, p. 38).

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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 toascertain 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 toreach 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 have concluded that a substance or object is waste in accordancewith 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 with in accordance with Articles 24 and 25 and the authorities involved in
inspections shall, without delay, inform the competent authority of the country where theinspection concerned took place accordingly.
4.

In order to ascertain whether a shipment of waste complies with this Regulation, theauthorities 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 thewaste to submit relevant documentary evidence to them within a period specified by them,and may detain the goods in a shipment and, when necessary, the means of transport
containing the goods, and suspend the transport of the goods until such documentation
has been provided.

5.

In order to ascertain whether a shipment of waste subject to the general information
requirements set out in Article 18 is destined for recovery operations which are inaccordance with Article 56, the authorities involved in inspections may require the person
who arranges the shipment and the consignee to submit relevant documentary evidence ▌provided by the interim and non-interim recovery facility and, if necessary, approved by
the competent authority of destination. In cases of export from the Union, the authorities
involved in inspections shall require documentary evidence on the audit carried out inaccordance with Article 43.

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6.

Where the evidence referred to in paragraphs 4 or 5 has not been submitted to theauthorities involved in inspections within the period specified by them, or they consider theevidence and information available to them to be insufficient to reach a conclusion, theshipment concerned shall be considered as an illegal shipment and shall be dealt with inaccordance with Articles 24 and 25. The authorities involved in inspections shall, without
delay, inform the competent authority of the country where the inspection concerned took
place accordingly.

7.

The Commission is empowered to adopt, by means of implementing acts, a correlationtable between the codes of the combined nomenclature, provided for in Council Regulation(EEC) No 2658/8751 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, inorder to reflect changes to that nomenclature and to the entries listed in those Annexes, aswell as to include any new waste-related codes of the Harmonised System Nomenclaturethat 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) 2016/124552 shall remain in force until theempowerment referred to in the present Article is exercised by the Commission.

Article 59
Inspection plans
1.

Member States shall ensure that, in respect of their entire geographical territory, one ormore plans are established, either separately or as a clearly defined part of other plans, forinspections to be carried out pursuant to Article 57(1) (‘inspection plan’).

51
52

Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statisticalnomenclature and on the Common Customs Tariff; OJ L 256, 7.9.1987, p. 1–675
Commission Implementing Regulation (EU) 2016/1245 of 28 July 2016 setting out apreliminary correlation table between codes of the Combined Nomenclature provided for inCouncil 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).

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Inspection plans shall be based on a risk assessment covering specific waste streams andsources of illegal shipments, the results of previous inspections and considering, whereappropriate, intelligence-based data such as data on investigations by police and customs
authorities and analyses of criminal activities as well as reliable information from naturalor legal persons on possible illegal shipments, relevant information related to the
management of waste being shipped and information showing that a shipment bears
similarities with shipments previously identified as illegal. It shall in particular take into
account the need for conducting verifications of whether natural and legal persons
exporting waste from the Union comply with the obligations referred to in Article 43.
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 plans shall include, at least, the following elements:(a)the objectives and priorities of the inspections, including a description of how thoseobjectives and priorities have been identified;(b)

the geographical area covered by the inspection plan;(c)information on planned inspections, including on a minimum number of inspections
and physical checks to be carried out in each calendar year on establishments,
undertakings, brokers, dealers and shipments of waste or on the related recovery
or disposal, identified in accordance with the risk assessment referred to inparagraph 1;(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 matters relating to inspections; and(g)information on the human, financial and other resources for the implementation of
the inspection plan.

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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 ofthat 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 paragraph 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 States inaccordance with paragraph 4 and, if appropriate, draw up reports, based on the review ofthese plans, on the implementation of this Article. Such reports may include, inter alia,
recommendations on priorities of inspections and on enforcement cooperation andcoordination between 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 and shall be made available to the European
Parliament and the Council.

Article 60
Penalties
1.

Without prejudice to the obligations of Member States under Directive 2008/99/EC of
the European Parliament and of the Council53, Member States shall lay down the rules
on penalties applicable to infringements of this Regulation and shall take all measuresnecessary to ensure that they are applied. The penalties provided for shall be effective,
proportionate and dissuasive. ▌2.

Member States shall ensure that the penalties established pursuant to this Article givedue regard to the following, as applicable:

53

(a)

the nature, gravity and extent of the infringement;(b)where appropriate, the intentional or negligent character of the infringement;

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).

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(c)

the financial capacity of the natural or legal ▌ person held responsible;(d)the economic benefits derived from the infringement by the natural or legal person
held responsible, insofar as they can be determined;(e)the environmental damage caused by the infringement ▌ ;(f)any action taken by the natural or legal person held responsible to mitigate or remedy
the damage caused;▌(h)the repetitive or singular character of the infringement;▌(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, where relevant:(a)fines;▌(c)revocation or time-limited suspension of the authorisation to carry out activities
related to management and shipment of waste insofar as these activities fall under thescope of this Regulation;(d)4.

time-limited exclusion from public procurement procedures.

Member States shall without delay notify the Commission of the rules and measuresreferred to in paragraph 1 and of any subsequent amendments affecting them.

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SECTION 2
ENFORCEMENT COOPERATION

Article 61
Enforcement cooperation at national level
Member States shall maintain or establish, as regards all relevant ▌ authorities involved in
enforcement of this Regulation in their territory, including competent authorities and theauthorities involved in inspections, effective mechanisms to enable them to cooperate andcoordinate 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.

Article 62
Enforcement cooperation between Member States
1.

Member States shall cooperate, bilaterally and multilaterally, with one another in order tofacilitate the prevention and detection of illegal shipments. They shall exchange relevant
information related to such prevention and detection, including on shipments of waste,
flows of waste, operators and facilities, 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 the authority or authorities and the members of theirpermanent staff responsible for the cooperation referred to in paragraph 1 and also identify
an authority or authorities and responsible members of their permanent staff as the focal
points for the physical checks referred to in Article 58(1). The Member States shall send
that information to the Commission which shall compile the information and make itavailable to the identified authorities and members of their permanent staff.

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3.

At the request of an authority in another Member State, an authority of 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 State.

Article 63
Waste shipment enforcement group1.

An enforcement group shall be established to facilitate and improve cooperation andcoordination 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 up to three representatives per
Member State, selected from the designated permanent staff responsible for thecooperation referred to in Article 62(2) or from permanent staff of other relevant
authorities involved in enforcement of this Regulation, to be nominated by the Member
States, which will inform the Commission. It shall be co-chaired by the representative(s)of the Commission and by a representative of a Member State elected by the group.

3.

The waste shipment enforcement group shall be a forum for sharing information relevant
for the prevention and detection of illegal shipments, including information andintelligence on general trends relating to illegal shipments of waste, risk-based assessments
carried out by the authorities of the Member States, and experience and knowledge on
enforcement measures, as well as for exchanging views on best practices and forfacilitating cooperation and coordination between relevant authorities. The waste shipment
enforcement group may examine any technical question relating to the enforcement of thisRegulation 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 regularly, at least once a year. In
addition to the members referred to in paragraph 2, the chairperson may invite to themeetings or parts of the meetings, where appropriate, representatives of other relevant
institutions, bodies, offices, agencies, networks or other stakeholders.

5.

The Commission shall convey the opinions expressed in the waste shipment enforcement
group to the committee referred to in Article 77.

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SECTION 3ACTIONS PERFORMED BY THE COMMISSION

Article 64
General provisions
1.

Without prejudice to Council Regulation 515/9754, the Commission shall exercise thepowers conferred onto it by Articles 64 to 68 in order to support and complement theenforcement activities of the Member States ▌ and to contribute to a uniform
implementation of this Regulation throughout the Union.

▌

▌
▌
▌

3.

The Commission may exercise the powers conferred onto it by this Regulation withrespect to shipments of waste that fall under the scope of application of this Regulation
pursuant to Article 2(1), which are of a complex nature and potentially have serious
adverse effects on human health or the environment and where the investigation needed
has a cross-border dimension involving at least two countries. The Commission may
initiate actions according to these powers on its own initiative, on the request of theauthorities 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. The Commission may also forward such complaints to thecompetent authorities of the Member States concerned.

54

Council Regulation 515/97 of 13 March 1997 on mutual assistance between theadministrative authorities of the Member States and cooperation between the latter andthe Commission to ensure the correct application of the law on customs and agricultural
matters (OJ L 82 of 22.3.1997, p. 1).

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If the Commission decides not to act, it shall reply to the authority of the Member Statesor the persons who sent the complaint in a reasonable time, stating the reasons why they
believe there is no sufficient suspicion, unless there are reasons of public interest, suchas protecting the confidentiality of administrative or criminal proceedings, not to do so.
The Commission shall also provide the Member States with assistance in organisingclose and regular cooperation between their competent authorities pursuant to theprovisions of Article 68.
▌
5.

In exercising its powers, the Commission shall take into account the inspections,prosecuting, legal or administrative proceedings in progress or already carried out in
respect of the same shipments by the authorities of a Member State pursuant to thisRegulation and shall ensure not to interfere with such proceedings. When exercising its
powers, the Commission shall take into account any request of postponement from an
authority of a Member State through its permanent staff responsible for cooperation or
through the focal points referred to in Article 62(2).

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 thecountry or countries concerned accordingly and recommend that such an illegal shipment
is dealt with in accordance with Articles 24 and 25. ▌ . The Commission may also
recommend certain follow-up to the relevant authorities of the Member States, and, where
necessary inform the Union institutions, bodies, offices and agencies concerned.

7.

Reports drawn up on the basis of paragraph 6, together with all evidence in support andannexed thereto, shall constitute admissible evidence:(a)in judicial proceedings of a non-criminal nature before national courts and in
administrative proceedings in the Member States;

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(b)

in criminal proceedings of the Member State in which their use proves necessary inthe same way and under the same conditions as administrative reports drawn up by
national administrative authorities and shall be subject to the same evaluation rules
as those applicable to administrative reports drawn up by national administrative
authorities and shall have the same evidentiary value as such reports;(c)in judicial proceedings before the Court of Justice of the European Union.

The power of the Court of Justice of the European Union and national courts andcompetent authorities to freely assess the evidential value of the reports drawn up by theCommission according to paragraph 6 shall not be affected by this Regulation.

Article 65
Inspections by the Commission
1.

The Commission may, in accordance with Article 64, carry out inspections of shipments
pursuant to Article 57(1) and (2) of this Regulation.

1a.

The Commission may only carry out an inspection where there is sufficient suspicion for
an illegal shipment of waste.

2.

The Commission shall prepare and conduct inspections in close cooperation with therelevant authorities of the Member State concerned. Such cooperation shall include theexchange of information and the exchange of views on the planning of the inspections
and the steps that will be taken. The Commission shall take into account any inspections,ongoing prosecuting, legal or administrative proceedings by administrative or judicial
authorities of a Member State.
The Commission shall give notice 15 days in advance 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 relevant authorities
may provide the requisite assistance. To that end, officials of the relevant authorities ofthe Member State concerned shall be given opportunity to participate in the inspections.
In urgent cases, if it is not possible to respect the 15 days’ notice, the Commission shallgive notice at the first useful moment.

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In addition, upon request of the Member State concerned, the inspections shall be carriedout 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 aninspection 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 shall be empowered to:(a)have access to any premises, land and means of transport of the notifier, the person
who arranges the shipment, the waste producer, the waste holder, the carrier, theconsignee or the facility that receives the waste;(b)

examine any relevant documents related to the subject-matter and purpose of theinspections, irrespective of the medium on which they are stored, and to take orobtain in any form copies of or extracts from such documents;(c)

ask the notifier, the person who arranges the shipment, the waste producer, the waste
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 theinspections and to record the answers;(d)take and record statements from the notifier, the person who arranges the shipment,
the waste producer, the waste holder, the carrier, the consignee or the facility thatreceives 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, whereappropriate.

5.

The notifier, the person who arranges the shipment, the waste producer, the waste holder,
the waste carrier, the consignee and the facility that 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 inwhose 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.

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7.

The notifier, the person who arranges the shipment, the waste producer, the waste holder,
the waste carrier, the consignee and the facility that receives the waste are required tosubmit themselves to inspections of the Commission.

8.

Where the Commission finds that the notifier, the person who arranges the shipment, thewaste producer, the waste holder, the waste carrier, the consignee or the facility thatreceives the waste opposes an inspection, the relevant authorities of the Member State
concerned shall, afford the Commission the necessary assistance, requesting whereappropriate the assistance of enforcement authorities, so as to enable the Commission to
conduct its inspection. If 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 beinterviewed 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 Member State concerned in whose territory the interview takes place. If so requestedby the authority of that Member State, its officials may assist the staff of the Commission
to conduct the interview.
The invitation to an interview shall be sent to the person in question with at least 10
working days’ notice. That notice period may be shortened with the express consent of
the person concerned or on duly reasoned grounds of urgency of the inspection.
In the latter case, the notice period shall not be less than 24 hours. The invitation shall
include a list of the rights of the person concerned, in particular the right to be assisted
by a person of his/her choice.

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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 purposeof the request, specify what information is required and fix the time-limit within which theinformation is to be provided.

4.

The Commission shall without delay make available the request to the relevant authoritiesof the Member State in whose territory the seat of the establishment, undertaking, broker ordealer is situated and to the authorities 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 toreach a conclusion, the second sentence of Article 58(6) shall apply, mutatis mutandis.

Article 67
Procedural guarantees
1.

The Commission shall carry out inspections and request information in compliance withthe procedural guarantees of the notifier, the person who arranges the shipment, the waste
producer, the waste holder, the waste carrier, the consignee or the facility that receives thewaste set out in this Article.

1a.

The notifier, the person who arranges the shipment, the waste producer, the waste
holder, the waste carrier, the consignee or the facility that receives the waste shall have:(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 theinspection takes place;

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(d)

the right to comment on facts concerning them, once the inspection has been
completed and before the adoption of a report pursuant to Article 64(6). The
invitation to comment shall include a summary of the facts concerning the person
in question and shall indicate an adequate time limit for submitting comments. In
duly justified cases where necessary to preserve the confidentiality of theinspection or of an on-going or future administrative or criminal investigation by anational authority, the Commission may decide to defer the invitation to comment;(e)the right to receive a copy of the record of interview and either approve it or add
observations.

(f)where the Commission has made judicial recommendations pursuant to Article
64(6), and without prejudice to the confidentiality rights of whistle-blowers andinformants, and in accordance with the applicable confidentiality and dataprotection rules, the person in question may request the Commission to provide thereport drawn up under Article 64(6) to the extent that it relates to that person. The
Commission shall grant access only with the explicit consent of all recipients of thereport.

The Commission shall seek evidence for and against the notifier, the person who arranges
the shipment, the waste producer, the waste holder, the waste carrier, the consignee or thefacility 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 ensure the confidentiality of the inspections, of the interview andof the request carried out pursuant to this section. Information transmitted or obtained in
the course of the inspections, interview and requests pursuant to this section shall be
subject to data protection rules.

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Article 68
Mutual assistance▌2.

For the purposes of applying this Regulation and without prejudice to Articles 61 and 62of this Regulation Regulation (EC) No 515/97, except for Article 2a, Articles 18a to 18e,
Titles IV to VII, and the Annex, shall apply mutatis mutandis to the cooperation between
the relevant authorities of the Member States and the Commission implementing theprovisions in this section.

Title VIII
Final provisions

Article 68a
Format of communications
Where the provisions in Article 26 do not apply or where actors outside the Union are
not connected to the central system referred to in Article 26(2), the relevant actors may
submit and exchange information and documents referred to in this Regulation by post,
fax, email with digital signature, e-mail without digital signature followed by post or,
where agreed between the actors concerned, by email without digital signature. In caseof email with digital signature, any stamp or signature required shall be replaced by thedigital signature.

Article 69
Reporting1.

Before the end of each calendar year, each Member State shall submit to 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.

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2.

Before the end of each calendar year, Member States shall also draw up a report for theprevious calendar year, based on the additional reporting questionnaire in Annex XI, andsubmit it to the Commission. Within a month of submission of that report to theCommission, Member States shall make the section of that report relating to Articles 24,
57(1) and 60(1), including Table 5 of Annex XI, publicly available, electronically via theinternet, together with any explanation that the Member States consider to be appropriate,
and inform the Commission on the related hyperlinks. The Commission shall compile alist of the Member States’ hyperlinks 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.
In addition, the Commission shall address in that report the following elements:(a) trends in illegal shipments and best practices to tackle such shipments, taking into
account recommendations made by the waste shipment enforcement group referred
to in Article 63;(b) the efficiency of the procedure of prior written notification and consent laid downin Chapter 1 of Title II, and notably the related timelines inter alia by analysing
elements such as the amount of objections and consents, and the time between thesubmission of and a decision taken on a notification, based on data stored in thesystem referred to in Article 26;(c) contribution of the Regulation to climate neutrality, achieving circular economy
and zero pollution, taking into account the reports and data published by relevant
Union’s agencies.
The European Environment Agency shall support the Commission in the task ofmonitoring the implementation of the Regulation by, when appropriate, drawing up reports
providing an analysis of the shipments of specific waste streams, and of theirenvironmental impacts.

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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 thisRegulation] and every three years thereafter. ▌5.

After [OP: Please insert the date of 60 months following the date of entry into force of
this Regulation], the Commission shall draw up a report assessing whether the
implementation of the provisions contained in Articles 36 to 43 has ensured theenvironmentally sound management of plastic waste, both in the EU and in countries
where such waste has been exported from the Union, as well as no significant adverse
effects occurred on the treatment of domestic waste in importing countries. It shall take
into consideration information and elements provided by Member States involved inexport of plastic waste, by the competent authorities of the countries of import, as well as
by economic operators and civil society organisations.
The report shall also provide information on the evolution of the capacity of waste
operators in the Union to manage plastic waste generated in the Member States andimported into the Union in an environmentally sound manner.
The report shall also assess if the provisions on the shipments of waste between Member
States have contributed to improving the management of plastic waste, especially looking
at the classification of plastic waste under code EU3011.
This report shall be accompanied, if appropriate, by a legislative proposal to amend thisRegulation, which could include stricter conditions on the export of plastic waste to third
countries, including export prohibitions.

Article 70
International cooperation
Member States, where appropriate and necessary in liaison with the Commission, shallcooperate with other Parties to the Basel Convention and inter-State organisations, interalia, via the exchange and/or sharing of information, the promotion of environmentallysound technologies and the development of appropriate codes of good practice.

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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 only one single
competent authority of transit.

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 thecorrespondents of the Member States any questions put to him or her which concern theMember States, and vice versa.

Article 73
Designation of customs offices of entry and exit
Member States may designate specific customs offices of entry and exit for shipments ofwaste entering and leaving the Union. Where Member States decide to designate suchcustoms 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.

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2.

In relation to the designations referred to in paragraph 1, Member States shall provide theCommission with the following information:

3.

(a)

name(s);(b)

postal address(es);(c)

e-mail address(es);(d)

telephone number(s);(e)

languages acceptable to the competent authorities.

Member States shall immediately notify the Commission of any changes in the informationreferred to in paragraphs 1 and 2.

4.

The information referred to in paragraphs 1 and 2, as well as any changes in that
information shall be submitted to the Commission electronically.

5.

The Commission shall publish on its web-site lists of the designated competent authorities,
correspondents and, where relevant, customs offices of entry and exit, and shall update
those lists as appropriate.

Article 75
Amendment of Annexes I to XIa
1.

The Commission is empowered to adopt delegated acts in accordance with Article 76 toamend Annexes IA, IB, IC, II, III, IIIA, IIIB, IV, V, VI and VII in order to take account ofchanges agreed under the Basel Convention and the OECD Decision ▌ .

1a.

The Commission is empowered to adopt delegated acts in accordance with Article 76 toamend Annex IC, in order to adapt it to the implementation of Article 26, after[OP: Please insert the date two years after the date of entry into force of the Regulation].

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2.

The Commission is empowered to adopt delegated acts in accordance with Article 76 toamend Annex IIIA, in order to, following the submission of a request by a Member Stateor on its own initiative, include in that Annex mixtures of two or more wastes listed in
Annex III, provided that the composition of those mixtures does not impair theirenvironmentally sound recovery , and, where it is demonstrated that the mixture of wastein question will be managed in an environmentally sound manner within the Union or incountries to which the OECD Decision applies, provide that one or more of the entries inAnnex IIIA shall only apply for shipments between Member States, or shall not apply forexports to countries to which the OECD Decision does not apply.

3.

The Commission is empowered to adopt delegated acts in accordance with Article 76 toamend Annex IIIB, in order to, following the submission of a request by a Member State oron its own initiative, include in that Annex non-hazardous wastes not listed in Annex III,
Annex IV or Annex V, and, where it is demonstrated that the waste in question will be
managed in an environmentally sound manner within the Union or in countries towhich the OECD Decision applies, provide that one or more of the entries in Annex IIIB
shall only apply for shipments between Member States or shall not apply for exports tocountries to which the OECD Decision does not apply.

4.

The Commission is empowered to adopt delegated acts in accordance with Article 76 toamend Annex VIII as regards the form and content of the information referred to in that
Annex, based on experiences gained during implementation and to update the form andinformation in that Annex regarding Union legislation and international guidance as
regards environmentally sound management on the basis of developments in therelevant international fora or at Union level and to take account of scientific andtechnical progress.

5.

The Commission is empowered to adopt delegated acts in accordance with Article 76 toamend Annex IX, in order to update the lists of Union legislation and international
guidance as regards environmentally sound management on the basis of developments at
Union level or in the relevant international fora.

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6.

The Commission is empowered to adopt delegated acts in accordance with Article 76 toamend Annex X as regards the criteria contained in that Annex, based on experiences
gained during implementation and to update the information in that Annex regarding
Union legislation and international guidance on the basis of developments in therelevant international fora or at Union level as regards environmentally soundmanagement and to take account of scientific and technical progress.

7.

The Commission is empowered to adopt delegated acts in accordance with Article 76 toamend Annex XIa as regards the information contained in that Annex, based on
experiences gained during implementation.

Article 76
Exercise of the delegation
1.

The power to adopt delegated acts is conferred on the Commission subject to theconditions laid down in this Article.

2.

The delegation of power referred to in Articles 14(3), 15(5a), 18(12), 26(1a), 28(4), 36(5),38(1), 40(3a), 42(4), and 75 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 areport 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 such extension
not later than three months before the end of each period.

3.

The delegation of power referred to in Articles 14(3), 15(5a), 18(12), 26(1a), 28(4), 36(5),38(1), 40(3a), 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 affectthe validity of any 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-Making.

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5.

As soon as it adopts a delegated act, the Commission shall notify it simultaneously to theEuropean Parliament and to the Council.

6.

A delegated act adopted pursuant to Articles 14(3), 15(5a), 18(12), 26(1a), 28(4), 36(5),38(1), 40(3a), 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 expiryof that period, the European Parliament and the Council have both informed theCommission that they will not object. That period shall be extended by two months at theinitiative 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 shall be 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 shallapply.
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
Amendments to Regulation (EU) No 1257/2013
Regulation (EU) No 1257/2013 is amended as follows:(1)

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(2)

In Article 6(2) ▌ , 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 are considered as hazardous waste, are located in anarea under the national jurisdiction of a Member State and are exported from theUnion, only at those facilities included in the European List which are located incountries listed in Annex VII to the Basel Convention.”

Article 79
Amendment to Regulation (EU) No 2020/1056▌Regulation (EU) No 2020/1056 is amended as follows:’(1)

in Article 2(1)(a), point (iv) is replaced by the following:"(iv) Article 9(2), 16(1) and Article 18(1b) 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.";(2)

in Article 5, the following paragraph is inserted:"1a. By way of derogation to paragraph 1, competent authorities shall accept
regulatory information, including additional information, pursuant toRegulation (EU) No [OP: Please insert the number of this act] as from
24 months after the date of entry into force of that Regulation [n° new WSR].";(2a) in Article 5, paragraph 2 is deleted;(3)

in Article 7, the following paragraph is inserted:"3a. By way of derogation to paragraph 3, elements referred to in paragraph 1that are related to information requirements set out in the provisions referred toin point (iv) of Article 2(1)(a) shall be adopted no later than the date referred toin Article 26 (4) of Regulation [n° new WSR].";

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(4)

in Article 8, the following paragraph is inserted:"3a. By way of derogation to paragraph 3, elements referred to in paragraph 1that are specifically related to the accessing and processing by the authorities ofregulatory information in relation to requirements set out in the provisions
referred to in point (iv) of Article 2(1)(a), including the communication with theeconomic operators in relation to that information, shall be adopted no later
than the date referred to in Article 26 (4) of Regulation [n° new WSR].";(5)

in Article 9, the following paragraph is inserted:"2a. By way of derogation to paragraph 2, elements referred to in paragraph 1that are specifically related to the processing of regulatory information in
relation to requirements set out in the provisions referred to in point (iv) of
Article 2(1)(a) shall be adopted no later than the date referred to in Article 26(4) of Regulation [n° new WSR].”’

Article 80
Review
By 31 December 2035, the Commission shall, taking into account, inter alia, the reports
drawn up in accordance with Article 69, and the review referred to in Article 59(5), carryout 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 alegislative proposal.
The Commission shall, during its review and as a part of its report, assess in particular:(a) the efficiency of the procedure of prior written notification and consent laid down in
Chapter 1 of Title II, and notably the related timelines in Articles 8, 14, 15 and 16
inter alia by analyzing elements such as the amount of objections and consents, andthe time between the submission of and a decision taken on a notification. The
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(b) if publishing data on the shipments of waste in accordance with Article 21 provides
adequate transparency, in particular by analysing if and why names of the facilities
at destination were considered as confidential due to Union and national legislationby competent authorities or persons who arrange the shipments;(c) if the Regulation sufficiently contributed to climate neutrality, achieving circular
economy and zero pollution, taking into account the reports and data published byrelevant Union’s agencies.
The Commission shall, during its review and as a part of its report, assess in addition
whether the principle of equality in Union law has been respected, evaluate in thiscontext possible impacts to any Member State’s competitiveness, and take rectifying
measures where deemed necessary.

Article 81
Repeal and transitional provisions
1.

Regulation (EC) No 1013/2006 is repealed with effect from [OP: Please insert the date ofentry into force of this Regulation].

1a.

However, the provisions of Regulation (EC) No 1013/2006 shall continue to apply until[OP: Please insert the date 24 months after the date of entry into force of thisRegulation] except for:-a.

Article 30 that shall cease to apply from [OP: Please insert the date of entry into
force of this Regulation];a.

Article 37 that shall continue to apply until [OP: Please insert the date 36 months
after the date of entry into force of this Regulation];b.

Article 51 that shall continue to apply until 31 December [OP Please insert thecalendar year 15 months after the date of entry into force of this Regulation].

▌

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2.

Regulation (EC) No 1013/2006 shall also continue to apply to shipments for which a
notification has been submitted in accordance with Article 4 of that Regulation and forwhich the competent authority of destination has given its acknowledgement in accordancewith Article 8 of that Regulation before [OP: Please insert the date 24 months after thedate of entry into force of this Regulation]. For those shipments, the provisions of thisRegulation shall not apply.

2a.

Commission Regulation (EC) No 1418/2007 is repealed with effect from [OP: Please
insert the date 36 months after the date of entry into force of this Regulation].

3.

The recovery or disposal of waste in a shipment 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
24 months after the date of entry into force of this Regulation].

3a.

Shipment for which the competent authorities concerned have given their consent inaccordance with Article 14(2) of Regulation (EC) No 1013/2006 shall be completed notlater than three years from [OP: Please insert the date 24 months after the date of entry
into force of this Regulation].

3b.

A pre-consent of a facility in accordance with Article 14 of Regulation (EC)No 1013/2006 shall cease to be valid not later than five years from [OP: Please insert thedate of entry into force of this Regulation].

3c.

References to the repealed Regulation shall be construed as references to thisRegulation and shall be read in accordance with the correlation table set out inAnnex XII.

Article 82
Entry into force and application
1.

This Regulation shall enter into force on the twentieth day following that of its publicationin the Official Journal of the European Union.

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2.

It shall apply from [OP: Please insert the date 24 months after the entry into force of theRegulation].

3.

However, in relation to the following provisions, the following dates of application shallapply ▌(-a) Article 79, paragraphs 3 to 5 shall apply from 20 August 2020;(a)

Articles 2(2)(h), 7(10), 15(5a), 18(12), 26(4), 28 (1b) and (4), 30, 38 to 40, 42,
48(6), 58(7), 63 and 75 to 79 from the date of entry into force of this Regulation;(aa) Article 36(1)(ca) from [OP: Please insert the date 30 months after the date of entry
into force of the Regulation];(b)

Articles 37, 43 and 44 from [OP: Please insert the date 36 months after the date ofentry into force of the Regulation], except for Article 37(3)(aa) which shall apply
from [OP: Please insert the date 24 months after the date of entry into force of theRegulation];(c)

Article 69 from 1 January [OP Please insert the calendar year following the year
specified in Article 81(1a)].

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 President

The President

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