----

            REGULATION (EC) No 1013/2006 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL         

of 14 June 2006         

on shipments of waste

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 175(1) thereof,

Having regard to the proposal from the Commission,

Having regard to the opinion of the European Economic and Social Committee (1),

After consulting the Committee of the Regions,

Acting in accordance with the procedure laid down in Article 251 of the Treaty (2),

Whereas:

HAVE ADOPTED THIS REGULATION:

TITLE I

SCOPE AND DEFINITIONS

Article 1

Scope

1.   This Regulation establishes procedures and control regimes for the shipment of waste, depending on the origin, destination and route of the shipment, the type of waste shipped and the type of treatment to be applied to the waste at its destination.

2.   This Regulation shall apply to shipments of waste:

3.   The following shall be excluded from the scope of this Regulation:

4.   Shipments of waste from the Antarctic to countries outside the Community, which transit through the Community, shall be subject to Articles 36 and 49.

5.   Shipments of waste exclusively within a Member State shall be subject only to Article 33.

Article 2

Definitions

For the purposes of this Regulation:

TITLE II

SHIPMENTS WITHIN THE COMMUNITY WITH OR WITHOUT TRANSIT THROUGH THIRD COUNTRIES

Article 3

Overall procedural framework

1.   Shipments of the following wastes shall be subject to the procedure of prior written notification and consent as laid down in the provisions of this Title:

2.   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:

3.   For wastes listed in Annex III, in exceptional cases, the relevant provisions shall apply as if they had been listed in Annex IV, if they display any of the hazardous characteristics listed in Annex III to Directive 91/689/EEC. These cases shall be treated in accordance with Article 58.

4.   Shipments of waste explicitly destined for laboratory analysis to assess either its physical or chemical characteristics or to determine its suitability for recovery or disposal operations shall not be subject to the procedure of prior written notification and consent as described in paragraph 1. Instead, the procedural requirements of Article 18 shall apply. The amount of such waste exempted when explicitly destined for laboratory analysis shall be determined by the minimum quantity reasonably needed to adequately perform the analysis in each particular case, and shall not exceed 25 kg.

5.   Shipments of mixed municipal waste (waste entry 20 03 01) collected from private households, including where such collection also covers such waste from other producers, to recovery or disposal facilities shall, in accordance with this Regulation, be subject to the same provisions as shipments of waste destined for disposal.

CHAPTER 1

Prior written notification and consent

Article 4

Notification

Where the notifier intends to ship waste as referred to in Article 3(1)(a) or (b), he/she shall submit a prior written notification to and through the competent authority of dispatch and, if submitting a general notification, comply with Article 13.

When a notification is submitted, the following requirements shall be fulfilled:

Article 5

Contract

1.   All shipments of waste for which notification is required shall be subject to the requirement of the conclusion of a contract between the notifier and the consignee for the recovery or disposal of the notified waste.

2.   The contract shall be concluded and effective at the time of notification and for the duration of the shipment until a certificate is issued in accordance with Article 15(e), Article 16(e) or, where appropriate, Article 15(d).

3.   The contract shall include obligations:

4.   If the waste shipped is destined for interim recovery or disposal operations, the contract shall include the following additional obligations:

5.   If the waste is shipped between two establishments under the control of the same legal entity, the contract may be replaced by a declaration by the entity in question undertaking to recover or dispose of the notified waste.

Article 6

Financial guarantee

1.   All shipments of waste for which notification is required shall be subject to the requirement of a financial guarantee or equivalent insurance covering:

2.   The financial guarantee or equivalent insurance is intended to cover costs arising in the context of:

3.   The financial guarantee or equivalent insurance shall be established by the notifier or by another natural or legal person on its behalf and shall be effective at the time of the notification or, if the competent authority which approves the financial guarantee or equivalent insurance so allows, at the latest when the shipment starts, and 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.

However, in cases of import into the Community, the competent authority of destination in the Community shall review the amount of cover and, if necessary, approve an additional financial guarantee or equivalent insurance.

5.   The financial guarantee or equivalent insurance shall be valid for and cover a notified shipment and completion of recovery or disposal of the notified waste.

The financial guarantee or equivalent insurance shall be released when the competent authority concerned has received the certificate referred to in Article 16(e) or, where appropriate, in Article 15(e) as regards interim recovery or disposal operations.

6.   By way of derogation from paragraph 5, if the waste shipped is destined for interim recovery or disposal operations and a further recovery or disposal operation takes place in the country of destination, the financial guarantee or equivalent insurance may be released when the waste leaves the interim facility and the competent authority concerned has received the certificate referred to in Article 15(d). In this case, any further shipment to a recovery or disposal facility shall be covered by a new financial guarantee or equivalent insurance unless the competent authority of destination is satisfied that such a financial guarantee or equivalent insurance is not required. In these circumstances, the competent authority of destination shall be responsible for obligations arising in the case of an illegal shipment or for take-back where the shipment or the further recovery or disposal operation cannot be completed as intended.

7.   The competent authority within the Community which has approved the financial guarantee or equivalent insurance shall have access thereto 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, instead of one covering the entire general notification. In such cases, the financial guarantee or equivalent insurance shall apply to the shipment at the latest when the notified shipment it covers starts.

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

9.   Member States shall inform the Commission of provisions of national law adopted pursuant to this Article.

Article 7

Transmission of the notification by the competent authority of dispatch

1.   Once the notification has been properly carried out, as described in the second subparagraph, point 2 of Article 4, the competent authority of dispatch shall retain a copy of the notification and transmit the notification to the competent authority of destination with copies to any competent authority(ies) of transit, and shall inform the notifier of the transmission. This shall be done within three working days of receipt of the notification.

2.   If the notification is not properly carried out, the competent authority of dispatch shall request information and documentation from the notifier in accordance with the second subparagraph, point 2 of Article 4.

This shall be done within three working days of receipt of the notification.

In such cases the competent authority of dispatch shall have three working days following the receipt of the information and/or documentation requested in which to comply with paragraph 1.

3.   Once the notification has been properly carried out, as described in the second subparagraph, point 2 of Article 4, the competent authority of dispatch may decide, within three working days, not to proceed with the notification, if it has objections to the shipment in accordance with Articles 11 and 12.

It shall immediately inform the notifier of its decision and of these objections.

4.   If, within 30 days of receipt of the notification, the competent authority of dispatch has not transmitted the notification as required under paragraph 1, it shall provide the notifier with a reasoned explanation upon his/her request. This shall not apply when the request for information, referred to in paragraph 2, has not been complied with.

Article 8

Requests for information and documentation by the competent authorities concerned and acknowledgement by the competent authority of destination

1.   Following the transmission of the notification by the competent authority of dispatch, if any of the competent authorities concerned considers that additional information and documentation is required as referred to in the second subparagraph, point 3 of Article 4, it shall request such information and documentation from the notifier and inform the other competent authorities of such request. This shall be done within three working days of receipt of the notification. In such cases the competent authorities concerned shall have three working days following the receipt of the information and documentation requested in which to inform the competent authority of destination.

2.   When the competent authority of destination considers that the notification has been properly completed, as described in the second subparagraph, point 3 of Article 4, it shall send an acknowledgement to the notifier and copies to the other competent authorities concerned. This shall be done within three working days of receipt of the properly completed notification.

3.   If, within 30 days of receipt of the notification, the competent authority of destination has not acknowledged the notification as required under paragraph 2, it shall provide the notifier, upon his/her request, with a reasoned explanation.

Article 9

Consents by the competent authorities of destination, dispatch and transit and time periods for transport, recovery or disposal

1.   The competent authorities of destination, dispatch and transit shall have 30 days following the date of transmission of the acknowledgement by the competent authority of destination in accordance with Article 8 in which to take one of the following duly reasoned decisions in writing as regards the notified shipment:

Tacit consent by the competent authority of transit may be assumed if no objection is lodged within the said 30-day time limit.

2.   The competent authorities of destination, dispatch and, where appropriate, transit shall transmit their decision and the reasons therefor to the notifier in writing within the 30-day time limit referred to in paragraph 1, with copies to the other competent authorities concerned.

3.   The competent authorities of destination, dispatch and, where appropriate, transit shall signify their written consent by appropriately stamping, signing and dating the notification document or their copies thereof.

4.   A written consent to a planned shipment shall expire one calendar year after it is issued or on such later date as is indicated in the notification document. However, this shall not apply if a shorter period is indicated by the competent authorities concerned.

5.   Tacit consent to a planned shipment shall expire one calendar year after the expiry of the 30-day time limit referred to in paragraph 1.

6.   The planned shipment may take place only after fulfilment of the requirements of Article 16(a) and (b) and during the period of validity of the tacit or written consents of all competent authorities.

7.   The recovery or disposal of waste in relation to a planned shipment shall be completed no later than one calendar year from the receipt of the waste by the facility, unless a shorter period is indicated by the competent authorities concerned.

8.   The competent authorities concerned shall withdraw their consent when they have knowledge that:

9.   Any withdrawal of consent shall be transmitted by means of official notice to the notifier with copies to the other competent authorities concerned and to the consignee.

Article 10

Conditions for a shipment

1.   The competent authorities of dispatch, destination and transit may, within 30 days following the date of transmission of the acknowledgement of the competent authority of destination in accordance with Article 8, lay down conditions in connection with their consent to a notified shipment. Such conditions may be based on one or more of the reasons specified in either Article 11 or Article 12.

2.   The competent authorities of dispatch, destination and transit may also, within the 30-day time limit referred to in paragraph 1, lay down conditions in respect of the transport of waste within their jurisdiction. Such transport conditions shall not be more stringent than those laid down in respect of similar shipments occurring wholly within their 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 paragraph 1, lay down a condition that their consent is to be considered withdrawn if the financial guarantee or equivalent insurance is not applicable at the latest when the notified shipment starts, as required by Article 6(3).

4.   Conditions shall be transmitted to the notifier in writing by the competent authority that lays them down, with copies to the competent authorities concerned.

Conditions shall be supplied on, or annexed to, the notification document by the relevant competent authority.

5.   The competent authority of destination may also, within the 30-day time limit referred to in paragraph 1, lay down a condition that the facility which receives the waste shall keep a regular record of inputs, outputs and/or balances for wastes and the related recovery or disposal operations as contained in the notification, and for the period of validity of the notification. Such records shall be signed by a person legally responsible for the facility and be sent to the competent authority of destination within one month of completion of the notified recovery or disposal operation.

Article 11

Objections to shipments of waste destined for disposal

1.   Where a notification is submitted regarding a planned shipment of waste destined for disposal, the competent authorities of destination and dispatch may, within 30 days following the date of transmission of the acknowledgement of the competent authority of destination in accordance with Article 8, raise reasoned objections based on one or more of the following grounds and in accordance with the Treaty:

2.   The competent authority(ies) of transit may, within the 30-day time limit referred to in paragraph 1, raise reasoned objections based only on paragraph 1(b), (c), (d) and (f).

3.   In the case of hazardous waste produced in a Member State of dispatch in such a small quantity overall per year that the provision of new specialised disposal installations within that Member State would be uneconomic, paragraph 1(a) shall not apply.

The competent authority of destination shall cooperate with the competent authority of dispatch which considers that this paragraph and not paragraph 1(a) should apply, with a view to resolving the issue bilaterally.

If there is no satisfactory solution, either Member State may refer the matter to the Commission. The Commission shall then determine the issue in accordance with the procedure referred to in Article 18(3) of Directive 2006/12/EC.

4.   If, within the 30-day time limit referred to in paragraph 1, the competent authorities consider that the problems which gave rise to their objections have been resolved, they shall immediately inform the notifier in writing, with copies to the consignee and to the other competent authorities concerned.

5.   If the problems giving rise to the objections have not been resolved within the 30-day time limit referred to in paragraph 1, the notification shall cease to be valid. In cases where the notifier still intends to carry out the shipment, a new notification shall be submitted, unless all the competent authorities concerned and the notifier agree otherwise.

6.   Measures taken by Member States in accordance with paragraph 1(a), to prohibit generally or partially or to object systematically to shipments of waste destined for disposal, or in accordance with paragraph 1(e), shall immediately be notified to the Commission which shall inform the other Member States.

Article 12

Objections to shipments of waste destined for recovery

1.   Where a notification is submitted regarding a planned shipment of waste destined for recovery, the competent authorities of destination and dispatch may, within 30 days following the date of transmission of the acknowledgement of the competent authority of destination in accordance with Article 8, raise reasoned objections based on one or more of the following grounds and in accordance with the Treaty:

2.   The competent authority(ies) of transit may, within the 30-day time limit referred to in paragraph 1, raise reasoned objections to the planned shipment based only on paragraph 1(b), (d), (e) and (f).

3.   If, within the 30-day time limit referred to in paragraph 1, the competent authorities consider that the problems which gave rise to their objections have been resolved, they shall immediately inform the notifier in writing, with copies to the consignee and to the other competent authorities concerned.

4.   If the problems giving rise to the objections are not resolved within the 30-day time limit referred to in paragraph 1, the notification shall cease to be valid. In cases where the notifier still intends to carry out the shipment, a new notification shall be submitted, unless all the competent authorities concerned and the notifier agree otherwise.

5.   Objections raised by competent authorities in accordance with paragraph 1(c) shall be reported by Member States to the Commission in accordance with Article 51.

6.   The Member State of dispatch shall inform the Commission and the other Member States of the national legislation on which objections raised by competent authorities in accordance with paragraph 1(c) may be based, and shall state to which waste and waste recovery operations those objections apply, before such legislation is invoked in order to raise reasoned objections.

Article 13

General notification

1.   The notifier may submit a general notification to cover several shipments if, in the case of each shipment:

2.   If, owing to unforeseen circumstances, the same route cannot be followed, the notifier shall inform the competent authorities concerned as soon as possible and, if possible, before the shipment starts if the need for modification is already known.

Where the route modification is known before the shipment starts and involves competent authorities other than those concerned by the general notification, the general notification may not be used and a new notification shall be submitted.

3.   The competent authorities concerned may make their agreement to the use of a general notification subject to the subsequent provision of additional information and documentation, in accordance with the second subparagraph, points 2 and 3 of Article 4.

Article 14

Pre-consented recovery facilities

1.   The competent authorities of destination which have jurisdiction over specific recovery facilities may decide to issue pre-consents to such facilities.

Such decisions shall be limited to a specific period and may be revoked at any time.

2.   In the case of a general notification submitted in accordance with Article 13, the period of validity of the consent referred to in Article 9(4) and (5) may be extended to up to three years by the competent authority of destination in agreement with the other competent authorities concerned.

3.   Competent authorities which decide to issue a pre-consent to a facility in accordance with paragraphs 1 and 2 shall inform the Commission and, where appropriate, the OECD Secretariat of:

For this purpose the form set out in Annex VI shall be used.

4.   By way of derogation from Articles 9, 10 and 12, the consent given in accordance with Article 9, conditions imposed in accordance with Article 10 or objections raised in accordance with Article 12 by the competent authorities concerned shall be subject to a time limit of seven working days following the date of transmission of the acknowledgement of the competent authority of destination in accordance with Article 8.

5.   Notwithstanding paragraph 4, the competent authority of dispatch may decide that more time is needed in order to receive further information or documentation from the notifier.

In such cases, the competent authority shall, within seven working days, inform the notifier in writing with copies to the other competent authorities concerned.

The total time needed shall not exceed 30 days following the date of transmission of the acknowledgement of the competent authority of destination in accordance with Article 8.

Article 15

Additional provisions regarding interim recovery and disposal operations

Shipments of waste destined for interim recovery or disposal operations shall be subject to the following additional provisions:

Article 16

Requirements following consent to a shipment

After consent has been given to a notified shipment by the competent authorities involved, all undertakings involved shall complete the movement document, or, in the case of a general notification, the movement documents at the points indicated, sign it or them and retain a copy or copies. The following requirements shall be fulfilled:

Article 17

Changes in the shipment after consent

1.   If any essential change is made to the details and/or conditions of the consented shipment, including changes in the intended quantity, route, routing, date of shipment or carrier, the notifier shall inform the competent authorities concerned and the consignee immediately and, where possible, before the shipment starts.

2.   In such cases a new notification shall be submitted, unless all the competent authorities concerned consider that the proposed changes do not require a new notification.

3.   Where such changes involve competent authorities other than those concerned in the original notification, a new notification shall be submitted.

CHAPTER 2

General information requirements

Article 18

Waste to be accompanied by certain information

1.   Waste as referred to in Article 3(2) and (4) that is intended to be shipped shall be subject to the following procedural requirements:

2.   The contract referred to in Annex VII between the person who arranges the shipment and the consignee for recovery of the waste shall be effective when the shipment starts and 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 to complete the shipment of waste or its recovery (for example, is insolvent), on the consignee, to:

The person who arranges the shipment or the consignee shall provide a copy of the contract upon request by the competent authority concerned.

3.   For inspection, enforcement, planning and statistical purposes, Member States may in accordance with national legislation require information as referred to in paragraph 1 on shipments covered by this Article.

4.   The information referred to in paragraph 1 shall be treated as confidential where this is required by Community and national legislation.

CHAPTER 3

General requirements

Article 19

Prohibition on mixing waste during shipment

From the start of the shipment to the receipt in a recovery or disposal facility, waste, as specified on the notification document or as referred to in Article 18, shall not be mixed with other waste.

Article 20

Keeping of documents and information

1.   All documents sent to or by the competent authorities in relation to a notified shipment shall be kept in the Community for at least three years from the date when the shipment starts, by the competent authorities, the notifier, the consignee and the facility which receives the waste.

2.   Information given pursuant to Article 18(1) shall be kept in the Community for at least three years from the date when the shipment starts, by the person who arranges for the shipment, the consignee and the facility which receives the waste.

Article 21

Public access to notifications

The competent authorities of dispatch or destination may make publicly available by appropriate means, such as the Internet, information on notifications of shipments they have consented to, where such information is not confidential under national or Community legislation.

CHAPTER 4

Take-back obligations

Article 22

Take-back when a shipment cannot be completed as intended

1.   Where any of the competent authorities concerned becomes aware that a shipment of waste, including its recovery or disposal, cannot be completed as intended in accordance with the terms of the notification and movement documents and/or contract referred to in the second subparagraph, point 4 of Article 4 and in Article 5, it shall immediately inform the competent authority of dispatch. 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 in paragraph 3, the waste in question is taken back to its area of jurisdiction or elsewhere within the country of dispatch by the notifier as identified in accordance with the ranking established in point 15 of Article 2, or, if impracticable, by that competent authority itself or by a natural or legal person on its behalf.

This shall take place within 90 days, or such other period as may be agreed between the competent authorities concerned, after the competent authority of dispatch becomes aware or has been advised in writing by the competent authorities of destination or transit that the consented shipment of waste or its recovery or disposal cannot be completed and has been informed of the reason(s) therefor. Such advice may result from information submitted to the competent authorities of destination or transit, inter alia, by other competent authorities.

3.   The take-back obligation in paragraph 2 shall not apply if the competent authorities of dispatch, transit and destination involved in disposing of or recovering the waste are satisfied that the waste can be recovered or disposed of in an alternative way in the country of destination or elsewhere by the notifier or, if impracticable, by the competent authority of dispatch or by a natural or legal person on its behalf.

The take-back obligation in paragraph 2 shall not apply if the waste shipped has, in the course of the operation at the facility concerned, been irreversibly mixed with other waste before a competent authority concerned has become aware of the fact that the notified shipment cannot be completed as referred to in paragraph 1. Such mixture shall be recovered or disposed of in an alternative way in accordance with the first subparagraph.

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 reasoned request by the initial competent authority of dispatch is sufficient.

A new notification, where appropriate, shall be submitted by the initial notifier or, if impracticable, by any other natural or legal persons identified in accordance with point 15 of Article 2, or, if impracticable, by the initial competent authority of dispatch or by a natural or legal person on its behalf.

No competent authority shall oppose or object to the return of waste from a shipment that cannot be completed or to the related recovery and disposal operation.

5.   In cases of alternative arrangements outside the initial country of destination as referred to in paragraph 3, a new notification, where appropriate, shall be submitted by the initial notifier or, if impracticable, by any other natural or legal persons identified in accordance with point 15 of Article 2, or, if 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, this notification shall also be submitted to the competent authority of the initial country of dispatch.

6.   In cases of alternative arrangements in the initial country of destination as referred to in paragraph 3, a new notification shall not be required and a duly reasoned request shall suffice. Such a duly reasoned request, seeking agreement to the alternative arrangement, shall be transmitted to the competent authority of destination and dispatch by the initial notifier or, if impracticable, to the competent authority of destination by the initial competent authority of dispatch.

7.   If no new notification is to be submitted in accordance with paragraphs 4 or 6, a new movement document shall be completed in accordance with Article 15 or Article 16 by the initial notifier or, if impracticable, by any other natural or legal persons identified in accordance with point 15 of Article 2, or, if impracticable, by the initial competent authority of dispatch or by a natural or legal person on its behalf.

If a new notification is submitted by the initial competent authority of dispatch in accordance with paragraphs 4 or 5, a new financial guarantee or equivalent insurance shall not be required.

8.   The obligation of the notifier and the subsidiary obligation of the country of dispatch to take the waste back or arrange for alternative recovery or disposal shall end when the facility issues the certificate of non-interim recovery or disposal as referred to in Article 16(e) or, where appropriate, in Article 15(e). In the cases of interim recovery or disposal referred to in Article 6(6), the subsidiary obligation of the country of dispatch shall end when the facility issues the certificate referred to in Article 15(d).

If a facility issues a certificate of recovery or disposal in such a way as to result in an illegal shipment, with the consequence that the financial guarantee is released, Article 24(3) and Article 25(2) shall apply.

9.   Where waste from a shipment which cannot be completed, including its recovery or disposal, is discovered within a Member State, the competent authority with jurisdiction over the area where the waste was discovered shall be responsible for ensuring that arrangements are made for the safe storage of the waste pending its return or non-interim recovery or disposal in an alternative way.

Article 23

Costs for take-back when a shipment cannot be completed

1.   Costs arising from the return of waste from a shipment that cannot be completed, including costs of its transport, recovery or disposal pursuant to Article 22(2) or (3) and, from the date on which the competent authority of dispatch becomes aware that a shipment of waste or its recovery or disposal cannot be completed, storage costs pursuant to Article 22(9) shall be charged:

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

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.   If an illegal shipment is the responsibility of the notifier, the competent authority of dispatch shall ensure that the waste in question is:

This take-back, recovery or disposal shall take place within 30 days, or such other period as may be agreed between the competent authorities concerned after the competent authority of dispatch becomes aware of or has been advised in writing by the competent authorities of destination or transit of the illegal shipment and informed of the reason(s) therefor. Such advice may result from information submitted to the competent authorities of destination or transit, inter alia, by other competent authorities.

In cases of take-back as referred to in (a), (b) and (c), a new notification shall be submitted, unless the competent authorities concerned agree that a duly reasoned request by the initial competent authority of dispatch is sufficient.

The new notification shall be submitted by the person or authority listed in (a), (b) or (c) and in accordance with that order.

No competent authority shall oppose or object to the return of waste of an illegal shipment. In the case of alternative arrangements as referred to in (d) and (e) by the competent authority of dispatch, a new notification shall be submitted by the initial competent authority of dispatch or by a natural or legal person on its behalf unless the competent authorities concerned agree that a duly reasoned request by that authority is sufficient.

3.   If an illegal shipment is the responsibility of the consignee the competent authority of destination shall ensure that the waste in question is recovered or disposed of in an environmentally sound manner:

This recovery or disposal shall take place within 30 days, or such other period as may be agreed between the competent authorities concerned after the competent authority of destination becomes aware of or has been advised in writing by the competent authorities of dispatch or transit of the illegal shipment and informed of the reason(s) therefor. Such advice may result from information submitted to the competent authorities of dispatch and transit, inter alia, by other competent authorities.

To this end, the competent authorities concerned shall cooperate, as necessary, in the recovery or disposal of the waste.

4.   If no new notification is to be submitted, a new movement document shall be completed in accordance with Article 15 or 16 by the person responsible for take-back or, if impracticable, by the initial competent authority of dispatch.

If a new notification is submitted by the initial competent authority of dispatch, a new financial guarantee or equivalent insurance shall not be required.

5.   In particular in cases where responsibility for the illegal shipment cannot be imputed to either the notifier or the consignee, the competent authorities concerned shall cooperate to ensure that the waste in question is recovered or disposed of.

6.   In the cases of interim recovery or disposal referred to in Article 6(6) where an illegal shipment is discovered after completion of the interim recovery or disposal operation, the subsidiary obligation of the country of dispatch to take the waste back or arrange for alternative recovery or disposal shall end when the facility has issued the certificate referred to in Article 15(d).

If a facility issues a certificate of recovery or disposal in such a way as to result in an illegal shipment, with the consequence that the financial guarantee is released, paragraph 3 and Article 25(2) shall apply.

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

8.   Articles 34 and 36 shall not apply in cases where illegal shipments are returned to the country of dispatch and that country of dispatch is a country covered by the prohibitions set out in those Articles.

9.   In the case of an illegal shipment as defined in point 35(g) of Article 2, the person who arranges the shipment shall be subject to the same obligations established in this Article as the notifier.

10.   This Article shall be without prejudice to Community 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) and, from the date on which the competent authority of dispatch becomes aware that a shipment is illegal, storage costs pursuant to Article 24(7), shall be charged to:

2.   Costs arising from recovery or disposal pursuant to Article 24(3), including possible transport and storage costs pursuant to Article 24(7), shall be charged to:

3.   Costs arising from recovery or disposal pursuant to Article 24(5), including possible transport and storage costs pursuant to Article 24(7), shall be charged to:

4.   In the case of an illegal shipment as defined in point 35(g) of Article 2, the person who arranges the shipment shall be subject to the same obligations established in this Article as the notifier.

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

CHAPTER 5

General administrative provisions

Article 26

Format of the communications

1.   The information and documents listed below may be submitted by post:

2.   Subject to the agreement of the competent authorities concerned and the notifier, the documents referred to in paragraph 1 may alternatively be submitted using any of the following methods of communication:

3.   The documents to accompany each transport in accordance with Article 16(c) and Article 18 may be in an electronic form with digital signatures if they can be made readable at any time during the transport and if this is acceptable to the competent authorities concerned.

4.   Subject to the agreement of the competent authorities concerned and of the notifier, the information and documents listed in paragraph 1 may be submitted and exchanged by means of electronic data interchange with electronic signature or electronic authentication in accordance with Directive 1999/93/EC of the European Parliament and of the Council of 13 December 1999 on a Community framework for electronic signatures (20), or a comparable electronic authentication system which provides the same level of security. In such cases, organisational arrangements concerning the flow of electronic data interchange may be made.

Article 27

Language

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

2.   The notifier shall provide the competent authorities concerned with authorised translation(s) into a language which is acceptable to them, should they so request.

Article 28

Disagreement on classification issues

1.   If the competent authorities of dispatch and of destination cannot agree on the classification as regards the distinction between waste and non-waste, the subject matter shall be treated as if it were waste. This shall be without prejudice to the right of the country of destination to deal with the shipped material in accordance with its national legislation, following arrival of the shipped material and where such legislation is in accordance with Community or international law.

2.   If the competent authorities of dispatch and of destination cannot agree on the classification of the notified waste as being listed in Annex III, IIIA, IIIB or IV, the waste shall be regarded as listed in Annex IV.

3.   If the competent authorities of dispatch and destination cannot agree on the classification of the waste treatment operation notified as being recovery or disposal, the provisions regarding disposal shall apply.

4.   Paragraphs 1 to 3 shall apply only for the purposes of this Regulation, and shall be without prejudice to rights of interested parties to resolve any dispute related to these questions before a court of law or tribunal.

Article 29

Administrative costs

Appropriate and proportionate administrative costs of implementing the notification and supervision procedures and usual costs of appropriate analyses and inspections may be charged to the notifier.

Article 30

Border-area agreements

1.   In exceptional cases, and if the specific geographical or demographical situation warrants such a step, Member States may conclude bilateral agreements making the notification procedure for shipments of specific flows of waste less stringent in respect of cross-border shipments to the nearest suitable facility located in the border area between the two Member States concerned.

2.   Such bilateral agreements may also be concluded where waste is shipped from and treated in the country of dispatch but transits another Member State.

3.   Member States may also conclude such agreements with countries that are Parties to the Agreement on the European Economic Area.

4.   Such agreements shall be notified to the Commission before they take effect.

CHAPTER 6

Shipments within the Community with transit via third countries

Article 31

Shipments of waste destined for disposal

Where a shipment of waste takes place within the Community with transit via one or more third countries, and the waste is destined for disposal, the competent authority of dispatch shall, in addition to the provisions of this Title, ask the competent authority in the third countries whether it wishes to send its written consent to the planned shipment:

Article 32

Shipments of waste destined for recovery

1.   When a shipment of waste takes place within the Community with transit via one or more third countries to which the OECD Decision does not apply, and the waste is destined for recovery, Article 31 shall apply.

2.   When a shipment of waste takes place within the Community, including shipments between localities in the same Member State, with transit via one or more third countries to which the OECD Decision applies, and the waste is destined for recovery, the consent referred to in Article 9 may be provided tacitly, and if no objection has been lodged or no conditions have been specified, the shipment may start 30 days after the date of transmission of the acknowledgement by the competent authority of destination in accordance with Article 8.

TITLE III

SHIPMENTS EXCLUSIVELY WITHIN MEMBER STATES

Article 33

Application of this Regulation to shipments exclusively within Member States

1.   Member States shall establish an appropriate system for the supervision and control of shipments of waste exclusively within their jurisdiction. This system shall take account of the need for coherence with the Community system established by Titles II and VII.

2.   Member States shall inform the Commission of their system for supervision and control of shipments of waste. The Commission shall inform the other Member States thereof.

3.   Member States may apply the system provided for in Titles II and VII within their jurisdiction.

TITLE IV

EXPORTS FROM THE COMMUNITY TO THIRD COUNTRIES

CHAPTER 1

Exports of waste for disposal

Article 34

Export prohibited except to EFTA countries

1.   All exports of waste from the Community destined for disposal shall be prohibited.

2.   The prohibition in paragraph 1 shall not apply to exports of waste destined for disposal in EFTA countries which are also Parties to the Basel Convention.

3.   However, exports of waste for disposal to an EFTA country Party to the Basel Convention shall also be prohibited:

4.   This provision shall be without prejudice to the take-back obligations as laid down in Articles 22 and 24.

Article 35

Procedures when exporting to EFTA countries

1.   Where waste is exported from the Community and destined for disposal in EFTA countries Parties to the Basel Convention, the provisions of Title II shall apply mutatis mutandis, with the adaptations and additions listed in paragraphs 2 and 3.

2.   The following adaptations shall apply:

3.   The following additional provisions shall apply:

4.   The shipment may take place only if:

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 country of destination.

6.   If a customs office of export or a customs office of exit from the Community discovers an illegal shipment, it shall without delay inform the competent authority in the country of the customs office which shall:

CHAPTER 2

Exports of waste for recovery

Section 1

Exports to non-OECD Decision countries

Article 36

Exports prohibition

1.   Exports from the Community of the following wastes destined for recovery in countries to which the OECD Decision does not apply are prohibited:

2.   This provision shall be without prejudice to the take-back obligations as set out in Articles 22 and 24.

3.   Member States may, in exceptional cases, adopt provisions to determine, on the basis of documentary evidence provided in an appropriate way by the notifier, that a specific hazardous waste listed in Annex V is excluded from the export prohibition if it does not display any of the properties listed in Annex III to Directive 91/689/EEC, taking into account, as regards the properties H3 to H8, H10 and H11 defined in that Annex, the limit values laid down in Commission Decision 2000/532/EC of 3 May 2000 replacing Decision 94/3/EC establishing a list of wastes pursuant to Article 1(a) of Council Directive 75/442/EEC on waste and Council Decision 94/904/EC establishing a list of hazardous waste pursuant to Article 1(4) of Council Directive 91/689/EEC on hazardous waste (21).

4.   The fact that waste is not listed as hazardous in Annex V, or that it is listed in Annex V, Part 1, List B, shall not preclude, in exceptional cases, characterisation of such waste as hazardous and therefore subject to the export prohibition if it displays any of the properties listed in Annex III to Directive 91/689/EEC, taking into account, as regards the properties H3 to H8, H10 and H11 defined in that Annex, the limit values laid down in Commission Decision 2000/532/EC, as provided for in Article 1(4), second indent, of Directive 91/689/EEC and in the introductory paragraph of Annex III to this Regulation.

5.   In the cases referred to in paragraphs 3 and 4, the Member State concerned shall inform the envisaged country of destination prior to taking a decision. Member States shall notify such cases to the Commission before the end of each calendar year. The Commission shall forward the information to all Member States and to the Secretariat of the Basel Convention. On the basis of the information provided, the Commission may make comments and, where appropriate, adapt Annex V in accordance with Article 58.

Article 37

Procedures when exporting waste listed in Annex III or IIIA

1.   In the case of waste which is listed in Annex III or IIIA and the export of which is not prohibited under Article 36, the Commission shall, within 20 days of the entry into force of this Regulation, send a written request to each country to which the OECD Decision does not apply, seeking:

Each country to which the OECD Decision does not apply shall be given the following options:

2.   Before the date of application of this Regulation, the Commission shall adopt a Regulation taking into account all replies received pursuant to paragraph 1 and shall inform the Committee established pursuant to Article 18 of Directive 2006/12/EC.

If a country has not issued a confirmation as referred to in paragraph 1 or if a country for any reason has not been contacted, paragraph 1(b) shall apply.

The Commission shall periodically update the Regulation adopted.

3.   If a country indicates in its reply that certain shipments of waste are not subject to any control, Article 18 shall apply mutatis mutandis to such shipments.

4.   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 country of destination.

5.   In the case of a shipment of waste not classified under one single entry in Annex III or a shipment of mixtures of wastes not classified under one single entry in Annex III or IIIA or a shipment of waste classified in Annex IIIB, and provided that the export is not prohibited pursuant to Article 36, paragraph 1(b) of this Article shall apply.

Section 2

Exports to OECD-Decision countries

Article 38

Exports of waste listed in Annexes III, IIIA, IIIB, IV and IVA

1.   Where waste listed in Annexes III, IIIA, IIIB, IV and IVA, waste not classified or mixtures of wastes not classified under one single entry in either Annex III, IV or IVA are exported from the Community and destined for recovery in countries to which the OECD Decision applies, with or without transit through countries to which the OECD Decision applies, the provisions of Title II shall apply mutatis mutandis, with the adaptations and additions listed in paragraphs 2, 3 and 5.

1.   The following adaptations shall apply:

3.   As regards exports of waste listed in Annexes IV and IVA, the following additional provisions shall apply:

4.   The shipment may take place only if:

5.   If an export as described in paragraph 1 of waste listed in Annexes IV and IVA is in transit through a country to which the OECD Decision does not apply, the following adaptations shall apply:

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 country of destination.

7.   If a customs office of export or a customs office of exit from the Community discovers an illegal shipment, it shall without delay inform the competent authority in the country of the customs office which shall:

CHAPTER 3

General provisions

Article 39

Exports to the Antarctic

Exports of waste from the Community to the Antarctic shall be prohibited.

Article 40

Exports to overseas countries or territories

1.   Exports from the Community of waste destined for disposal in overseas countries or territories shall be prohibited.

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

3.   As regards exports of waste destined for recovery in overseas countries or territories not covered by the prohibition set out in paragraph 2, the provisions of Title II shall apply mutatis mutandis.

TITLE V

IMPORTS INTO THE COMMUNITY FROM THIRD COUNTRIES

CHAPTER 1

Imports of waste for disposal

Article 41

Imports prohibited except from a country Party to the Basel Convention or with an agreement in place or from other areas during situations of crisis or war

1.   Imports into the Community of waste destined for disposal shall be prohibited except those from:

2.   In exceptional cases, individual 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, as referred to in Article 49, in the country of dispatch.

These agreements and arrangements shall be compatible with Community legislation and in accordance with Article 11 of the Basel Convention.

These agreements and arrangements shall guarantee that the disposal operations will be carried out in an authorised facility and will comply with the requirements for environmentally sound management.

These agreements and arrangements shall also 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.

These agreements or arrangements shall be notified to the Commission prior to their conclusion. However, in emergency situations they may be notified up to one month after conclusion.

3.   Bilateral or multilateral agreements or arrangements entered into in accordance with paragraph 1(b) and (c) shall be based upon the procedural requirements of Article 42.

4.   The countries referred to in paragraph 1(a), (b) and (c) shall be required to present a prior duly reasoned request to the competent authority of the Member State of destination on the basis that they do not have and cannot reasonably acquire the technical capacity and the necessary facilities in order to dispose of the waste in an environmentally sound manner.

Article 42

Procedural requirements for imports from a country Party to the Basel Convention or from other areas during situations of crisis or war

1.   Where waste is imported into the Community and destined for disposal from countries Parties to the Basel Convention, the provisions of Title II shall apply mutatis mutandis, with the adaptations and additions listed in paragraphs 2 and 3.

2.   The following adaptations shall apply:

3.   The following additional provisions shall apply:

4.   The shipment may take place only if:

5.   If a customs office of entry into the Community discovers an illegal shipment, it shall without delay inform the competent authority in the country of the customs office which shall:

CHAPTER 2

Imports of waste for recovery

Article 43

Imports prohibited except from an OECD Decision country or a country Party to the Basel Convention or with an agreement in place or from other areas during situations of crisis or war

1.   All imports into the Community of waste destined for recovery shall be prohibited except those from:

2.   In exceptional cases, individual Member States may conclude bilateral agreements and arrangements for the recovery of specific waste in those Member States, where such waste will not be managed in an environmentally sound manner, as referred to in Article 49, in the country of dispatch.

In such cases Article 41(2) shall apply.

3.   Bilateral or multilateral agreements or arrangements entered into in accordance with paragraph 1(c) and (d) shall be based upon the procedural requirements of Article 42 in so far as may be relevant.

Article 44

Procedural requirements for imports from an OECD Decision country or from other areas during situations of crisis or war

1.   Where waste destined for recovery is imported into the Community from countries and through countries to which the OECD Decision applies, the provisions of Title II shall apply mutatis mutandis, with the adaptations and additions listed in paragraphs 2 and 3.

2.   The following adaptations shall apply:

3.   In addition, Article 42(3)(b), (c) and (d) shall be complied with.

4.   The shipment may take place only if:

5.   If a customs office of entry into the Community discovers an illegal shipment, it shall without delay inform the competent authority in the country of the customs office which shall:

Article 45

Procedural requirements for imports from a non-OECD Decision country Party to the Basel Convention or from other areas during situations of crisis or war

Where waste destined for recovery is imported into the Community:

Article 42 shall apply mutatis mutandis.

CHAPTER 3

General provisions

Article 46

Imports from overseas countries or territories

1.   Where waste is imported into the Community from overseas countries or territories, Title II shall apply mutatis mutandis.

2.   One or more overseas countries and territories and the Member State to which they are linked may apply national procedures to shipments from the overseas country or territory to that Member State.

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

TITLE VI

TRANSIT THROUGH THE COMMUNITY FROM AND TO THIRD COUNTRIES

CHAPTER 1

Transit of waste for disposal

Article 47

Transit through the Community of waste destined for disposal

Where waste destined for disposal is shipped through Member States from and to third countries, Article 42 shall apply mutatis mutandis, with the adaptations and additions listed below:

CHAPTER 2

Transit of waste for recovery

Article 48

Transit through the Community 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 47 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 44 shall apply mutatis mutandis, with the adaptations and additions listed below:

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

TITLE VII

OTHER PROVISIONS

CHAPTER 1

Additional obligations

Article 49

Protection of the environment

1.   The producer, the notifier and other undertakings involved in a shipment of waste and/or its recovery or disposal shall take the necessary steps to ensure that any waste they ship is managed without endangering human health and in an environmentally sound manner throughout the period of shipment and during its recovery and disposal. In particular, when the shipment takes place in the Community, the requirements of Article 4 of Directive 2006/12/EC and other Community legislation on waste shall be respected.

2.   In the case of exports from the Community, the competent authority of dispatch in the Community shall:

Environmentally sound management may, inter alia, be assumed as regards the waste recovery or disposal operation concerned, if the notifier or the competent authority in the country of destination can demonstrate that the facility which receives the waste will be operated in accordance with human health and environmental protection standards that are broadly equivalent to standards established in Community legislation.

This assumption shall, however, be without prejudice to the overall assessment of environmentally sound management throughout the period of shipment and including recovery or disposal in the third country of destination.

For the purposes of seeking guidance on environmentally sound management, the guidelines listed in Annex VIII may be considered.

3.   In the case of imports into the Community, the competent authority of destination in the Community shall:

Article 50

Enforcement in Member States

1.   Member States shall lay down the rules on penalties applicable for infringement of the provisions of this Regulation and shall take all measures necessary to ensure that they are implemented. The penalties provided for must be effective, proportionate and dissuasive. Member States shall notify the Commission of their national legislation relating to prevention and detection of illegal shipments and penalties for such shipments.

2.   Member States shall, by way of measures for the enforcement of this Regulation, provide, inter alia, for inspections of establishments and undertakings in accordance with Article 13 of Directive 2006/12/EC, and for spot checks on shipments of waste or on the related recovery or disposal.

3.   Checks on shipments may take place in particular:

4.   Checks on shipments shall include the inspection of documents, the confirmation of identity and, where appropriate, physical checking of the waste.

5.   Member States shall cooperate, bilaterally or multilaterally, with one another in order to facilitate the prevention and detection of illegal shipments.

6.   Member States shall identify those members of their permanent staff responsible for the cooperation referred to in paragraph 5 and identify the focal point(s) for the physical checks referred to in paragraph 4. The information shall be sent to the Commission which shall distribute a compiled list to the correspondents referred to in Article 54.

7.   At the request of another Member State, a Member State may take enforcement action against persons suspected of being engaged in the illegal shipment of waste who are present in that Member State.

Article 51

Reports by Member States

1.   Before the end of each calendar year, each Member State shall send the Commission a copy of the report for the previous calendar year which, in accordance with Article 13(3) of the Basel Convention, it has drawn up and submitted to the Secretariat of that Convention.

2.   Before the end of each calendar year, Member States shall also draw up a report for the previous year based on the additional reporting questionnaire in Annex IX, and shall send it to the Commission.

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 establish every three years a report, based on these reports, on the implementation of this Regulation by the Community and its Member States.

Article 52

International cooperation

Member States, where appropriate and necessary in liaison with the Commission, shall cooperate with other Parties to the Basel Convention and inter-State organisations, inter alia, via the exchange and/or sharing of information, the promotion of environmentally sound technologies and the development of appropriate codes of good practice.

Article 53

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 54

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. The Commission correspondent shall forward to the correspondents of the Member States any questions put to him/her which concern the latter, and vice versa.

Article 55

Designation of customs offices of entry into and exit from the Community

Member States may designate specific customs offices of entry into and exit from the Community for shipments of waste entering and leaving the Community. If Member States decide to designate such customs offices, no shipment of waste shall be allowed to use any other frontier crossing points within a Member State for the purposes of entering or leaving the Community.

Article 56

Notification of, and information regarding, designations

1.   Member States shall notify the Commission of designations of:

2.   In relation to those designations, Member States shall notify the Commission of the following information:

3.   Member States shall immediately notify the Commission of any changes in this information.

4.   This information as well as any changes in the information shall be submitted to the Commission in an electronic as well as a paper version if so required.

5.   The Commission shall publish on its web-site lists of the designated competent authorities, correspondents and customs offices of entry into and exit from the Community, and shall update these lists as appropriate.

CHAPTER 2

Other provisions

Article 57

Meeting of the correspondents

The Commission shall, if requested by Member States or if otherwise appropriate, periodically hold a meeting of the correspondents to examine the questions raised by the implementation of this Regulation. Relevant stakeholders shall be invited to such meetings, or parts of meetings, where all Member States and the Commission are in agreement that this is appropriate.

Article 58

Amendment of Annexes

1.   The Annexes may be amended by the Commission by means of Regulations and in accordance with the procedure referred to in Article 18(3) of Directive 2006/12/EC, to take account of scientific and technical progress. In addition:

2.   When amending Annex IX, the Committee established by Council Directive 91/692/EEC of 23 December 1991 standardising and rationalising reports on the implementation of certain Directives relating to the environment (22) shall be fully associated with the deliberations.

3.   The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at three months.

Article 59

Additional measures

1.   The Commission may adopt additional measures related to the implementation of this Regulation as follows:

2.   Such measures shall be decided in accordance with the procedure referred to in Article 18(3) of Directive 2006/12/EC.

3.   The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at three months.

Article 60

Review

1.   By 15 July 2006, the Commission shall complete its review of the relationship between existing sectoral legislation on animal and public health, including shipments of waste covered by Regulation (EC) No 1774/2002, and the provisions of this Regulation. If necessary, this review shall be accompanied by appropriate proposals with a view to achieving an equivalent level of procedures and control regime for the shipment of such waste.

2.   Within five years from 12 July 2007, the Commission shall review the implementation of Article 12(1)(c), including its effect on environment protection and the functioning of the internal market. If necessary, this review shall be accompanied by appropriate proposals to amend this provision.

Article 61

Repeals

1.   Regulation (EEC) No 259/93 and Decision 94/774/EC are hereby repealed with effect from 12 July 2007.

2.   References made to the repealed Regulation (EEC) No 259/93 shall be construed as being made to this Regulation.

3.   Decision 1999/412/EC is hereby repealed with effect from 1 January 2008.

Article 62

Transition rules

1.   Any shipment that has been notified and for which the competent authority of destination has given acknowledgement before 12 July 2007 shall be subject to the provisions of Regulation (EEC) No 259/93.

2.   Any shipment for which the competent authorities concerned have given their consent pursuant to Regulation (EEC) No 259/93 shall be completed not later than one year from 12 July 2007.

3.   Reporting pursuant to Article 41(2) of Regulation (EEC) No 259/93 and Article 51 of this Regulation for the year 2007 shall be based on the questionnaire contained in Decision 1999/412/EC.

Article 63

Transitional arrangements for certain Member States

1.   Until 31 December 2010, all shipments to Latvia of waste for recovery listed in Annexes III and IV and shipments of waste for recovery not listed in those Annexes shall be subject to the procedure of prior written notification and consent in accordance with Title II.

By way of derogation from Article 12, the competent authorities shall object to shipments of waste for recovery listed in Annexes III and IV and shipments of waste for recovery not listed in those Annexes destined for a facility benefiting from a temporary derogation from certain provisions of Directive 96/61/EC during the period in which the temporary derogation is applied to the facility of destination.

2.   Until 31 December 2012, all shipments to Poland of waste for recovery listed in Annex III shall be subject to the procedure of prior written notification and consent in accordance with Title II.

By way of derogation from Article 12, until 31 December 2007, the competent authorities may raise objections to shipments to Poland for recovery of the following waste listed in Annexes III and IV in conformity with the grounds for objection laid down in Article 11:

With the exception of glass waste, paper waste and waste pneumatic tyres, this period may be extended until no later than 31 December 2012 in accordance with the procedure referred to in Article 18(3) of Directive 2006/12/EC.

By way of derogation from Article 12, until 31 December 2012, the competent authorities may raise objections in conformity with the grounds for objection laid down in Article 11 to shipments to Poland of:

By way of derogation from Article 12, competent authorities shall object to shipments of waste for recovery listed in Annexes III and IV and shipments of waste for recovery not listed in those Annexes destined for a facility benefiting from a temporary derogation from certain provisions of Directive 96/61/EC during the period in which the temporary derogation is applied to the facility of destination.

3.   Until 31 December 2011, all shipments to Slovakia of waste for recovery listed in Annexes III and IV and shipments of waste for recovery not listed in those Annexes shall be subject to the procedure of prior written notification and consent in accordance with Title II.

By way of derogation from Article 12, the competent authorities shall object to shipments of waste for recovery listed in Annexes III and IV and shipments of waste for recovery not listed in those Annexes destined for a facility benefiting from a temporary derogation from certain provisions of Directives 94/67/EC (23) and 96/61/EC, Directive 2000/76/EC of the European Parliament and of the Council of 4 December 2000 on the incineration of waste (24), and Directive 2001/80/EC of the European Parliament and of the Council of 23 October 2001 on the limitation of emissions of certain pollutants into the air from large combustion plants (25) during the period in which the temporary derogation is applied to the facility of destination.

4.   Until 31 December 2014, all shipments to Bulgaria of waste for recovery listed in Annex III shall be subject to the procedure of prior written notification and consent in accordance with Title II.

By way of derogation from Article 12, until 31 December 2009, the Bulgarian competent authorities may raise objections to shipments to Bulgaria for recovery of the following waste listed in Annexes III and IV in conformity with the grounds for objection laid down in Article 11: 

This period may be extended until no later than 31 December 2012 in accordance with the procedure referred to in Article 18(3) of Directive 2006/12/EC.

By way of derogation from Article 12, until 31 December 2009, the Bulgarian competent authorities may raise objections in conformity with the grounds for objection laid down in Article 11 to shipments to Bulgaria of:

By way of derogation from Article 12, the Bulgarian competent authorities shall object to shipments of waste for recovery listed in Annexes III and IV and shipments of waste for recovery not listed in those Annexes destined for a facility benefiting from a temporary derogation from certain provisions of Directive 96/61/EC or Directive 2001/80/EC during the period in which the temporary derogation is applied to the facility of destination.

5.   Until 31 December 2015, all shipments to Romania of waste for recovery listed in Annex III shall be subject to the procedure of prior written notification and consent in accordance with Title II.

By way of derogation from Article 12, until 31 December 2011, the Romanian competent authorities may raise objections to shipments to Romania for recovery of the following waste listed in Annexes III and IV in conformity with the grounds for objection laid down in Article 11:

This period may be extended until no later than 31 December 2015 in accordance with the procedure referred to in Article 18(3) of Directive 2006/12/EC.

By way of derogation from Article 12, until 31 December 2011, the Romanian competent authorities may raise objections in conformity with the grounds for objection laid down in Article 11 to shipments to Romania of:

This period may be extended until no later than 31 December 2015 in accordance with the procedure referred to in Article 18(3) of Directive 2006/12/EC.

By way of derogation from Article 12, the Romanian competent authorities shall object to shipments of waste for recovery listed in Annexes III and IV and shipments of waste for recovery not listed in those Annexes destined for a facility benefiting from a temporary derogation from certain provisions of Directive 96/61/EC, Directive 2000/76/EC or Directive 2001/80/EC during the period in which the temporary derogation is applied to the facility of destination.

6.   When reference is made in this Article to Title II in relation to waste listed in Annex III, Article 3(2), Article 4, second subparagraph, point 5, and Articles 6, 11, 22, 23, 24, 25 and 31 shall not apply.

Article 64

Entry into force and application

1.   This Regulation shall enter into force on the third day following that of its publication in the Official Journal of the European Union.

It shall apply from 12 July 2007.

2.   Should the date of accession of Bulgaria or Romania be later than the date of application specified in paragraph 1, Article 63(4) and (5) shall, by way of derogation from paragraph 1 of this Article, apply from the date of accession.

3.   Subject to the agreement of the Member States concerned, Article 26(4) may be applied before 12 July 2007.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Strasbourg, 14 June 2006.

For the European Parliament

The President

J. BORRELL FONTELLES            

For the Council

The President

H. WINKLER            

----

(1)OJ C 108, 30.4.2004, p. 58.

(2)  Opinion of the European Parliament of 19 November 2003 (OJ C 87 E, 7.4.2004, p. 281), Council Common Position of 24 June 2005 (OJ C 206 E, 23.8.2005, p. 1) and position of the European Parliament of 25 October 2005 (not yet published in the Official Journal). Council Decision of 29 May 2006.

(3)OJ L 30, 6.2.1993, p. 1. Regulation as last amended by Commission Regulation (EC) No 2557/2001 (OJ L 349, 31.12.2001, p. 1).

(4)OJ L 310, 3.12.1994, p. 70.

(5)OJ L 156, 23.6.1999, p. 37.

(6)OJ L 39, 16.2.1993, p. 1.

(7)OJ L 39, 16.2.1993, p. 3.

(8)OJ L 272, 4.10.1997, p. 45.

(9)OJ L 22, 24.1.1997, p. 14.

(10)OJ L 273, 10.10.2002, p. 1. Regulation as last amended by Commission Regulation (EC) No 416/2005 (OJ L 66, 12.3.2005, p. 10).

(11)OJ L 114, 27.4.2006, p. 9.

(12)OJ L 257, 10.10.1996, p. 26. Directive as last amended by Regulation (EC) No 166/2006 of the European Parliament and of the Council (OJ L 33, 4.2.2006, p. 1).

(13)OJ L 314, 30.11.2001, p. 1.

(14)OJ L 184, 17.7.1999, p. 23.

(15)OJ L 35, 12.2.1992, p. 24.

(16)OJ L 377, 31.12.1991, p. 20. Directive as amended by Directive 94/31/EC (OJ L 168, 2.7.1994, p. 28).

(17)OJ L 302, 19.10.1992, p. 1. Regulation as last amended by Regulation (EC) No 648/2005 of the European Parliament and of the Council (OJ L 117, 4.5.2005, p. 13).

(18)OJ L 253, 11.10.1993, p. 1. Regulation as last amended by Regulation (EC) No 215/2006 (OJ L 38, 9.2.2006, p. 11).

(19)OJ L 204, 21.7.1998, p. 37. Directive as last amended by the 2003 Act of Accession.

(20)OJ L 13, 19.1.2000, p. 12.

(21)OJ L 226, 6.9.2000, p. 3. Decision as last amended by Council Decision 2001/573/EC (OJ L 203, 28.7.2001, p. 18).

(22)OJ L 377, 31.12.1991, p. 48. Directive as amended by Regulation (EC) No 1882/2003 of the European Parliament and of the Council (OJ L 284, 31.10.2003, p. 1).

(23)OJ L 365, 31.12.1994, p. 34.

(24)OJ L 332, 28.12.2000, p. 91.

(25)OJ L 309, 27.11.2001, p. 1. Directive as amended by the 2003 Act of Accession.

----

ANNEX IA
Text of image

Notification document for transboundary movements/shipments of waste EU

1. Exporter - notifier

Registration No:

Name:

Address:

Contact person:

Tel.:

Fax:

E-mail:

3. Notification:

Notification concerning

A.

(i) Individual shipment:

(ii) Multiple shipments:

B.

(i) Disposal (1):

(ii) Recovery:

C. Pre-consented recovery facility (2, 3)

Yes No

2. Importer - Consignee

Registration No:

Name:

Address:

Contact person:

Tel.:

Fax:

E-mail:

4. Total intended number of shipments:

5. Total intended quantity (kg/litre) (4):

6. Intended period of time for shipment(s) (4):

First departure:

Last departure:

7. Packaging type(s) (5):

Special handling requirements (6):

Yes No

11. Disposal/recovery operation(s) (2)

D code/R code (5):

Technology employed (6):

Reason for export (1, 6):

8. Intended carrier(s)

Registration No:

Name (7):

Address:

Contact person:

Tel.:

Fax:

E-mail:

Means of transport (5):

12. Designation and composition of the waste (6):

9. Waste generator(s)/producer(s) (1, 7, 8)

Registration No:

Name:

Address:

Contact person:

Tel.:

Fax:

E-mail:

Site and process of generation (6):

13. Physical characteristics (5):

14. Waste identification(fill in relevant codes)

(i) Basel Annex VIII (or IX if applicable):

(ii) OECD code (if different from (i)):

(iii) EC list of wastes:

(iv) National code in country of export:

(v) National code in country of import:

(vi) Other (specify):

(vii) Y-code:

(viii) H-code (5):

(ix) UN class (5):

(x) UN number:

(xi) UN shipping name:

(xii) Customs code(s) (HS):

10. Disposal facility (2):

or recovery facility (2):

Registration No:

Name:

Address:

Contact person:

Tel.:

Fax:

E-mail:

Actual site of disposal/recovery:

Text of image

15. Countries/States concerned (a), code No of competent authorities where applicable (b), specific points of exit or entry (c)

State of export/dispatch

(a)

(b)

(c)

State(s) of transit (entry and exit)

State of import/destination

16. Customs offices of entry and/or exit and/or export

(European Community):

Entry:

Exit:

Export:

17. Exporter's/notifier's - generator's/producer's (1) declaration:

I certify that the information is complete and correct to my best knowledge.

I also certify that legally enforceable written contractual obligations have been entered into and that any applicable insurance or other financial guarantee is or shall be in force covering the transboundary movement:

18. Number of annexes attached:

Exporter's/notifier's name:

Signature

Date

Generator's/producer's name:

Signature

Date

FOR USE BY COMPETENT AUTHORITIES

19. Acknowledgement from the relevant competent authority of countries of import - destination/transit (1) / export - dispatch (9):

Country:

Notification received on:

Acknowledgement sent on:

Name of competent authority:

Stamp and/or signature:

20. Written consent (1, 8) to the movement provided by the competent authority of(country):

Consent given on:

Consent valid from:

until:

Specific conditions:

No

If Yes, see block 21 (6)

Name of competent authority:

Stamp and/or signature:

21. Specific conditions on consenting to the movement or reasons for objecting:

(1) Required by the Basel Convention.

(2) In the case of an R12/R13 or D13-D15 operation, also attach corresponding information on the subsequent R1-R11 or D1-D12 facilit(y)ies when required.

(3) To be completed for movements within the OECD area and only if B(ii) applies.

(4) Attach detailed list if multiple shipments.

(5) See list of abbreviations and codes on the next page.

(6) Attach details if necessary.

(7) Attach list if more than one.

(8) If required by national legislation.

(9) If applicable under the OECD Decision.

Text of image

List of abbreviations and codes used in the notification document

DISPOSAL OPERATIONS (block 11)

D 1 Deposit into or onto land (e.g. landfill, etc.)

D2 Land treatment (e.g. biodegradation of liquid or sludgy discards in soils, etc.)

D3 Deep injection (e.g. injection of pumpable discards into wells, salt domes or naturally occurring repositories, etc.)

D4 Surface impoundment (e.g. placement of liquid or sludge discards into pits, ponds or lagoons, etc.)

D5 Specially engineered landfill, (e.g. placement into lined discrete cells which are capped and isolated from one another and the environment, etc.)

D6 Release into a water body except seas/oceans

D7 Release into seas/oceans including sea-bed insertion

D8 Biological treatment not specified elsewhere in this list which results in final compounds or mixtures which are discarded by means of any of the operations in this list

D9 Physico-chemical treatment not specified elsewhere in this list which results in final compounds or mixtures which are discarded by means of any of the operations in this list (e.g. evaporation, drying, calcination, etc.)

D10 Incineration on land

D11 Incineration at sea

D12 Permanent storage (e.g. emplacement of containers in a mine, etc.)

D13 Blending or mixing prior to submission to any of the operations in this list

D14 Repackaging prior to submission to any of the operations in this list

D15 Storage pending any of the operations numbered in this list

RECOVERY OPERATIONS (block 11)

R1 Use as a fuel (other than in direct incineration) or other means to generate energy/use principally as a fuel or other means to generate energy

R2 Solvent reclamation/regeneration

R3 Recycling/reclamation of organic substances which are not used as solvents

R4 Recycling/reclamation of metals and metal compounds

R5 Recycling/reclamation of other inorganic materials

R6 Regeneration of acids or bases

R7 Recovery of components used for pollution abatement

R8 Recovery of components from catalysts

R9 Used oil re-refining or other reuses of previously used oil

R10 Land treatment resulting in benefit to agriculture or ecological improvement

R11 Uses of residual materials obtained from any of the operations numbered R1 to R10

R12 Exchange of wastes for submission to any of the operations numbered R1 to R11

R13 Accumulation of material intended for any operation in this list.

Text of image

PACKAGING TYPES (block 7)

1. Drum

2. Wooden barrel

3. Jerrican

4. Box

5. Bag

6. Composite packaging

7. Pressure receptacle

8. Bulk

9. Other (specify)

H CODE AND UN CLASS (block 14)

UN Class H code Characteristics

1 H1 Explosive

3 H3 Flammable liquids

4.1 H4.1 Flammable solids

4.2 H4.2 Substances or wastes liable to spontaneous combustion

4.3 H4.3 Substances or wastes which, in contact with water, emit flammable gases

5.1 H5.1 Oxidising

5.2 H5.2 Organic peroxides

6.1 H6.1 Poisonous (acute)

6.2 H6.2 Infectious substances

8 H8 Corrosives

9 H10 Liberation of toxic gases in contact with air or water

9 H11 Toxic (delayed or chronic)

9 H12 Ecotoxic

9 H13 Capable, by any means, after disposal of yielding another material, e.g. leachate, which possesses any of the characteristics listed above

MEANS OF TRANSPORT (block 8)

R = Road

T = Train/rail

S = Sea

A = Air

W = Inland waterways

PHYSICAL CHARACTERISTICS (block 13)

1. Powdery/powder

2. Solid

3. Viscous/paste

4. Sludgy

5. Liquid

6. Gaseous

7. Other (specify)

Further information, in particular related to waste identification (block 14), i.e. on Basel Annexes VIII and IX codes, OECD codes and Y codes, can be found in a Guidance/Instruction Manual available from the OECD and the Secretariat of the Basel Convention.

----

ANNEX IB
Text of image

Movement document for transboundary movements/shipments of EU waste

1. Corresponding to notification No:

2. Serial/total number of shipments:

3. Exporter - notifier

Registration No:

4. Importer - consignee

Registration No:

Name:

Name:

Address:

Address:

Contact person:

Contact person:

Tel.:

Fax:

Tel.:

Fax:

E-mail:

E-mail:

5. Actual quantity:

kg:

litre:

6. Actual date of shipment:

7. Packaging

type(s) (1):

Number of packages:

Special handling requirements:(2)

Yes

No

8 a) 1stcarrier(3):

Registration No:

Name:

Address:

Tel.:

Fax:

E-mail:

8 b) 2ndcarrier:

Registration No:

Name:

Address:

Tel.:

Fax:

E-mail:

8 c) Last carrier:

Registration No:

Name:

Address:

Tel.:

Fax:

E-mail:

To be completed by carrier's representative

More than three carriers (2)

Means of transport (1):

Date of transfer:

Signature:

Means of transport (1):

Date of transfer:

Signature:

Means of transport (1):

Date of transfer:

Signature:

9. Waste generator(s)/producer(s)(4;5;6):

Registration No:

Name:

Address:

Contact person:

Tel.:

Fax:

E-mail:

Site of generation (2):

12. Designation and composition of the waste(2):

13. Physical characteristics(1):

10. Disposal facility or recovery facility

Registration No:

Name:

Address:

Contact person:

Tel.:

Fax:

E-mail:

Actual site of disposal/recovery (2):

14. Waste identification(fill in relevant codes)

(i) Basel Annex VIII (or IX if applicable):

(ii) OECD code (if different from (i)):

(iii) EC list of wastes:

(iv) National code in country of export:

(v) National code in country of import:

(vi) Other (specify):

(vii) Y code:

(viii) H code (1):

(ix) UN class (1):

(x) UN number:

(xi) UN shipping name:

(xii) Customs code(s) (HS):

11. Disposal/recovery operation(s)

D code/R code (1):

Text of image

15. Exporter's - notifier's/generator's/producer's (4) declaration:

I certify that the above information is complete and correct to my best knowledge. I also certify that legally enforceable written contractual obligations have been entered into, that any applicable insurance or other financial guarantee is in force covering the transboundary movement and that all necessary consents have been received from the competent authorities of the countries concerned.

Name:

Signature:

Date:

16. For use by any person involved in the transboundary movement in case additional information is required:

TO BE COMPLETED BY DISPOSAL/RECOVERY FACILITY

17. Shipment received at disposal facility or recovery facility

Date of reception:

Accepted:

Rejected*:

Quantity received:

kg:

litre:

* immediately contact competent authorities

Approximate date of disposal/recovery:

Disposal/recovery operation (1):

Date:

Name:

Signature:

18. I certify that the disposal/recovery of the waste described above has been completed.

Date:

Name:

Signature and stamp:

(1) See list of abbreviations and codes on the next page.

(2) Attach details if necessary.

(3) If more than three carriers, attach information as required in blocks 8 (a,b,c).

(4) Required by the Basel Convention.

(5) Attach list if more than one.

(6) If required by national legislation.

Text of image

FOR USE BY CUSTOMS OFFICES (if required by national legislation)

19. COUNTRY OF EXPORT - DISPATCH OR CUSTOMS OFFICE OF EXIT

The waste described in this movement document left

the country on:

Signature:

Stamp:

20. COUNTRY OF IMPORT - DESTINATION OR CUSTOMS OFFICE OF ENTRY

The waste described in this movement document entered

the country on:

Signature:

Stamp:

21. STAMPS OF CUSTOMS OFFICES OF TRANSIT COUNTRIES

Name of country:

Entry:

Exit:

Name of country:

Entry:

Exit:

Name of country:

Entry:

Exit:

Name of country:

Entry:

Exit:

List of abbreviations and codes used in the movement document

DISPOSAL OPERATIONS (block 11)

D 1 Deposit into or onto land (e.g. landfill, etc.)

D 2 Land treatment (e.g. biodegradation of liquid or sludgy discards in soils, etc.)

D 3 Deep injection (e.g. injection of pumpable discards into wells, salt domes or naturally occurring repositories, etc.)

D 4 Surface impoundment (e.g. placement of liquid or sludge discards into pits, ponds or lagoons, etc.)

D 5 Specially engineered landfill (e.g. placement into lined discrete cells which are capped and isolated from one another and the environment)

D 6 Release into a water body except seas/oceans

D 7 Release into seas/oceans including sea-bed insertion

D 8 Biological treatment not specified elsewhere in this list which results in final compounds or mixtures which are discarded by means of any of the operations in this list

D 9 Physico-chemical treatment not specified elsewhere in this list which results in final compounds or mixtures which are discarded by means of any of the operations in this list (e.g. evaporation, drying, calcination)

D 10 Incineration on land

D 11 Incineration at sea

D 12 Permanent storage (e.g. emplacement of containers in a mine, etc.)

D 13 Blending or mixing prior to submission to any of the operations in this list

D 14 Repackaging prior to submission to any of the operations in this list

D 15 Storage pending any of the operations in this list

Recovery operations (block 11)

R 1 Use as a fuel (other than in direct incineration) or other means to generate energy/Use principally as a fuel or other means to generate energy

R 2 Solvent reclamation/regeneration

R 3 Recycling/reclamation of organic substances which are not used as solvents

R 4 Recycling/reclamation of metals and metal compounds

R 5 Recycling/reclamation of other inorganic materials

R 6 Regeneration of acids or bases

R 7 Recovery of components used for pollution abatement

R 8 Recovery of components from catalysts

R 9 Used oil re-refining or other reuses of previously used oil

R 10 Land treatment resulting in benefit to agriculture or ecological improvement

R 11 Uses of residual materials obtained from any of the operations numbered R 1 to R 10

R 12 Exchange of wastes for submission to any of the operations numbered R 1 to R 11

R 13 Accumulation of material intended for any operation in this list

Text of image

PACKAGING TYPES (block 7)

1. Drum

2. Wooden barrel

3. Jerrican

4. Box

5. Bag

6. Composite packaging

7. Pressure receptacle

8. Bulk

9. Other (specify)

H CODE AND UN CLASS (block 14)

UN Class H code Characteristics

1 H1 Explosive

3 H3 Flammable liquids

4.1 H4.1 Flammable solids

4.2 H4.2 Substances or wastes liable to spontaneous combustion

4.3 H4.3 Substances or wastes which, in contact with water, emit flammable gases

5.1 H5.1 Oxidising

5.2 H5.2 Organic peroxides

6.1 H6.1 Poisonous (acute)

6.2 H6.2 Infectious substances

8 H8 Corrosives

9 H10 Liberation of toxic gases in contact with air or water

9 H11 Toxic (delayed or chronic)

9 H12 Ecotoxic

9 H13 Capable, by any means, after disposal of yielding another material, e.g. leachate, which possesses any of the characteristics listed above

MEANS OF TRANSPORT (block 8)

R = road

T = train/rail

S = sea

A = air

W = inland waterways

PHYSICAL CHARACTERISTICS (block 13)

1. Powdery/powder

2. Solid

3. Viscous/paste

4. Sludgy

5. Liquid

6. Gaseous

7. Other (specify)

Further information, in particular related to waste identification (block 14), i.e. on Basel Annexes VIII and IX codes, OECD codes and Y codes, can be found in a Guidance/Instruction Manual available from the OECD and the Secretariat of the Basel Convention.

----

ANNEX IC

SPECIFIC INSTRUCTIONS FOR COMPLETING THE NOTIFICATION AND MOVEMENT DOCUMENTS

----

ANNEX II

INFORMATION AND DOCUMENTATION RELATED TO NOTIFICATION

Part 1:   Information to be supplied on, or annexed to, the notification document:

Part 2:   Information to be supplied on, or annexed to, the movement document:

Supply all information listed in Part 1, updated in accordance with the points set out below, and the other additional information specified:

Part 3:   Additional information and documentation that may be requested by the competent authorities:

----

ANNEX III

LIST OF WASTES SUBJECT TO THE GENERAL INFORMATION REQUIREMENTS LAID DOWN IN ARTICLE 18

(‘GREEN’ LISTED WASTE) (1)

Regardless of whether or not wastes are included on this list, they may not be subject to the general information requirements laid down in Article 18 if they are contaminated by other materials to an extent which

Part I

The following wastes will be subject to the general information requirements laid down in Article 18:

Wastes listed in Annex IX to the Basel Convention (2).

For the purposes of this Regulation:

Part II

The following wastes will also be subject to the general information requirements laid down in Article 18:

Metal bearing wastes arising from melting, smelting and refining of metals

Other wastes containing metals

Glass waste in non-dispersible form

Ceramic wastes in non-dispersible form

Other wastes containing principally inorganic constituents, which may contain metals and organic materials

Solid plastic wastes

Wastes arising from tanning and fellmongery operations and leather use

----

(1)  This list originates from the OECD Decision, Appendix 3.

(2)  Annex IX to the Basel Convention is listed in this Regulation in Annex V, Part 1, List B.

(3)              ‘Non-dispersible’ does not include any wastes in the form of powder, sludge, dust or solid items containing encased hazardous waste liquids.

ANNEX IIIA

MIXTURES OF TWO OR MORE WASTES LISTED IN ANNEX III AND NOT CLASSIFIED UNDER ONE SINGLE ENTRY AS REFERRED TO IN ARTICLE 3(2)

ANNEX IIIB

ADDITIONAL GREEN LISTED WASTE AWAITING INCLUSION IN THE RELEVANT ANNEXES TO THE BASEL CONVENTION OR THE OECD DECISION AS REFERRED TO IN ARTICLE 58(1)(B)

----

ANNEX IV

LIST OF WASTES SUBJECT TO THE PROCEDURE OF PRIOR WRITTEN NOTIFICATION AND CONSENT (‘AMBER’ LISTED WASTE) (1)

Part I

The following wastes will be subject to the procedure of prior written notification and consent:

Wastes listed in Annexes II and VIII to the Basel Convention (2).

For the purposes of this Regulation:

Part II

The following wastes will also be subject to the procedure of prior written notification and consent:

Metal bearing wastes

Wastes containing principally inorganic constituents, which may contain metals and organic materials

Wastes containing principally organic constituents, which may contain metals and inorganic materials

Wastes which may contain either inorganic or organic constituents

Wastes containing principally inorganic constituents, which may contain metals and organic materials

----

(1)  This list originates from the OECD Decision, Appendix 4.

(2)  Annex VIII to the Basel Convention is listed in this Regulation in Annex V, Part 1, List A. Annex II to the Basel Convention contains the following entries: Y46 Waste collected from households unless appropriately classified under a single entry in Annex III. Y47 Residues arising from the incineration of household wastes.

(3)  This listing includes wastes in the form of ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake, unless a material is expressly listed elsewhere.

ANNEX IVA

WASTE LISTED IN ANNEX III BUT SUBJECT TO THE PROCEDURE OF PRIOR WRITTEN NOTIFICATION AND CONSENT (ARTICLE 3(3))

----

ANNEX V

WASTE SUBJECT TO THE EXPORT PROHIBITION IN ARTICLE 36

Introductory notes

Part 1 (1)

List A (Annex VIII to the Basel Convention)

A1   METAL AND METAL BEARING WASTES

A2   WASTES CONTAINING PRINCIPALLY INORGANIC CONSTITUENTS, WHICH MAY CONTAIN METALS AND ORGANIC MATERIALS

A3   WASTES CONTAINING PRINCIPALLY ORGANIC CONSTITUENTS, WHICH MAY CONTAIN METALS AND INORGANIC MATERIALS

A4   WASTES WHICH MAY CONTAIN EITHER INORGANIC OR ORGANIC CONSTITUENTS

List B (Annex IX to the Basel Convention)

B1   METAL AND METAL BEARING WASTES

B2   WASTES CONTAINING PRINCIPALLY INORGANIC CONSTITUENTS, WHICH MAY CONTAIN METALS AND ORGANIC MATERIALS

B3   WASTES CONTAINING PRINCIPALLY ORGANIC CONSTITUENTS, WHICH MAY CONTAIN METALS AND INORGANIC MATERIALS

B4   WASTES WHICH MAY CONTAIN EITHER INORGANIC OR ORGANIC CONSTITUENTS

Part 2

Wastes listed in the Annex to Decision 2000/532/EC (18)

01   WASTES RESULTING FROM EXPLORATION, MINING, QUARRYING, AND PHYSICAL AND CHEMICAL TREATMENT OF MINERALS

02   WASTES FROM AGRICULTURE, HORTICULTURE, AQUACULTURE, FORESTRY, HUNTING AND FISHING, FOOD PREPARATION AND PROCESSING

03   WASTES FROM WOOD PROCESSING AND THE PRODUCTION OF PANELS AND FURNITURE, PULP, PAPER AND CARDBOARD

04   WASTES FROM THE LEATHER, FUR AND TEXTILE INDUSTRIES

05   WASTES FROM PETROLEUM REFINING, NATURAL GAS PURIFICATION AND PYROLYTIC TREATMENT OF COAL

06   WASTES FROM INORGANIC CHEMICAL PROCESSES

07   WASTES FROM ORGANIC CHEMICAL PROCESSES

08   WASTES FROM THE MANUFACTURE, FORMULATION, SUPPLY AND USE (MFSU) OF COATINGS (PAINTS, VARNISHES AND VITREOUS ENAMELS), ADHESIVES, SEALANTS AND PRINTING INKS

09   WASTES FROM THE PHOTOGRAPHIC INDUSTRY

10   WASTES FROM THERMAL PROCESSES

11   WASTES FROM CHEMICAL SURFACE TREATMENT AND COATING OF METALS AND OTHER MATERIALS; NON-FERROUS HYDRO‐METALLURGY

12   WASTES FROM SHAPING AND PHYSICAL AND MECHANICAL SURFACE TREATMENT OF METALS AND PLASTICS

13   OIL WASTES AND WASTES OF LIQUID FUELS (EXCEPT EDIBLE OILS, AND THOSE IN CHAPTERS 05, 12 AND 19)

14   WASTE ORGANIC SOLVENTS, REFRIGERANTS AND PROPELLANTS (EXCEPT 07 AND 08)

15   WASTE PACKAGING; ABSORBENTS, WIPING CLOTHS, FILTER MATERIALS AND PROTECTIVE CLOTHING NOT OTHERWISE SPECIFIED

16   WASTES NOT OTHERWISE SPECIFIED IN THE LIST

17   CONSTRUCTION AND DEMOLITION WASTES (INCLUDING EXCAVATED SOIL FROM CONTAMINATED SITES)

18   WASTES FROM HUMAN OR ANIMAL HEALTH CARE AND/OR RELATED RESEARCH (EXCEPT KITCHEN AND RESTAURANT WASTES NOT ARISING FROM IMMEDIATE HEALTH CARE)

19   WASTES FROM WASTE MANAGEMENT FACILITIES, OFF-SITE WASTE WATER TREATMENT PLANTS AND THE PREPARATION OF WATER INTENDED FOR HUMAN CONSUMPTION AND WATER FOR INDUSTRIAL USE

20   MUNICIPAL WASTES (HOUSEHOLD WASTE AND SIMILAR COMMERCIAL, INDUSTRIAL AND INSTITUTIONAL WASTES) INCLUDING SEPARATELY COLLECTED FRACTIONS

Part 3

List A (Annex II to the Basel Convention) (25)

List B (Waste from Appendix 4, Part II of the OECD Decision (27)

Metal bearing wastes

Wastes containing principally inorganic constituents, which may contain metals and organic materials

Wastes containing principally organic constituents, which may contain metals and inorganic materials

Wastes which may contain either inorganic or organic constituents

Wastes containing principally inorganic constituents, which may contain metals and organic materials

----

(1)  References in Lists A and B to Annexes I, III and IV refer to Annexes of the Basel Convention.

(2)  Note that mirror entry on list B (B1160) does not specify exceptions.

(3)  This entry does not include scrap assemblies from electric power generation.

(4)  PCBs are at a concentration level of 50 mg/kg or more.

(5)  PCBs at a concentration level of 50mg/kg or more.

(6)  The 50 mg/kg level is considered to be an internationally practical level for all wastes. However, many individual countries have established lower regulatory levels (e.g. 20 mg/kg) for specific wastes.

(7)              ‘Out-dated’ means unused within the period recommended by the manufacturer.

(8)  This entry does not include wood treated with wood-preserving chemicals.

(9)              ‘Out-dated’ means unused within the period recommended by the manufacturer.

(10)  Note that even where low level contamination with Annex I materials initially exists, subsequent processes, including recycling processes, may result in separated fractions containing significantly enhanced concentrations of those Annex I materials.

(11)  The status of zinc ash is currently under review and there is a recommendation with United Nations Conference on Trade and Development (UNCTAD) that zinc ashes should not be dangerous goods.

(12)  This entry does not include scrap from electrical power generation.

(13)  Re-use can include repair, refurbishment or upgrading, but not major reassembly.

(14)  In some countries these materials destined for direct re-use are not considered wastes.

(15)  The concentration level of Benzol[a]pyrene should not be 50mg/kg or more.

(16)  It is understood that such scraps are completely polymerised.

(17)

(18)  Wastes marked with an asterisk are considered to be hazardous waste pursuant to Directive 91/689/EEC. When identifying a waste in the list below, the introduction to the Annex of Decision 2000/532/EC is relevant.

(19)  For the purpose of this list of wastes, PCBs will be defined as in Council Directive 96/59/EC of 16 September 1996 on the disposal of polychlorinated biphenyls and polychlorinated terphenyls (PCB/PCT) (OJ L 243, 24.9.1996, p. 31).

(20)  Hazardous components from electrical and electronic equipment may include accumulators and batteries mentioned in 16 06 and marked as hazardous, mercury switches, glass from cathode ray tubes and other activated glass etc.

(21)  For the purpose of this entry, transition metals are: scandium, vanadium, manganese, cobalt, copper, yttrium, niobium, hafnium, tungsten, titanium, chromium, iron, nickel, zinc, zirconium, molybdenum and tantalum. These metals or their compounds are dangerous if they are classified as dangerous substances. The classification of dangerous substances shall determine which among those transition metals and which transition metal compounds are hazardous.

(22)  Stabilisation processes change the dangerousness of the constituents in the waste and thus transform hazardous waste into non-hazardous waste. Solidification processes only change the physical state of the waste (e.g. liquid into solid) by using additives without changing the chemical properties of the waste.

(23)  A waste is considered as partly stabilised if after the stabilisation process dangerous constituents which have not been changed completely into non-dangerous constituents could be released into the environment in the short, middle or long term.

(24)  Hazardous components from electrical and electronic equipment may include accumulators and batteries mentioned in 16 06 and marked as hazardous, mercury switches, glass from cathode ray tubes and other activated glass, etc.

(25)  This list originates from Appendix 4, Part I of the OECD Decision.

(26)  Unless appropriately classified under a single entry in Annex III.

(27)  The wastes numbered AB130, AC250, AC260 and AC270 have been deleted since they have been considered, in accordance with the procedure laid down in Article 18 of Council Directive 75/442/EEC of 15 July 1975 on waste (OJ L 194, 25.7.1975, p. 39. Directive as repealed by Directive 2006/12/EC), to be non-hazardous and therefore not subject to the export prohibition laid down in Article 35 of this Regulation.

(28)  This listing includes wastes in the form of ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake, unless a material is expressly listed elsewhere.

----

ANNEX VI

FORM FOR PRE-CONSENTED FACILITIES (ARTICLE 14)
Text of image

Competent authority

Recovery facility

Waste identification

Period of validity

Total pre‐consented quantity

Name and number of the recovery facility

Address

Recovery operation (+ R-code)

Technologies employed

(code)

from

to

(kg/litre)

----

ANNEX VII

INFORMATION ACCOMPANYING SHIPMENTS OF WASTE AS REFERRED TO IN ARTICLE 3(2) AND (4)
Text of image

Consignment information(1)

1. Person who arranges the shipment:

Name:

Address:

Contact person:

Tel.:

Fax:

E-mail:

2. Importer/consignee

Name:

Address:

Contact person:

Tel.:

Fax:

E-mail:

3. Actual quantity:

kg:

litre:

4. Actual date of shipment:

5 (a)(2)First carrier:

Name:

Address:

Contact person:

Tel.:

Fax:

E-mail:

Means of transport:

Date of transfer:

Signature:

5 (b). Second carrier:

Name:

Address:

Contact person:

Tel.:

Fax:

E-mail:

Means of transport:

Date of transfer:

Signature:

5 (c). Third carrier:

Name:

Address:

Contact person:

Tel.:

Fax:

E-mail:

Means of transport:

Date of transfer:

Signature:

6. Waste generator(3)

Original producer(s), new producer(s) or collector:

Name:

Address:

Contact person:

Tel.:

Fax:

E-mail:

8. Recovery operation (or if appropriate disposal operation in the case of waste referred to in Article 3(4)):

R-code/D code:

9. Usual description of the waste:

7. Recovery facility

Laboratory

Name:

Address:

Contact person:

Tel.:

Fax:

E-mail:

10. Waste identification(fill in relevant codes):

(i) Basel Annex IX:

(ii) OECD (if different from (i)):

(iii) EC list of wastes:

(iv) National code:

11. Countries/states concerned:

Export/dispatch

Transit

Import/destination

12. Declaration of the person who arranges the shipment: I certify that the above information is complete and correct to my best knowledge. I also certify that effective written contractual obligations have been entered into with the consignee (not required in the case of waste referred to in Article 3(4)):

Name:

Date:

Signature:

13. Signature upon receipt of the waste by the consignee:

Name:

Date:

Signature:

TO BE COMPLETED BY THE RECOVERY FACILITY OR BY THE LABORATORY:

14. Shipment received at recovery facility

or laboratory

Quantity received:

kg:

litre:

Name:

Date:

Signature:

(1) Information accompanying shipments of green listed waste and destined for recovery or waste destined for laboratory analysis pursuant to Regulation (EC) No 1013/2006.

(2) If more than three carriers, attach information as required in blocks 5 (a), (b) and (c).

(3) When the person who arranges the shipment is not the producer or collector, information about the producer or collector shall be provided.

----

ANNEX VIII

GUIDELINES ON ENVIRONMENTALLY SOUND MANAGEMENT (ARTICLE 49)

----

(1)  Adopted by the sixth meeting of the Conference of the Parties to the Basel Convention on the Control of Transboundary Movements of Hazardous Waste and Their Disposal, 9 to 13 December 2002.

(2)  Adopted by the seventh meeting of the Conference of the Parties to the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal, 25 to 29 October 2004.

(3)  Adopted by the Environment Policy Committee of the OECD in February 2003 (document ENV/EPOC/WGWPR(2001)3/FINAL).

(4)  Resolution A.962 adopted by the Assembly of the IMO at its 23rd Regular session, 24 November to 5 December 2003.

(5)  Approved for publication by the Governing Body of the ILO at its 289th session, 11 to 26 March 2004.

----

ANNEX IX

ADDITIONAL QUESTIONNAIRE FOR REPORTS BY MEMBER STATES PURSUANT TO ARTICLE 51(2)
Text of image

Article 11(1)(a)

Information on the measures taken to prohibit generally or partially shipments of waste between Member States

In order to implement the principles of proximity, priority for recovery and self‐sufficiency at Community and national levels in accordance with Directive 2006/12/EC

Has this provision been applied?

Yes

No

(please tick as appropriate)

If yes, please provide details of the measures taken:

...

...

...

...

Additional remarks:

...

...

...

...

Information on the measures taken to object systematically to shipments of waste between Member States

In order to implement the principles of proximity, priority for recovery and self‐sufficiency at Community and national levels in accordance with Directive 2006/12/EC

Has this provision been applied?

Yes

No

(please tick as appropriate)

If yes, please provide details of the measures taken:

...

...

...

...

Additional remarks:

...

...

...

...

Article 11(1)(e)

Information on the prohibition of the import of waste

Has this provision been applied?

Yes

No

(please tick as appropriate)

If yes, please provide details of the measures taken:

...

...

...

...

Text of image

Article 11(3)

Information on exceptions to the implementation of the principle of proximity, priority for recovery and self-sufficiency

In the case of hazardous waste produced in a Member State of dispatch in such a small quantity overall per year that the provision of new specialised disposal installations within that State would be uneconomic

Have you asked any Member State to apply this exception?

Yes

No

(please tick as appropriate)

If yes, please complete Table 1 and give details below of any bilateral solution found pursuant to Article 11(3):

...

...

...

...

Have you received any request from Member States to apply this exception?

Yes

No

(please tick as appropriate)

If yes, please complete Table 1 and give details below of any bilateral solution found pursuant to Article 11(3):

...

...

...

...

Article 11(1)(g)

Information on objections to planned shipments or disposal on the basis of their not being in accordance with Directive 2006/12/EC

Has this provision been applied?

Yes

No

(please tick as appropriate)

If yes, please complete Table 2.

Article 12(5)

Information on objections to planned shipments or recovery on the basis of their not being in accordance with Article 12(1)(c)

Has this provision been applied?

Yes

No

(please tick as appropriate)

If yes, please complete Table 3.

Article 14

Information on decisions by competent authorities having jurisdiction over specific recovery facilities to issue pre-consents to such facilities

Has there been any case?

Yes

No

(please tick as appropriate)

If yes, please complete Table 4.

Text of image

Article 33

Information on the Member States' system for the supervision and control of shipments of waste exclusively within their jurisdiction

Is there a system for the supervision and control of shipments of waste within the jurisdiction?

Yes

No

(please tick as appropriate)

If there is such a system, do you apply the system provided for in Titles II and VII of the Regulation?

Yes

No

(please tick as appropriate)

If you apply a different system from that provided for in Titles II and VII of the Regulation, please give details of the system applied:

...

...

...

...

...

Article 24 and Article 50(1)

Information on illegal shipments of waste

Has there been any case?

Yes

No

(please tick as appropriate)

If yes, please complete Table 5.

Please provide information on how illegal shipments of waste are prevented, detected and penalised under national legislation:

...

...

...

...

...

Article 50(2)

Information on spot checks on shipments of waste or on the related recovery or disposal

Number of checks on shipments of waste or on the related recovery or disposal:

Number of supposed illegal shipments ascertained during these checks:

Additional remarks:

...

...

...

...

...

Article 6

Information on a financial guarantee or equivalent insurance covering costs for transport, recovery or disposal and storage of waste, including cases referred to in Articles 22 and 24

Please provide details on the provisions of national law adopted pursuant to this Article:

...

...

...

...

...

Article 55

Information on any customs offices designated by Member States for shipments of waste entering and leaving the Community

Has there been any designation?

Yes

No

(please tick as appropriate)

If yes, please complete Table 6.

Note for completion of the tables:

D codes and R codes are those referred to in Annexes IIA and IIB to Directive 2006/12/EC.

Waste identification codes are those referred to in Annexes III, IIIA, IIIB, IV and IVA to this Regulation.

Table 1

Information on exceptions to the implementation of the principles of proximity, priority for recovery and self-sufficiency (Article 11(3))
Text of image

Waste identification (code)

Quantity (kg/litres)

Country of destination (De)/country of dispatch (Di)

Disposal operation D code

Referral of the matter to the Commission (Yes/No)

Table 2

Objections to planned shipments or disposal (Article 11(1)(g))
Text of image

Waste identification (code)

Quantity (kg/litres)

Country of transit (T)/country of dispatch (Di)

Reasons for the objection (please tick as appropriate)

Article 11(1)(g)(i)

Article 11(1)(g)(ii)

Article 11(1)(g)(iii)

Inrichting

Name (in case of Article 11(1)(g)(ii))

Disposal operation D code

Table 3

Objections to planned shipments or recovery (Article 12(1)(c))
Text of image

Waste identification (code)

Quantity (kg/litres)

Country of destination

Reasons for the objection and details of relevant national legislation

Facility (in the country of destination)

Name

Recovery operation R code

Table 4

Information on decisions by competent authorities to issue pre-consents (Article 14)
Text of image

Competent authority

Recovery facility

Name and No

Address

Recovery operation R code

Technologies employed

Waste identification (code)

Period of validity

From

To

Revocation (date)

Table 5

Information on illegal shipments of waste (*1)(Article 24 and Article 50(1))
Text of image

Waste identification (code)

Quantity (kg/litres)

Country of destination (De) and country of dispatch (Di)

Identification of the reason for illegality (possible reference to violated Articles)

Responsible for illegality (please tick as appropriate)

Notifier

Consignee

Other

Measures taken including possible penalties

Table 6

Information on any specific customs offices designated by Member States for shipments of waste entering and leaving the Community (Article 55)
Text of image

Customs office

Office

Location

Import/export countries controlled

----

(*1)  Information on cases which have been closed during the reporting period.

----