EUROPEAN COMMISSION Brussels, 17.11.2021 COM(2021) 709 final 2021/0367(COD) Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on shipments of waste and amending Regulations (EU) No 1257/2013 and (EU) No 2020/1056 (Text with EEA relevance) {SEC(2021) 402 final} - {SWD(2021) 330 final} - {SWD(2021) 331 final} - {SWD(2021) 332 final}



EXPLANATORY MEMORANDUM 1.CONTEXT OF THE PROPOSAL •Reasons for and objectives of the proposal In 2018, global trade in waste reached 182 million tonnes with a value of around EUR 80.5 billion. Such trade has increased considerably in the last decades, with a peak of nearly 250 million tonnes in 2011. The EU is an important player in global trade in waste, and considerable volumes of waste are being shipped between Member States. In 2020, the EU exported to non-EU countries around 32.7 million tonnes of waste, an increase of 75% since 2004, with a value of EUR 13 billion. Ferrous and non-ferrous metal scrap, paper waste, plastic waste, textile waste and glass waste represent the majority of waste exported from the EU. The EU also imported approximately 16 million tonnes, valued at EUR 13.5 billion. In addition, around 67 million tonnes of waste per year are shipped between Member States (intra-EU shipments of waste). Waste shipped across borders can generate risks for human health and the environment, especially when not properly controlled. At the same time, these wastes often have a positive economic value, notably as secondary raw materials that can replace and reduce dependence on primary materials and thereby contribute to a more circular economy. Measures on the supervision and control of shipments of waste have been in place in the EU since 1984. In 1989, the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal (Basel Convention) was adopted to address serious problems linked to deposits of toxic wastes imported from abroad to various parts of the developing world. In 1992, the OECD adopted a legally binding Decision on the control of transboundary movements of wastes destined for recovery operations (OECD Decision). Regulation (EC) No 1013/2006 (Waste Shipment Regulation (WSR)) implements in EU law the provisions of both the Basel Convention and the OECD Decision. In certain aspects, the WSR contains stricter control measures than the Basel Convention. The WSR requires Member States to ensure that shipments of waste and their treatment operations are managed in a manner that protects the environment and human health against any adverse effects that might result from such wastes. The WSR sets out control mechanisms for the export and import of waste between the EU and third countries, and for shipments between Member States. The types of controls under the WSR depend on the characteristics of the waste (for example hazardous, non-hazardous), its destination, and its treatment as part of recovery (for example recycling) or disposal (for example landfilling) operations. The WSR also lays down export prohibitions for certain categories of waste and certain destinations: the most important example is the prohibition to export hazardous waste from the EU to non-OECD countries. The overall objective of the WSR review is to increase the level of protection of the environment and public health from the impacts of unsound transboundary shipments of waste. It addresses the problems identified in the WSR evaluation published by the Commission in January 2020 (see more information on this in point 3 below). The WSR revision also responds to the call under the European Green Deal and the Circular Economy Action Plan to revise the WSR with the aim of: ·facilitating shipments of waste for reuse and recycling in the EU; ·ensuring that the EU does not export its waste challenges to third countries; and · tackling illegal waste shipments. Moreover, the European Green Deal and the Industrial Strategy, including its update acknowledged that access to raw materials is of strategic importance and a pre-requisite for Europe to deliver on its green and digital transition. The Critical Raw Materials Action Plan stressed that significant amounts of resources leave Europe in the form of wastes, instead of being recycled into secondary raw materials and thus contributing to the diversification of sources of supply for the industrial ecosystems in the EU. The European Parliament and the Council have also invited the Commission to come forward with an ambitious revision of the WSR. •Consistency with existing policy provisions in the policy area There are synergies between the WSR and other pieces of EU waste legislation, especially the Waste Framework Directive and directives covering specific waste streams. The Directive on the end-of-life vehicles, the Batteries Directive, the Packaging and Packaging Waste Directive and the WEEE Directive all contain specific provisions on transboundary movement of the specified waste streams that refer to the WSR. •Consistency with other Union policies

There are also synergies between the WSR and other EU legislation that is relevant for waste shipments, especially the Environmental Crime Directive. This Directive covers the penalisation of criminal waste shipments and complements the WSR’s enforcement provisions. 2.LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY •Legal basis The existing legal basis of the Waste Shipment Regulation is Article 192 of the Treaty on the Functioning of the European Union, which stipulates how Article 191 of the Treaty should be implemented. Article 191 addresses EU policy on the environment, which must contribute to pursuing the following objectives: ·preserving, protecting and improving the quality of the environment; ·protecting human health; ·utilising natural resources prudently and rationally; and ·promoting measures at international level to deal with regional or worldwide environmental problems, and in particular to combat climate change. •Subsidiarity The WSR ensures that the EU’s comprehensive waste legislation is not circumvented by shipping waste to third countries where waste management standards and performance greatly differ from those in the EU. It is important that common rules on the control of transboundary movements of waste are laid down at EU level, to avoid a situation where illegal operators would choose to ship their waste through Member States with less strict domestic rules than others, to export this waste from the EU (port-hopping scenario). EU rules are also justified for intra-EU shipments of waste because the EU waste industry is highly integrated and to ensure equal treatment and legal clarity for all economic actors in this sector. •Proportionality The WSR ensures consistency in the implementation by each Member State of the Basel Convention and the OECD Decision and as a result avoid obstacles to the shipments of waste within the EU or impediments to the good functioning of the EU internal market. In addition, the EU approach to waste shipment is stricter than the Basel Convention when it comes to export of waste, as it prohibits the export of waste for disposal outside EFTA countries, and the export of some non-hazardous waste outside the OECD. The EU approach has a clear environmental added value compared with each Member State individually relying on the Basel Convention. Indeed, the EU is one of the only parties to the Basel Convention to apply such strict rules. •Choice of the instrument In 1984, Council Directive 84/631/EEC of 6 December 1984 was adopted, introducing EU‑wide measures on the supervision and control of shipments of waste. The Directive covered shipments of hazardous waste. It required a prior informed consent procedure for the countries concerned, thereby allowing them to object to a specific shipment. Directive 84/631/EEC was amended by Council Directive 86/279/EEC of 12 June 1986, which introduced additional provisions in order to improve the monitoring of exports of waste from the Community. Following international developments in the context of the Basel Convention and the OECD, the first Waste Shipment Regulation (Council Regulation (EEC) No 259/93, repealing Directive 84/631/EEC) was adopted in 1993. It is important to note that a regulation — rather than a directive — was deemed necessary at that time in order to ensure simultaneous and harmonised application in all Member States. The choice of a regulation remains justified as it sets direct requirements for all operators, thus providing the necessary legal certainty and enforcement possibility of a fully integrated market across the EU. A regulation also ensures that the obligations are implemented at the same time and in the same way in all 27 Member States. 3.RESULTS OF EX POST EVALUATIONS, STAKEHOLDER CONSULTATIONS AND IMPACT ASSESSMENTS •Ex post evaluations/fitness checks of existing legislation The Waste Shipment Regulation has been evaluated under five criteria, namely its effectiveness, efficiency, relevance, coherence and EU added value. Commission Regulation (EC) No 1418/2007, adopted under Article 37(1) of the WSR, was also taken into consideration. The main findings of the evaluation are the following.

·The WSR has established a robust legal framework that has been implemented by Member States. The WSR has generally been effective in delivering its two main objectives: to protect the environment and human health from adverse effects of waste shipments; and to implement the EU’s international commitments in this area. It has led to a better control of waste shipments and contributed to the environmentally sound management of shipped wastes at national and EU levels. ·At the same time, different levels and ways of applying and enforcing the WSR, often combined with different interpretations of its provisions and various inspection regimes, have hampered its optimal implementation throughout the EU. These factors limit or discourage legal shipments of good quality waste materials to recycling facilities, which are important for the transition to a circular economy in the EU. ·When it comes to the export of wastes, especially non-hazardous wastes, from the EU, a major shortcoming is the insufficient supervision of the conditions under which these wastes are managed in destination countries, especially in developing countries. As a result, the export of some waste from the EU has created environmental and public health challenges in the countries of destination. It also represents a loss of resources for EU recycling industries. ·Illegal shipments of waste within and from and to the EU also remain a considerable problem due to the general nature of the WSR provisions. This relates in particular to the elements that need to be checked by the competent authorities, for example on the environmentally sound management of waste and on enforcement. However, it is also due to shortcomings in the implementation and enforcement of the WSR. These findings have been instrumental in defining the objectives pursued by the revision of the WSR. •Stakeholder consultations Stakeholders were consulted throughout the evaluation and impact assessment processes, which served to prepare the WSR revision. An open public consultation and a workshop were organised in 2018 to prepare for the evaluation. An inception impact assessment was then published on 11 March 2020 for public feedback, which was followed by an open public consultation until 30 July 2020 and a workshop on 23-24 September 2020. In addition, as part of the impact assessment process, several targeted consultations took place with a large number of stakeholders. More information on this consultation process can be found in Annexes 2 and 3 of the impact assessment report. Stakeholders and Member States generally agreed with the main findings of the WSR evaluation and with the need to revise the WSR to address these findings. On the issue of intra-EU shipments of waste, economic operators expressed strong support for a modernisation of the procedures applicable to shipments of waste and for the adoption of EU measures to avoid a fragmentation of the EU internal market. They particularly called for a digitalisation of the notification procedure, a better functioning of the fast-track procedures, the setting of common rules to decide on the classification of waste, and better standardisation of the calculation of financial guarantees. Civil society voices stressed the need for a better alignment of the WSR with the proximity principle and the waste hierarchy. On the other hand, some economic operators indicated that the WSR should not lay down substantial provisions (which are laid down in other legislation) but be limited to procedural requirements for the shipment of waste. As to the export of waste from the EU, stakeholders generally acknowledged that the WSR should be amended to avoid situations where waste exported from the EU is mismanaged in the countries of destination. Different views were expressed as to the possible solutions to address this problem. Some stakeholders expressed concerns on measures that would lead to possible disruptions in global trade in high‑quality waste and on the impact of such measures on the EU sector currently involved in the collection, sorting and recycling of waste. They notably highlighted that there might not be enough capacity in the EU to deal with waste that is currently exported from the EU. This view was not shared by some other economic operators, who indicated that such capacity would be available. Civil society insisted on the need for the EU to set up very restrictive measures on the export of plastic waste from the EU. Stakeholders generally expressed support for reinforcing the provisions against illegal shipments of waste. The Commission proposal takes account of the views expressed and presents a proportionate approach to deal with the problems identified in the evaluation. This is particularly the case for the measures relating to export of waste, which do not amount to a blanket ban on export and which will only apply 3 years after the entry into force of the proposed regulation. All stakeholders and third countries, therefore, will have sufficient time to prepare for the implementation of the new rules. •Collection and use of expertise The impact assessment for the review of the Waste Shipment Regulation was supported by a study by external experts. These experts worked closely with the Commission through the different phases of the study. The Commission also used numerous other sources of information to prepare this proposal. •Impact assessment The proposal is based on an impact assessment. After having addressed the Regulatory Scrutiny Board's comments in its negative opinion of 9 April 2021, a revised impact assessment received a positive opinion on 4 June 2021. In its final opinion, the Board asked for further details, mainly on the comparison of options addressed in the impact assessment. This impact assessment considered four policy options. Policy option 1 is the baseline scenario. This assumes that the Basel Convention and the OECD Decision will remain largely unchanged until at least 2030. In addition, the current WSR, including its delegated Regulation, will continue to be applicable. Its current implementation will continue and harmonisation across Member States would be further pursued through existing efforts, notably the development of guidance and ad hoc exchanges between Member States, mostly via the Waste Shipment Correspondents. The EU will also continue to promote global measures to improve the control of transboundary movements of waste and waste management in international organisations, especially the Basel Convention and the OECD. The table below provides an overview of options 2, 3 and 4, which are alternatives to option 1 (baseline scenario), and the combination of measures in these options.

Measures Option 2 (targeted changes) Option 3 (structural changes) Option 4 (far-reaching changes) Objective 1: Facilitate shipments within the EU, in particular to align the WSR with circular economy objectives 1a) Improve the regime of “pre-consented” facilities x x 1b) Streamline the notification procedure x x 1c) Clarify the scope of the WSR x x 1d) Set up a mandatory EU-wide electronic data interchange (EDI) x x 1e) Streamline the financial guarantee system by harmonising the calculation of the amount required under the guarantee x x 1f) Ensure mutual recognition at EU level of carriers of hazardous waste registered in one Member State x 1g) Align the WSR provisions with the waste hierarchy x x 1h) Issue guidance on current problematic issues x 1i) Ensure alignment with the provisions on end-of-waste and byproducts in the Waste Framework Directive x x 1j) Task the Commission, through delegated or implementing acts, to set thresholds for contamination of wastes to determine if they should be subject to the notification procedure or not x x 1k) Establish mutual recognition of national end-of-waste criteria for the purpose of waste shipments x 1l) Establish mutual recognition of national decisions in relation to the hazardous nature of wastes for the purpose of waste shipments x Objective 2: Guarantee that waste exported from the EU is managed in an environmentally sound manner 2a) Specify obligations for exporters and public authorities to ensure and verify that waste exported to third countries is managed in an environmentally sound manner x x 2b) Task the Commission to set out criteria to differentiate between used goods and waste, for specific waste streams for which export to third countries raises particular challenges x x 2c) Establish a new framework in which non-OECD countries have to notify the EU of their willingness to import green-listed waste and demonstrate their ability to treat it sustainably according to set criteria x x 2d) Require that the export of green-listed waste from the OECD is subject to the notification procedure x 2e) Set up a specific procedure to monitor export of waste to OECD countries and mitigate environmental problems that might be caused by such exports x x Objective 3: Better address illegal shipments of waste within and from and to the EU 3a) Improve provisions on inspections and enforcement and the follow-up x x 3b) Issue guidance on efficient inspections and enforcement practices x 3c) Empower the Commission (through OLAF) to carry out transnational investigative and coordinating actions against waste trafficking in the EU x x 3d) Reinforce existing provisions on infringements and penalties x x 3e) Improve traceability of shipments of green-listed waste x x 3f) Facilitate cooperation between enforcement authorities at the national level x x 3g) Create a dedicated group at EU level with the task to facilitate and improve cooperation on enforcement of the WSR x x



Policy option 2 (targeted changes) provides a package of measures that can effectively and, to an extent, efficiently address some of the problems that hamper the good functioning of the WSR. Compared with the baseline, the targeted changes provide effective and consistent responses to achieve specific objectives, in particular to reduce administrative burden and to raise waste shipment for treatment higher up in the waste hierarchy. However, the envisaged measures alone would not be able to deliver maximum benefits, mostly due to the lower efficiency and lower internal coherence. Compared with the structural changes (option 3), this option will address only partly the challenges linked to the export of waste (objective 2). The measures only target certain problem areas, e.g. by setting out criteria to differentiate between used goods and waste (2b) or by specifying the obligations for exporters (2a). The greatest benefits under this option are identified for the measures 3a‑3d and 3f, dedicated to better addressing illegal shipments of waste within and from and to the EU (objective 3). Under policy option 3 (structural changes), measures 1d, 1e, and 1f directly address stakeholder concerns regarding the costs associated with the delays of intra-EU shipments and would significantly minimise administrative burden for public authorities and economic operators (objective 1). The introduction of measures 2c, 2d and 2e would set up a procedural framework at EU level to guarantee that waste exported from the EU is managed in an environmentally sound manner. It is considered as a proportionate and systemic response to objective 2. Certain changes would not be sufficient and coherent enough to achieve the necessary effect at Member State level. This is in particular the case for the proposed measures 3e and 3g to better address illegal shipments of waste (objective 3). The impact assessment has shown that actions taken under options 2 or 3 would not allow to meet all the objectives of the review in the most effective, efficient and proportionate manner. Compared with these options, policy option 4, which combines measures in a mix of far‑reaching changes, would result in greater effectiveness, in an efficient and proportionate manner. The preferred option is therefore option 4. The blend of the targeted and structural changes chosen would result in a balanced approach in terms of effectiveness (achievement of the objectives) and efficiency (cost-effectiveness). It aims to ensure that this Regulation can facilitate intra‑EU shipments in line with the circular economy objectives, support the EU’s objective to stop exporting its waste challenges to third countries, and contribute to better addressing illegal shipments of waste, without risking excessive costs or disruption. It responds to both (i) the need for new, effective measures to achieve the three objectives, and (ii) the importance attached to them being implementable while not creating excessive burden or undesirable impacts. Option 4 is also proportionate to the aims that this review seeks to achieve. ·With respect to objective 1 on intra-EU shipments of waste, all measures under option 4 are necessary to achieve a better integration of the EU internal market for waste, guiding these shipments to recycling. They will represent important changes for the procedures currently applicable to shipments, which will have an effect both on economic operators and on public administrations. These measures will generate important gains for both of them, through reduced administrative burden, reduced delays, and more efficient processing of information. They will also contribute to supporting the transition to a circular economy in the EU, therefore benefiting the protection of the environment. These gains will largely outweigh the costs linked to the establishment of the new measures, notably the electronic data interchange regime (measure 1d). The obligation to digitalise the notification procedure for intra-EU shipments of waste via the electronic data interchange system will only become effective 24 months after the entry into force of the revised WSR, and preparatory work with Member States and stakeholders is already ongoing to get ready for this new regime. ·With respect to the second objective, option 4 will lead to important changes in EU approaches and the regulatory framework applying to the export of waste from the EU. This is needed in view of the failure of the current WSR to achieve the objective to ensure environmentally sound management of waste exported from the EU, especially to developing countries. One important feature of option 4 is that it will require both economic operators and public authorities to take concrete actions to verify that waste exported from the EU is treated in a sustainable manner in the countries of destination. This will ensure that guarantees are provided both at country (measures 2c and 2e) and facility (measure 2a) level on the sustainable treatment of waste in the countries of destination. These measures should generate important environmental benefits. They will also have economic impacts. For some operators, notably those processing waste into secondary materials in the EU, this would potentially lead to higher quantities of feedstock available at a lower price, so this would have a positive impact overall. For those operators shipping waste from the EU, the impact will depend on whether evidence is made available that the exported waste in the destination countries is treated in an environmentally sound manner. It is likely that, as a result, the export to some countries might become more difficult, which would have a negative impact on the companies exporting waste to these countries. The costs resulting from this situation are however limited and are outweighed by the overall environmental benefits of the measures. Finally, it is also important to note that proportionality is ensured through the fact that the measures in option 4 would: –apply a different regime between countries of destination, with more scrutiny over countries where the waste management practices are deemed to be less sustainable than in the EU (non-OECD countries); –set up a mechanism, without any blanket ban, where importing countries have the opportunity to import waste from the EU if they demonstrate they are able to deal with the waste in a sustainable manner; and –enter into force only 3 years after the changes in the Regulation become effective, leaving a period of transition for all involved to get prepared for the new rules. ·As to the third objective, option 4 provides a series of measures to improve enforcement of the WSR. They are needed to increase the capabilities of Member States and the Commission to reduce illegal shipments of waste. These measures do not involve any fundamentally new tasks or additional related costs for operators and Member States. A more effective enforcement regime would help to prevent or reduce the volume of illegal shipments and to deliver significant cost savings for clean-up and repatriation, and indirect cost savings for Member States where waste transits. Better enforcement should also lead to a reduced loss of tax revenues. Furthermore, beyond the proposed measures, the Commission will use a wide array of tools to continue to support Member State efforts to better implement and enforce the WSR. Many initiatives have already been taken at EU level against waste trafficking, which is one of the priorities of the EU’s overall policy on organised crime. The EU is also providing financial support to operational projects targeting waste trafficking. In addition, the Commission is assisting Member States in this area through the Environmental Compliance and Governance Forum, the TAIEX-EIR PEER 2 PEER programme and the EU Environmental Law Training Package. Figure 1 below provides a schematic overview of the preferred option, and the measures that it contains. A more detailed description of how the preferred option achieves the objectives of the WSR review is presented in Annex 14 of the impact assessment report. In terms of overall economic impact, this preferred option should result in significant savings for operators shipping waste and for authorities dealing with the procedures for authorising and monitoring these shipments, notably thanks to the establishment of the electronic data interchange system. This is expected to deliver savings in the order of EUR 1.4 million a year. Other measures to modernise and simplify the WSR will bring additional savings. The other important economic impacts will come from the measures linked to the export of waste, which should represent an overall economic gain for the EU economy, based on 2019 data, ranging from EUR 200-500 million a year, depending on the amount of waste that is retained in the EU. For economic operators based in the EU, the impacts of these measures will differ significantly depending on their position in the value chain and the types of waste concerned. Some of those involved in exporting these wastes are likely to see the costs for exporting such waste increasing, or they would turn to other purchasers in the EU, where they might get lower prices for their waste. Companies exporting waste would also have to set up (or purchase) auditing schemes to verify that facilities in third countries perform waste management activities in a sustainable manner; this would represent new but moderate costs. On the other hand, economic operators recycling or processing waste in the EU may be able to use more waste as feedstock, which they should be able to purchase at a lower price compared with the baseline. The measures on illegal shipments should benefit legal operators as they will help to tackle illegal activities; these represent a direct competition to the business of legal operators. For companies located in third countries which transport and process waste imported from the EU, the effect would be positive for those performing their activities in an environmentally sound manner, as the audit would consolidate their activities and competitiveness, even though it could also incur some costs for upgrading their infrastructure and standards in the short term. The impact would be negative for those companies which are not able to comply with the criteria for environmentally sound management of waste laid out in the auditing schemes as they would lose customers from the EU. SMEs will benefit greatly from the measures designed to facilitate shipments of waste within the EU. The obstacles and burdens linked to the shortcomings of current procedures represent proportionally a heavier burden for them than for larger companies. The measures on the export of waste will affect SMEs involved in export-related business activities. They will incur new costs to perform audits in facilities to which they are shipping their waste. These costs, however, remain limited and could be pooled with other SMEs, notably through Producer Responsibility Organisations. Finally, the perspective that more waste will remain in the EU, together with new targets and obligations under EU law to ensure its recycling, will also represent opportunities for SMEs to develop innovative projects and technologies for recycling waste whose treatment poses particular challenges, such as plastic and textile waste. This preferred option is expected to result in an overall significant positive environmental impact. The measures designed to facilitate the shipment of waste for re-use and recycling in the EU will lead to higher amount of waste treated in better environmental conditions. They would also lead to higher amounts of secondary materials available in the EU, which would replace virgin materials as feedstock for a number of industries based in the EU. The proposed measures relating to the export of waste would have positive environmental impacts as they would better guarantee that shipments of waste to third countries are managed in an environmentally sound manner. It would also potentially lead to between 2.4 and 6 million tonnes of waste being retained in the EU each year, which would be treated according to EU standards and processed into secondary materials. While it is not possible to perform a monetised impact of all these environmental gains, the benefits linked to a better treatment of residual waste in the EU and to avoiding shipping this waste to third countries would range from EUR 266‑666 million a year. The overall gains are likely to be even higher. By contributing to improving the overall effectiveness and efficiency of the enforcement regime, the measures relating to illegal shipments would help prevent and reduce the serious environmental impacts stemming from illegal waste shipments, bringing overall environmental benefits.

Finally, as regards the overall social impact, the measures linked to the export of waste, and to those against illegal shipments of waste, should reduce the negative impact on human health (e.g. respiratory problems, injuries) and labour conditions (e.g. no social benefits, low wages) stemming from the unsustainable management of waste, bringing overall benefits to society both abroad and in the EU. The treatment in the EU of waste that used to be exported should lead to the creation of 9 000‑23 000 jobs in EU recycling and re-use sectors. Additional jobs in these areas are likely to be generated as a result of the measures designed to ensure a better functioning of the WSR for shipments of waste in the EU for recycling and re-use. In third countries there might be job losses in the formal or informal waste treatment sectors in case less waste is exported to that country. •Regulatory fitness and simplification This proposal makes maximum use of the potential of digitalisation to reduce administrative costs. This is the case especially for the proposal to set up a mandatory EU-wide system to issue and interchange electronically data and information linked to waste shipments. The development of such a system that combines existing national platforms and/or platforms in place, like the environment established under Regulation (EU) No 2020/1056 on electronic freight transport information with a system at EU level is not expected to entail very high costs for the Commission, Member States or businesses. It will, however, provide Member State authorities and the Commission with a powerful tool for monitoring and enforcing, as well as an efficient tool for businesses to comply with the obligations in the proposed regulation. •Fundamental rights The proposal does not have consequences for the protection of fundamental rights. 4.BUDGETARY IMPLICATIONS The proposal implies the use of human resources and expenditure to ensure the proper implementation of some its provisions. Some of the human resource needs are expected to be sourced from the Commission’s existing allocations. The required Commission human resources will be DG ENV staff already assigned to management of the action. Redeployment within the DG, or from other DGs that are able to free themselves from current tasks related to implementation of the Regulation in force, could also contribute to managing the action. An additional allocation would have to be granted to the managing DG and to the European Anti-Fraud Office (OLAF) under the annual allocation procedure and subject to budgetary constraints. The proposal includes several articles that detail further work streams that will need to be carried out to implement the Regulation and that would need to be adopted through implementing/ or delegated acts in the years following entry into force. These will cover the development of harmonised rules on classification of waste, on calculation of financial guarantees, the assessment of third countries’ notifications to receive EU waste exports, and coordination work as regards the enforcement of the Regulation. A detailed list of these envisaged actions is provided below. ·Establishment of a harmonised calculation method for financial guarantees or equivalent insurance; ·Examine and establish harmonised contamination threshold levels to classify certain wastes as green-listed or not. ·Examine and establish criteria to distinguish between used goods and waste for certain objects or substances; ·Establish and maintain a new framework for the export of green-listed waste from the EU to a non-OECD country, especially the establishment and updating of a list of countries to which the export of such waste is authorised. ·Monitor the export of waste to OECD countries and mitigate environmental problems that might be caused by such exports. ·Organise and facilitate the work of a dedicated group at EU level with the task to facilitate and improve cooperation on enforcement of the WSR (‘waste enforcement group’). The Commission through OLAF will play a specific role in complementing the work of Member States in enforcing the provisions of this Regulation in complex cross-border cases and would engage in: ·conducting inspection of premises/boats/shipments of economic operators; ·collection of information/intelligence from a wide range of sources;

·analytical work (use of customs and specialised databases and dedicated tools); ·forensics acquisition; ·coordination with law enforcement agencies, market surveillance authorities and judicial authorities; ·cooperation with third countries (through mutual assistance agreements or administrative cooperation agreements); and ·cooperation with other EU agencies (EPPO, Europol, Eurojust, Frontex…) For the development of the central system for electronic information exchange on waste shipments, work has been carried out internally in DG ENV, but will need to be extended in relation to development and maintenance of a central system for data exchange for waste shipment purposes. The existing IMSOC platform will be used as a basis. The European Commission will be responsible for general implementation of this Regulation and the adoption of all implementing and delegated acts envisaged by the Regulation. This will require the normal decision‑making processes including stakeholder consultation and committee procedures. The current financial estimates are based on: ·For ENV: 1 extra FTE AD post supported by 1.5 FTE contractual agents, as well as operational costs (e.g. study, external consultancy, meetings,…), envisaged for general implementation of the Regulation and the necessary preparatory work and drafting of secondary legislation in line with the deadlines proposed in the Waste Shipment Regulation. This amounts to a total cost of EUR 4 137 000 for the period 2024-2027, based on the latest update of the cost of Commission staff as reported on the DG BUDG website: https://myintracomm.ec.europa.eu/budgweb/en/pre/legalbasis/Pages/pre-040-020_preparation.aspx . ·For OLAF: 1 extra FTE AD post, envisaged for the implementation of the relevant enforcement‑related provisions in the Regulation. This amounts to a total cost of EUR 456 000 for the period 2024-2026, based on the latest update of the cost of Commission staff as reported on the DG BUDG website: https://myintracomm.ec.europa.eu/budgweb/en/pre/legalbasis/Pages/pre-040-020_preparation.aspx . The budget of the proposal is presented in current prices. The legislative financial statement attached to this proposal sets out the budgetary, human and administrative resource implications. 5.OTHER ELEMENTS •Implementation plans and monitoring, evaluation and reporting arrangements The new Regulation should result in an increase in waste materials reused and recycled in the EU, an improvement in standards and practices for waste management in countries importing waste from the EU and a reduction of illegal waste shipments both within the EU and between third countries and the EU. It should also contribute to building robust and dynamic markets for secondary materials and increasing the transition to a circular economy in the EU and third countries. In terms of monitoring, potential problems with compliance and enforcement would be monitored through the Member States’ regular implementation reports and progress reports drawn up by the Commission based on these Member States’ reports. In this respect, it is noted that a key measure to improve the efficiency of the implementation of this Regulation is the establishment of an EU wide system to interchange documents and information electronically (electronic data interchange or “EDI”). This should allow for all involved actors to have better access to many data that are of relevance for the implementation of Regulation. Notably competent authorities will have a much more comprehensive and consistent data set to monitor waste streams, both within and from and to the EU, and also monitoring of waste flows within, and to and from the EU will improve. The EDI system should ensure that structured data are interchanged, which means extractions can be consistently done by Member State competent authorities and the Commission. This should improve the quality of reporting considerably and hence allow to better monitor how successfully the Regulation is being implemented. Furthermore, the new provision concerning the review of Member States’ inspection plans by the Commission would also be an important source of information for monitoring the implementation and enforcement of the Regulation. Additionally, compliance and enforcement issues would be monitored and discussed in the context of the new Waste Shipment Enforcement Group, which could also identify further actions and measures to be undertaken at the EU level to increase the effectiveness of the Regulation in the future. Finally, the Regulation would be reviewed within 10 years of its entry into force to ensure that its objectives are being met and that its provisions remain justified.

•Detailed explanation of the specific provisions of the proposal Title I contains general provisions on the purpose, scope and definitions of this Regulation. Article 1 lays down the subject matter of the Regulation, which is to lay down measures to protect the environment and human health by preventing or reducing the adverse impacts that may result from the shipment of waste. Article 2 outlines the scope of this Regulation. Article 3 contains definitions. Title II contains provisions on shipments within the Union, with or without transit through third countries. Article 4 outlines the overall procedural framework applying to shipments of waste within the Union. Chapter 1 of this Title contains the provisions applying to the prior written notification and consent procedure. Article 5 establishes the duty for a notifier to submit a notification request when planning to ship wastes under Article 4(1) and (2). Article 6 stipulates the requirements relating to the contract that needs to be included in the notification request. Article 7 stipulates the requirement relating to the financial guarantee that must be in place for notified shipments of waste. Article 8 outlines the procedural steps and deadlines for requesting and submitting additional information to complete a notification request. Article 9 outlines the procedural steps and deadlines for competent authorities to take a decision on whether to consent or object to planned shipments, as requested in the notification. Article 10 provides for competent authorities concerned to lay down conditions to a consented shipment. Article 11 provides that shipments of waste for disposal are prohibited, except if certain conditions are met, in which case shipments of waste can be approved. Article 12 provides for the grounds on which a competent authority can object to a shipment of waste for recovery. Article 13 provides for the possibility to issue general notifications in the case of multiple shipments of the same waste to the same treatment facility. Article 14 contains provisions on the conditions for waste recovery facilities to be pre-consented in Member States, on the mutual recognition by Member States of such facilities and on the specific “fast-track” procedure for shipment of certain waste to such facilities. Article 15 contains additional provisions relating to shipments to interim waste treatment operations. Article 16 contains requirements following consent of shipments.

Article 17 contains provisions on changes in the shipment after consent. Chapter 2 of this Title consists of Article 18, which provides for the general information requirements for shipments of green‑listed waste. Chapter 3 of this Title contains general requirements. Article 19 prohibits the mixing of waste during shipment. Article 20 contains provisions on the keeping of documents and information. Article 21 contains provisions on public access to notifications. Chapter 4 of this Title contains take-back obligations and consists of Articles 22 to 25, which provide for the take‑back of shipments and the bearing of costs of such take-backs. Chapter 5 of this Title contains general administrative provisions. Article 26 provides that the issuance and exchange of information and documents required under this Regulation is to be made by electronic means, and sets the conditions under which systems for such exchange have to operate. Article 27 provides for the languages in which documents and communications must be issued in the context of this Regulation. Article 28 provides for the applicable procedural requirements to be followed in the case of disagreement on the classification of a waste or material shipped. It further provides for the empowerment of the Commission to adopt implementing measures to clarify the classification of certain wastes and the distinction between used goods and waste for certain commodities. Article 29 sets out the costs that may be charged to notifiers. Article 30 provides for the possibilities of border-area agreements in exceptional cases. Chapter 6 of this Title contains provisions on shipments within the Union with transit via third countries. Article 31 provides for specific delays for the competent authority of third countries concerned to give its written consent in cases of shipments for disposal within the Union with transit through these third countries. Article 32 provides for specific delays for the competent authority of third countries concerned to give its written consent in cases of shipments for recovery within the Union with transit through these third countries. Title III consists of one article (Article 33) and relates to the need for Member States to have national regimes concerning shipments of waste within one Member State to safeguard coherence with the Union system. Title IV contains provisions on exports from the Union to third countries. Chapter 1 of this Title contains provisions on the export of waste from the Union for disposal. Article 34 provides for an export prohibition except to EFTA countries.

Article 35 provides for the procedural requirements when exporting to EFTA countries. This Article refers mutatis mutandis to Title II and provides for relevant adaptations and additions to the provisions there. Procedural provisions in Chapter 2 of this Title IV refer back to this article. Chapter 2 of this Title contains provisions on the export of waste from the Union for recovery. Section 1 contains provisions for exports of hazardous and other certain wastes to non-OECD countries, with Article 36 providing for an export prohibition of hazardous and other waste to non-OECD countries from the EU. Section 2 contains provisions for exports of non-hazardous wastes to non-OECD countries with Articles 37-40 providing for an export prohibition of non-hazardous waste to non-OECD countries except in the case where a non-OECD country notifies its willingness to import and demonstrates its ability to manage certain waste in an environmentally sound manner. These Articles further contain the procedure for third countries to notify their willingness and ability to receive and manage waste, and the empowerment for the Commission to assess these notifications and publish a list of countries that are eligible for receiving exports of certain green-listed wastes from the Union. Section 3 contains provisions for exports to OECD countries. Article 41 containing the procedural requirements for exports for recovery to OECD countries outside the Union. This Article refers mutatis mutandis to Title II and refers to Article 35, and provides for relevant adaptations and additions to the provisions there. Article 42 provides for the monitoring of export to OECD countries and a safeguard procedure in case the exports of waste to such countries lead to a situation where such waste are not managed in an environmentally sound manner. This Article provides for the Commission to be empowered to take action where necessary in case where the waste is not managed in an environmentally sound manner. Chapter 3 of this Title contains additional obligations applying to the export of waste. Article 43 contains obligations for exporters to ensure the waste they export is managed at destination in an environmentally sound manner. Article 44 contains obligations for exporting Member States to take necessary measures to ensure that the provisions in this Title are properly implemented. Chapter 4 of this Title contains general provisions. Article 45 prohibits the exports of waste to the Antarctic. Article 46 provides that exports to overseas countries or territories for disposal and of hazardous waste for recovery are prohibited and that for other exports for recovery Title II applies mutatis mutandis. Title V contains provisions on imports into the Union from third countries. Chapter 1 of this Title contains provisions on the import of waste into the Union for disposal. Article 47 prohibits imports except from a country Party to the Basel Convention or with an agreement in place or from other areas during situations of crisis or war. Article 48 contains procedural requirements for imports from a country Party to the Basel Convention or from other areas during situations of crisis or war. This Article refers mutatis mutandis to Title II and provides for relevant adaptations and additions to the provisions there. Procedural provisions in Chapter 2 of this Title IV refer back to this article. Chapter 2 of this Title contains provisions on the import of waste into the Union for recovery. Article 49 prohibits imports except from an OECD Decision country or a country Party to the Basel Convention or with an agreement in place or from other areas during situations of crisis or war. Article 50 contains procedural requirements for imports from an OECD Decision country or from other areas during situations of crisis or war. This Article refers mutatis mutandis to Title II and refers to Article 45, and provides for relevant adaptations and additions to the provisions there.

Article 51 contains 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. This Article refers mutatis mutandis to Article 45. Chapter 3 of this Title contains additional obligations. Article 52 contains obligations for Member States of import to ensure the sound management of imported waste and prohibit any such import if there is reason to believe the waste will not be managed properly. Chapter 4 of this Title contains general provisions. Article 53 provides that for imports from overseas countries or territories Title II applies mutatis mutandis. Title VI contains provisions on transit through the Union from and to third countries. Article 54 contains provisions for the transit for disposal. Article 55 contains provisions for the transit for recovery. Title VII contains provisions on enforcement of this Regulation. Chapter 1 of this Title consists of one article (Article 56) and provides for the general obligations for all those involved in shipments of waste to take the necessary steps to ensure that, throughout the period of shipment and during its recovery and disposal, any waste they ship is managed without endangering human health and in an environmentally sound manner. Chapter 2 of this Title contains provisions on the enforcement of this Regulation. Section 1 addresses the enforcement actions by Member States. Article 57 contains provisions on inspections. Article 58 contains provisions on documentation and evidence. Article 59 contains provisions on inspection plans by Member States. Article 60 contains provisions on penalties. Article 61 contains provisions on enforcement cooperation at national level. Article 62 contains provisions on enforcement cooperation between Member States. Article 63 contains provisions on the waste shipment enforcement group. Section 2 addresses the enforcement activities actions by the Commission in the context of this Regulation.

Title VIII contains final provisions. Article 69 contains provisions on reporting obligations for Member States. Article 70 contains provisions on international cooperation. Article 71 contains provisions on the designation of competent authorities in Member States. Article 72 contains provisions on the designation of correspondents. Article 73 contains provisions on the designation of customs offices of entry into and exit from the Union. Article 74 contains provisions on the notification of, and information regarding, designations. Article 75 contains provisions on the amendment of Annexes I to X to this Regulation. Article 76 and 77 set out the conditions for the Commission's adoption of delegated and implementing acts. Article 78 amends Regulation (EU) No 1257/2013 to align it and this Regulation with the applicable international obligations of the Union and its Member States as regards end-of-life vessels. Article 79 amends Regulation (EU) No 2020/1056 to update the references made in that Regulation to waste transport documents. Article 80 provides for a review of this Regulation in 2034. Article 81 provides for repeal and transitional rules. Article 82 provides for the entry into force and application of this Regulation. 2021/0367 (COD) Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on shipments of waste and amending Regulations (EU) No 1257/2013 and (EU) No 2020/1056 (Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty on the Functioning of the European Union, and in particular Article 192(1) thereof, Having regard to the proposal from the European Commission, After transmission of the draft legislative act to the national parliaments, Having regard to the opinion of the European Economic and Social Committee, Having regard to the opinion of the Committee of the Regions, Acting in accordance with the ordinary legislative procedure, Whereas: (1)It is necessary to lay out rules at the Union level to protect the environment and human health against the adverse impacts which may result from the shipment of waste. These rules should also contribute to the facilitation of environmentally sound management of waste, in accordance with the waste hierarchy laid down in Article 4 of Directive 2008/98/EC of the European Parliament and of the Council, as well as to the reduction of overall impacts of resource use and to the improvement of the efficiency of such use, which is crucial for the transition to a circular economy. (2)Regulation (EC) No 1013/2006 of the European Parliament and of the Council has, over the past fifteen years, brought about important improvements to protect the environment and human health against the adverse impacts which may result from the shipment of waste. However, the Commission’s evaluation of that Regulation has also revealed a number of challenges and shortcomings, which need to be addressed through new regulatory provisions. (3)The European Green Deal sets out an ambitious roadmap to transform the Union into a sustainable, resource efficient and climate neutral economy. It calls on the Commission to review the Union rules on waste shipments established under Regulation (EC) No 1013/2006. The New Circular Economy Action Plan adopted in March 2020 further stresses the need for action to ensure that shipments of waste for re-use and recycling in the Union are facilitated, that the Union does not export its waste challenges to third countries and that illegal waste shipments are better addressed. In addition to the environmental and social benefits, this can also result in ameliorating EU’s strategic dependencies on raw materials. Both the Council and the European Parliament have also called for a revision of the current Union rules on waste shipments established under Regulation (EC) No 1013/2006. (4)Regulation (EC) No 1013/2006 has already been amended on several occasions and requires further significant amendments to ensure that the policy objectives of the European Green Deal and the New Circular Economy Action Plan are met. Regulation (EC) No 1013/2006 should therefore be replaced by a new Regulation. (5)This Regulation supplements the general waste management legislation of the Union, such as Directive 2008/98/EC. It refers to the definitions in that Directive, including, the definitions of waste and general waste management operations. It also includes a number of additional definitions in order to facilitate uniform application of this Regulation. (6)This Regulation implements at Union level the Basel Convention of 22 March 1989 on the control of transboundary movements of hazardous wastes and their disposal (‘the Basel Convention’). The Basel Convention aims to protect human health and the environment against the adverse effects resulting from the generation, transboundary movements and management of hazardous wastes and other wastes. The Union has been a Party to the Basel Convention since 1994. (7)This Regulation also implements at Union level an amendment to the Basel Convention (the Ban Amendment) which was adopted in 1995 and entered into force at the international level on 5 December 2019. The Ban Amendment establishes a general prohibition on all exports of hazardous waste that are intended for final disposal, re-use, recycling and recovery from countries listed in Annex VII to the Basel Convention to all other countries. The Union has ratified the Ban Amendment and implemented it since 1997. (8)The Union submitted in October 2020 a notification, covering shipment of waste within the Union, to the Secretariat of the Basel Convention under Article 11 of that Convention. In line with that Article, the Union might therefore set out specific rules applying to the intra-EU shipments of waste which are not less environmentally sound than those provided for by the Basel Convention. (9)In view of the fact that the Union has approved the Decision of the OECD Council of 30 March 1992 on the Control of Transboundary Movements of Wastes Destined for Recovery Operations (‘the OECD Decision’), it is necessary to incorporate the content of that Decision, including its amendments, in Union legislation. (10)It is important to organise and regulate the supervision and control of shipments of waste in a way which takes account of the need to preserve, protect and improve the quality of the environment and human health and which ensures a uniform application of rules on waste shipments throughout the Union. (11)It is necessary to avoid duplication with applicable Union legislation on the transport of certain materials that could classify as waste under this Regulation. (12)Shipments of waste generated by armed forces or relief organisations should be excluded from the scope of this Regulation when imported into the Union in certain situations (including transit within the Union when the waste enters the Union). The requirements of international law and international agreements should be respected in relation to such shipments. In such cases, any competent authority of transit and the competent authority of destination in the Union should be informed in advance concerning the shipment and its destination.

(13)It is necessary to avoid duplication with Regulation (EC) No 1069/2009 of the European Parliament and of the Council, which already contains provisions covering the overall consignment, channelling and movement (collection, transport, handling, processing, use, recovery or disposal, record keeping, accompanying documents and traceability) of animal by-products within, into and out of the Union. (14)Regulation (EU) No 1257/2013 of the European Parliament and of the Council applies to large commercial ships flying the flag of a Member State of the Union, which were excluded from the scope of application of Regulation (EC) No 1013/2006. However, following the recent international entry into force of the Ban Amendment, it is necessary to ensure that the ships covered by the scope of Regulation (EU) No 1257/2013 which become waste in the Union are made subject to the relevant Union waste shipment rules implementing the Ban Amendment, in order to ensure strict legal compatibility of the Union’s legal regime with international obligations. At the same time, it is also necessary to amend Regulation (EU) No 1257/2013 to clarify that ships falling within the scope of that Regulation and which become waste in the Union shall only be recycled at those facilities included in the European List of ship recycling facilities established under that Regulation, which are located in countries listed in Annex VII to the Basel Convention. (15)Although the supervision and control of shipments of waste within a Member State is a matter for that Member State, national systems concerning shipments of waste should take account of the need for coherence with the Union system in order to ensure a high level of protection of the environment and human health. (16)In the case of shipments of waste not listed in Annex III, Annex IIIA or Annex IIIB of this Regulation and destined for recovery operations, it is appropriate to ensure optimal supervision and control by requiring prior written consent to such shipments. Such a procedure should in turn entail prior notification, which enables the competent authorities to be duly informed so that they can take all necessary measures for the protection of human health and the environment. It should also enable those authorities to raise reasoned objections to such shipments. (17)In order to support the implementation of the provisions in Directive 2008/98/EC designed to increase the separate collection of waste and reduce the generation of mixed municipal waste, shipments of mixed municipal waste to another Member State should be subject to particular scrutiny. Furthermore, in order to support the achievements of targets to increase recycling and reduce disposal of waste set out in Directive 2008/98/EC and Council Directive 1999/31/EC, shipments of waste for disposal in another Member State should be generally prohibited. Shipments of waste for disposal should be allowed only in exceptional cases. In those cases, Member States should take into account the principles of proximity and self-sufficiency at Union and national levels, in accordance with Directive 2008/98/EC, and in particular Article 16 of that Directive, as well as the priority for recovery. Member States should also be able to ensure that the waste management facilities covered by Directive 2010/75/EU of the European Parliament and of the Council apply best available techniques as defined in that Directive in compliance with the permit of the facility, and that the waste is treated in accordance with human health and environmental protection requirements in relation to disposal operations established in Union legislation. (18)In the case of shipments of waste listed in Annex III, Annex IIIA or Annex IIIB of this Regulation destined for recovery operations, it is appropriate to ensure a minimum level of supervision and control by requiring such shipments to be accompanied by certain information on the persons and countries involved in the shipments, the description and quantities of the waste concerned, the type of recovery operation for which the waste is shipped and the details of the facilities which will recover the waste. (19)It is necessary to set the grounds for Member States to object to shipments of waste destined for recovery. In the case of such shipments, Member States should be able to ensure that the waste management facilities covered by Directive 2010/75/EU apply best available techniques as set out in that Directive in compliance with the permit of the facility. Member States should also be able to ensure that waste is treated in accordance with human health and environmental protection requirements in relation to recovery operations established in Union legislation and that, taking account of Article 16 of Directive 2008/98/EC, waste is treated in accordance with waste management plans established pursuant to that Directive with the purpose of ensuring the implementation of legally binding recovery or recycling obligations established in Union legislation. (20)It is necessary to provide for procedural steps and safeguards, when a notifier wishes to ship waste subject to the procedure of prior written notification and consent, in the interests of legal certainty and to ensure uniform application of this Regulation and the proper functioning of the internal market. It is also necessary, in line with Article 6(11) of the Basel Convention, to ensure that the costs arising from situations where the shipment of waste subject to the prior written notification and consent cannot be completed or is illegal, are borne by the relevant operators. To this end, the notifier should establish a financial guarantee or equivalent insurance for each shipment of such waste. (21)In order to reduce the administrative burden for both public and private operators involved in shipments to facilities recognised as ‘pre-consented’, it is necessary to set out the conditions under which the status of ‘pre-consented’ can be granted, to ensure their mutual recognition by all Member States and harmonise the requirements for shipping waste to these facilities. (22)In order to reduce delays in the processing of notifications for the shipment of waste and facilitate the exchange of information between the relevant authorities, it is necessary that the issuance and exchange of information and data, which relates to individual shipments of waste within the Union, be made via electronic means. It is also necessary to empower the Commission to lay out the procedural and operational requirements for the practical implementation of the systems ensuring this electronic submission and exchange of information (such as interconnectivity, architecture and security). It is also necessary to provide sufficient time for competent authorities in the Member States and economic operators to prepare for the shift from a paper based approach, as laid down in Regulation (EC) 1013/2006, to an approach to exchange information and documents electronically. This new obligation should therefore become applicable 24 months after the date of application of this Regulation. (23)Economic operators involved in the transport of waste should be allowed to use the environment as established in Regulation (EU) No 2020/1056 of the European Parliament and of the Council for the exchange of the information required under this Regulation during the transport of the waste, and interoperability of the systems provided for in this Regulation and the environment for the exchange of electronic freight transport information should be ensured. (24)In order to facilitate the work carried out by customs in the implementation of this Regulation, it is necessary that the central system operated by the Commission that allows for the electronic submission and exchange of information and documents becomes interoperable with the European Union Single Window Environment for Customs, currently being developed at the Union level, when all required technical work to ensure this operability is completed. (25)Competent authorities in third countries should be able to issue and exchange the information and documents for the procedural requirements under this Regulation, via electronic means through the system operated at the Union level, if they so wish and if they comply with the requirements to exchange data via this system. (26)In order to ensure traceability of shipments of waste and not to impair the environmentally sound management of waste shipped across borders, it should be prohibited to mix waste with other waste from the start of the shipment to the receipt of the waste in recovery or disposal operation. (27)To facilitate the enforcement of the obligations laid down in this Regulation, it is important that economic operators and competent authorities keep documents and information required for the shipment of waste for a minimum period of five years from the date when a shipments starts. (28)Member States should be required to ensure that, in accordance with the United Nations Economic Commission for Europe (UNECE) Convention on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters of 25 June 1998 (Aarhus Convention), the relevant competent authorities make publicly available by appropriate means information on notifications of shipments they have consented to, as well as on shipments of waste subject to the general information requirements of this Regulation, where such information is not confidential under national or Union legislation. (29)In order to implement the requirements set out in Article 9(2), (3) and (4) of the Basel Convention, an obligation should be laid down to the effect that waste from a shipment that cannot be completed as intended is to be taken back to the country of dispatch or recovered or disposed of in an alternative way. It should also be compulsory for the person whose action is the cause of an illegal shipment to take back the waste involved or make alternative arrangements for its recovery or disposal, and to bear the costs arising from the take-back operations. Failing that, the competent authorities of dispatch or destination, as appropriate, should cooperate to ensure the environmentally sound management of the waste concerned. (30)With a view to ensuring that competent authorities are able to correctly process the documents submitted to them relating to the shipment of waste, it is necessary to lay out an obligation for the notifier to provide an authorised translation of these documents in a language acceptable to these authorities, if they so request. (31)In order to avoid disruptions of shipments of waste or goods, due to a disagreement between competent authorities on the status of these waste or goods, it is necessary to set out a procedure to resolve such disagreements. It is important in that regard that competent authorities base their decisions on the provisions relating to the determination of by-products and to the end-of-waste status of Directive 2008/98/EC. It is also necessary to lay out a procedure to resolve disagreements between competent authorities as to whether waste should be subject or not to the notification procedure. To ensure a better harmonisation across the Union of the conditions under which waste should be subject to the notification procedure, the Commission should also be empowered to adopt implementing acts establishing criteria for the classification of specific waste in the relevant Annexes to this Regulation, which will determine whether or not it is subject to the notification procedure. In addition, in order to avoid that waste are falsely declared as used goods and to provide legal clarity, the Commission should be empowered to adopt implementing acts establishing criteria to distinguish between used goods and waste, for specific commodities for which such distinction is important, especially for their export from the Union. (32)To allow administrations to limit public expenditures linked to the handling of procedures for the shipment of waste and to the enforcement of this Regulation, it is necessary to foresee the possibility that appropriate and proportionate administrative costs linked to these procedures, as well as to supervision, analyses and inspections, be charged to the notifier.

(33)In order to reduce administrative burdens and in exceptional circumstances, linked to specific geographical or demographical situations, Member States may conclude 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. It should also be possible for a Member State to conclude such agreements with a country that is party to the Agreement on the European Economic Area, as well in a situation where waste is shipped from and treated in the country of dispatch but transits through another Member State. (34)It is necessary, in order to protect the environment of the countries concerned, to clarify the scope of the prohibition of exports laid down in accordance with the Basel Convention from the Union of any waste destined for disposal in a third country other than an EFTA (European Free Trade Association) country. (35)Countries that are Parties to the Agreement on the European Economic Area may adopt the control procedures provided for shipments within the Union. In such cases, shipments between the Union and these countries should be subject to the same rules as shipments within the Union. (36)To protect the environment of the countries concerned, it is necessary to clarify the scope of the prohibition of exports of hazardous waste destined for recovery in third countries to which the OECD Decision does not apply, in accordance with the Basel Convention. In particular, it is necessary to clarify the list of waste to which that prohibition applies and to ensure that it also includes the waste listed in Annex II to the Basel Convention, namely waste collected from households, residues from the incineration of household waste and hard-to-recycle plastic waste. (37)It is necessary to establish strict rules concerning the export for recovery of non-hazardous waste to third countries to which the OECD Decision does not apply, in order to ensure that this waste does not create damages to environment and public health in these countries. Under these rules, export from the Union should be allowed only to countries included in a list drawn up and to be updated by the Commission, when these countries have submitted a request to the Commission stating their willingness to receive certain non-hazardous waste from the Union and demonstrating their ability to manage such waste in an environmentally sound manner, on the basis of criteria laid down in this Regulation. Exports to countries other than those included in that list should be prohibited. To ensure sufficient time for the transition to this new regime, a transitional period of three years after the general date of application of this Regulation should be foreseen. (38)Countries to which the OECD decision applies are subject to the rules and recommendations laid down by the OECD on the shipment and management of waste, and have generally higher standards for the management of waste than countries to which the OECD decision does not apply. It is however important that the export from the Union of non-hazardous waste for recovery does not create damages to environment and public health in countries to which the OECD decision applies. It is therefore necessary to establish a mechanism to monitor shipments of non-hazardous waste to such countries. In cases where the export of non-hazardous waste from the Union to the country concerned has considerably increased within a short period of time and there is a lack of information available demonstrating the ability of the country concerned to recover this waste in an environmentally sound manner, the Commission should enter into a dialogue with the country concerned and, if the information is not sufficient to prove that the waste is recovered in an environmentally sound manner, be empowered to suspend such exports. (39)The necessary steps should be taken to ensure that, in accordance with Directive 2008/98/EC and other Union legislation on waste, waste shipped within the Union and waste imported into the Union is managed, throughout the period of shipment and including recovery or disposal in the country of destination, without endangering human health and without using processes or methods which could harm the environment. It is also necessary to ensure that waste exported from the Union is managed in an environmentally sound manner throughout the period of shipment and including recovery or disposal in the third country of destination. To this end, an obligation should be introduced for exporters of waste to ensure that the facility which receives the waste in the third country of destination is made subject to an independent third party audit, prior to exporting waste to the facility in question. The purpose of this audit is to verify compliance of the facility in question with specific criteria laid down in this Regulation, designed to ensure that the waste will be managed in an environmentally sound manner. Where such audit concludes that the criteria laid down in this Regulation is not fulfilled by the facility in question, the exporter should not be entitled to export waste to this facility. This obligation should apply with regard to facilities located in all third countries, including those that are member of the OECD. The OECD Decision states that waste exported to another OECD country “shall be destined for recovery operations within a recovery facility which will recover the wastes in an environmentally sound manner according to national laws, regulations and practices to which the facility is subject”. The OECD Decision does not contain any element or criterion specifying how to implement this requirement as regards the “environmentally sound management” of waste. In the absence of common criteria defining the conditions under which waste shall be recovered in the relevant facilities, it is necessary to address the risk that waste exported from the EU to countries belonging to the OECD is mismanaged in specific facilities, and hence facilities located in these countries should be subject to the audit requirements foreseen in this Regulation. (40)Considering the right of each Party to the Basel Convention, pursuant to Article 4(1) thereof, to prohibit the import of hazardous waste or of waste listed in Annex II to that Convention, imports into the Union of waste for disposal should be permitted where the exporting country is a Party to that Convention. Imports into the Union of waste for recovery should be permitted where the exporting country is one to which the OECD Decision applies or is a Party to the Basel Convention. In other cases, imports should be allowed only if the exporting country is bound by a bilateral or multilateral agreement or arrangement compatible with Union legislation and in accordance with Article 11 of the Basel Convention, except when this is not possible during situations of crisis, peacemaking, peacekeeping or war. (41)This Regulation should reflect the rules regarding exports and imports of waste to and from the overseas countries and territories laid down in Council Decision 2013/755/EU. (42)In the specific cases of shipments taking place within the Union with transit via third countries, specific provisions pertaining to the consent procedure by third countries should apply. It is also necessary to adopt specific provisions pertaining to the procedures applying to the transit of waste through the Union from and to third countries. (43)For environmental reasons and in view of the particular status of the Antarctic, this Regulation shall explicitly prohibit the export of waste to this territory. (44)To ensure harmonised implementation and enforcement of this Regulation, it is necessary to lay out obligations for Member States to carry out inspections of the shipments of waste. Adequate planning of inspections of shipments of waste is also necessary to establish the capacity needed for inspections and to effectively prevent illegal shipments. Regulation (EC) No 1013/2006 required Member States to ensure that inspection plans for waste shipments be established by 1 January 2017. To facilitate more consistent application of the provisions related to inspection plans and to ensure harmonised approach for inspections across the Union, Member States should notify their inspection plans to the Commission, which should be tasked to review these plans and, where appropriate, issue recommendations for improvements. (45)Diverging rules exist in the Member States as regards the power of, and possibility for, authorities involved in inspections in Member States to require evidence to ascertain the legality of shipments. Such evidence could concern, inter alia, whether the substance or object is waste, whether the waste has been correctly classified, and whether the waste will be shipped to facilities managing waste in an environmentally sound manner in accordance with this Regulation. This Regulation should therefore provide the possibility for authorities involved in inspections in Member States to require such evidence. Such evidence may be requested on the basis of general provisions or on a case-by-case basis. Where such evidence is not made available or is considered to be insufficient, the carriage of the substance or object concerned, or the shipment of waste concerned should be considered as an illegal shipment and should be dealt with in accordance with the relevant provisions of this Regulation. (46)Member States should lay down rules on administrative penalties applicable to infringements of this Regulation and ensure that those rules are enforced. The penalties provided for should be effective, proportionate and dissuasive. The evaluation of Regulation (EC) No 1013/2006 found that one of the shortcomings is that national rules on penalties differ significantly across the Union. Therefore, to facilitate more consistent application of penalties, common non-exhaustive criteria should be established for determining the types and levels of penalties to be imposed in case of infringements of this Regulation. These criteria should include, inter alia, the nature and gravity of the infringement and the economic benefits derived from and the environmental damage caused by the infringement, insofar as these can be determined. Furthermore, in addition to the administrative penalties required under this Regulation, Member States should ensure that illegal shipment of waste constitutes a criminal offence in serious cases, in accordance with the provisions laid down in Directive 2008/99/EC of the European Parliament and of the Council of 19 November 2008. (47)Experience with the application of Regulation (EC) No 1013/2006 showed that the involvement of multiple actors at the national level creates challenges to coordination and cooperation in relation to enforcement. Therefore, Member States should ensure that all relevant authorities involved in enforcement of this Regulation have effective mechanisms to enable them to cooperate and coordinate domestically concerning the development and implementation of enforcement policies and activities to address illegal shipments of waste, including for the establishment and implementation of the inspection plans. (48)It is necessary for Member States to cooperate, bilaterally and multilaterally, with one another in order to facilitate the prevention and detection of illegal shipments of waste. To further improve coordination and cooperation across the Union, a dedicated enforcement group should be established with the participation of designated representatives of the Member States and of the Commission, as well as representatives of other relevant institutions, bodies, offices, agencies or networks. This enforcement group should meet regularly. It should be a forum, inter alia, for sharing information and intelligence on trends in illegal shipments and for exchanging views on enforcement activities, including best practices. (49)To support and complement the enforcement activities of the Member States, the Commission should be empowered to carry out investigative and coordinating actions in respect of illegal shipments, which might have serious adverse effects on human health or the environment. In carrying out these activities, the Commission should act in full respect of procedural guarantees. The Commission may consider, as a matter of its internal organisation, entrusting certain enforcement actions foreseen by this Regulation to the European Anti-Fraud Office (OLAF), which possesses relevant expertise in that regard. (50)Member States should provide the Commission with information concerning the implementation of this Regulation, both through the reports submitted to the Secretariat of the Basel Convention and on the basis of a separate questionnaire. The Commission should produce a report every four years on the implementation of this Regulation, based on the information provided by the Member States as well as on other information, gathered in particular through ad hoc reports by the Commission and the European Environment Agency on the shipments of plastic waste and other specific waste streams that are a source of concern. (51)Efficient international cooperation regarding control of shipments of waste is instrumental in ensuring that shipments of waste are controlled and monitored on an appropriate level. Information exchange, shared responsibility and cooperative efforts between the Union and its Member States and third countries should be promoted with a view to ensuring sound management of waste. (52)In order to facilitate the exchange of information and cooperation for the implementation of this Regulation, Member States should designate competent authorities and correspondents and notify them to the Commission, which should make this information publicly available.

(53)Member States should be entitled, for the purpose of ensuring the control of waste shipments, to designate specific customs offices of entry and exit for shipments of waste entering and leaving the Union and notify them to the Commission, which should make this information publicly available. (54)In order to supplement or amend this Regulation, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of Articles 37(13), 40(8) and Article 72 of this Regulation. It is of particular importance that the Commission carries out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States’ experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. (55)In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission to adopt measures on a harmonised method for calculating the financial guarantee or equivalent insurance, to clarify the classification of waste under this Regulation (including the establishment of contamination level threshold for certain waste) and to clarify for certain types of commodities the distinction between used goods and waste when shipped transboundary. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council. (56)Regulation (EU) 2020/1056 establishes a legal framework for the electronic communication of regulatory information between the economic operators concerned and competent authorities in relation to the transport of goods on the territory of the Union and covers parts of this Regulation in its provisions. In order to ensure consistency between the instruments, it is necessary to amend Regulation (EU) 2020/1056. (57)It is necessary to provide for sufficient time for economic operators to comply with their new obligations under this Regulation, and for Member States and the Commission to set up the administrative infrastructure necessary for its application. The application of several provisions of this Regulation should therefore also be deferred to a date where those preparations can reasonably be finalised. Most provisions of this Regulation will become applicable two months after its entry into force, while the provisions linked to the obligations set out in Article 26 to issue and exchange documents electronically will become applicable two years after this date, and some provisions relating to the export of waste will become applicable three years after this date. In order to avoid any regulatory gap, it is necessary to ensure that some provisions of Regulation (EC) No 1013/2006 remain in force, until the date when the provisions of this regulation with a delayed application becomes applicable. (58)Since the objectives of this Regulation cannot be sufficiently achieved by the Member States, but can rather, by reason of the need for harmonization, be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on the European Union. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective, HAVE ADOPTED THIS REGULATION:



Title I

General Provisions Article 1

Subject matter This Regulation lays down measures to protect the environment and human health by preventing or reducing the adverse impacts which may result from the shipment of waste. It establishes procedures and control regimes for the shipment of waste, depending on the origin, destination and route of the shipment, the type of waste shipped and the type of treatment to be applied to the waste at its destination. Article 2

Scope 1.This Regulation shall apply to: (a)shipments of waste between Member States, with or without transit through third countries; (b)shipments of waste imported into the Union from third countries; (c)shipments of waste exported from the Union to third countries; (d)shipments of waste in transit through the Union on the way to or from third countries. 2.This Regulation shall not apply to: (a)the offloading to shore of waste, including waste water and residues, generated by the normal operation of ships and offshore platforms, provided that such waste is subject to the requirements of the International Convention for the Prevention of Pollution from Ships or other binding international instruments; (b)waste generated on board vehicles, trains, aeroplanes and ships, until the first stop, station, airport or harbour in the Union where the vehicle, train, aeroplane or ship respectively stays for a duration long enough to allow for the offloading of the waste in order to be recovered or disposed of;

(c)shipments of radioactive waste as defined in Article 5 of Council Directive 2006/117/Euratom; (d)shipments of animal by-products and derived products as defined in Article 3(1) and (2) of Regulation (EC) No 1069/2009, respectively, except animal by-products or derived products mixed or contaminated with any waste listed as hazardous in the Annex to Commission Decision 2000/532/EC; (e)shipments of the waste referred to in Article 2(1), point (e), and Article 2(2), points (a), (d) and (e), of Directive 2008/98/EC, where such shipments are already covered by other Union legislation; (f)shipments of waste from the Antarctic into the Union which are in accordance with the requirements of the Protocol on Environmental Protection to the Antarctic Treaty; (g)shipments of CO2 for the purposes of geological storage in accordance with Directive 2009/31/EC of the European Parliament and of the Council; (h)ships flying the flag of a Member State falling within the scope of Regulation (EU) No 1257/2013, with the exception of ships becoming waste in an area under the national jurisdiction of a Member State, to which Article 36, Title VII and Title VIII apply; 3.For imports of waste generated by armed forces or relief organisations in situations of crisis, peacemaking or peacekeeping operations where such waste is shipped, by those armed forces or relief organisations concerned or on their behalf, directly or indirectly to the country of destination, only Article 48(6) shall apply. 4.Shipments of waste from the Antarctic to third countries, which transit through the Union, shall be subject to Articles 36 and 56. 5.For shipments of waste exclusively within a Member State, only Article 33 shall apply. Article 3

Definitions For the purposes of this Regulation, the following definitions apply: (1)‘mixture of wastes’ means waste that results from an intentional or unintentional mixing of two or more different wastes, which are listed in different entries in Annexes III, IIIB and IV, or, where applicable, in different indents or sub-indents of such entries. Waste shipped in a single shipment of wastes, consisting of two or more wastes, where each waste is separated, is not a mixture of wastes; (2)‘interim disposal’ means any of the disposal operations under D 13 to D 15 referred to in Annex I to Directive 2008/98/EC; (3)‘interim recovery’ means any of the recovery operations under R 12 and R 13 referred to in Annex II to Directive 2008/98/EC; (4)‘environmentally sound management’ means taking all practicable steps to ensure that waste is managed in a manner that will protect human health and the environment against adverse effects which may result from such waste; (5)‘consignee’ means the person or undertaking under the national jurisdiction of the country of destination to whom or to which the waste is shipped for recovery or disposal; (6)‘notifier’ means: (a)in the case of a shipment originating from a Member State, any natural or legal person under the national jurisdiction of that Member State who plans or carries out a shipment of waste and to whom the duty to notify is assigned, and who is listed below: (i) the original waste producer; (ii) the new waste producer who carries out operations prior to shipment,

(iii) a collector who, from various small quantities of the same type of waste collected from a variety of sources, has assembled the shipment which is to start from a single notified location; (iv) a dealer or a broker acting on behalf of any of the categories specified in points (i), (ii) or (iii); (v) where all of the persons specified above, are unknown or insolvent, the waste holder; (b)in the case of import into, or transit through, the Union of waste that does not originate in a Member State, any of the following natural or legal persons under the national jurisdiction of the country of dispatch who plans or carries out a shipment of waste or intends to have, or who has had, a shipment of waste carried out: (i) the person designated by the law of the country of dispatch; (ii) in the absence of a person designated by the law of the country of dispatch, the waste holder at the time the export took place; (7)‘collector’ means any natural or legal person carrying out waste collection as defined in Article 3, point (10), of Directive 2008/98/EC. (8) ‘competent authority’ means: (a)in the case of a Member State, the body designated by the Member State concerned in accordance with Article 71; (b)in the case of a third country that is a Party to the Basel Convention of 22 March 1989 on the control of transboundary movements of hazardous wastes and their disposal (‘the Basel Convention’);, the body designated by that country as the competent authority for the purposes of the Basel Convention in accordance with Article 5 thereof; (c)in the case of any country not referred to in either point (a) or point (b), the body that has been designated as the competent authority by the country or region concerned or, in the absence of such designation, the regulatory authority for the country or region, as appropriate, which has jurisdiction over shipments of waste for recovery or disposal, or transit, as the case may be; (9)‘competent authority of dispatch’ means the competent authority for the area from which the shipment is planned to be initiated or is initiated; (10)‘competent authority of destination’ means the competent authority for the area to which the shipment is planned or takes place, or in which waste is loaded prior to recovery or disposal in an area not under the national jurisdiction of any country; (11)‘competent authority of transit’ means the competent authority for any country, other than the country of the competent authority of dispatch and the competent authority of destination, through which the shipment is planned or takes place; (12)‘country of dispatch’ means any country from which a shipment of waste is planned to be initiated or is initiated; (13)‘country of destination’ means any country to which a shipment of waste is planned or takes place for recovery or disposal therein, or for the purpose of loading prior to recovery or disposal in an area not under the national jurisdiction of any country; (14)‘country of transit’ means any country, other than the country of dispatch or destination, through which a shipment of waste is planned or takes place; (15)‘area under the national jurisdiction of a country’ means any land or marine area within which a state exercises administrative and regulatory responsibility in accordance with international law as regards the protection of human health or the environment; (16)‘overseas countries and territories’ means the overseas countries and territories listed in Annex II to the Treaty; (17)‘customs office of export’ means customs office of export as defined in Article 1, point (16), of Commission Delegated Regulation (EU) 2015/2446;

(18)‘customs office of exit‘ means customs office of exit as determined in accordance with Article 329 of Commission Implementing Regulation (EU) 2015/2447; (19)‘customs office of entry’ means customs office of first entry as defined in Article 1, point (15), of Delegated Regulation (EU) 2015/2446 ; (20)‘import’ means any entry of waste into the Union but excluding transit through the Union; (21)‘export’ means any exit of waste from the Union but excluding transit through the Union; (22)‘transit’ means a shipment of waste or a planned shipment of waste through one or more countries other than the country of dispatch or destination; (23)‘transport’ means the carriage of waste by road, rail, air, sea or inland waterways; (24)‘shipment’ means the transport of waste destined for recovery or disposal from the point of loading until the waste is recovered or disposed of in the country of destination, which is planned to take place, or takes place: (a)between a country and another country; (b)between a country and overseas countries and territories or other areas, under that country's protection; (c)between a country and any geographic area which is not part of any country under international law; (d)between a country and the Antarctic; (e)from one country through any of the areas referred to in points (a) to (d); (f)within a country through any of the areas referred to in points (a) to (d) and which originates in and ends in the same country; or (g)from a geographic area not under the national jurisdiction of any country, to a country; (25)‘illegal shipment’ means any shipment of waste effected: (a)without notification to the competent authorities concerned pursuant to this Regulation; (b)without the consent of the competent authorities concerned pursuant to this Regulation; (c)with consent obtained from the competent authorities concerned pursuant to this Regulation through falsification, misrepresentation or fraud; (d)in a way which is not in accordance with the information contained in the notification or movement documents; (e)in a way which results in recovery or disposal in contravention of Union or international rules;

(f)contrary to Articles 11, 34, 36, 37, 42, 44, 45, 46 or 47