20. 2. 76 Official  Journal  of the  European  Communities No C 40/3 
II 
(Preparatory  Acts) 
COMMISSION 
Proposal  for a Council  Directive  concerning  the dumping  of wastes  at sea 
(Submitted  by the Commission  td the Council  on 12 January  1976) 
THE  COUNCIL  OF THE  EUROPEAN  COMMUNITIES, 
Having  regard  to  the  Treaty  establishing  the 
European  Economic  Community,  and  in particular 
Article  100  thereof, 
Having  regard  to the proposal  from  the Commission, 
Having  regard  to the  opinion  of the  European 
Parliament, 
Having  regard  to the  opinion  of the  Economic  and 
Social  Committee, 
Whereas  the Programme  of Action  of the  European 
Communities  on the environment  provides  for action 
to be  taken  in order  to control  the  deliberate 
discharge  of waste  into  the sea; 
Whereas  the  protection  of  the  environment 
necessitates  the  prevention  or reduction  of marine 
pollution  and  the  safeguarding  of the  environment 
against  deliberate  dumping  of wastes  and  materials 
from  ships  and  aircraft  at sea; 
Whereas  a number  of conventions,  and  in particular 
the Convention  for  the  Prevention  of  Marine 
Pollution  by  Dumping  from  Ships  and  Aircraft, 
signed  at Oslo  on  15  February  1972  and  the 
Convention  on the Dumping  of Wastes  at Sea  signed 
at London  on 13 November  1972  are  designed  to 
protect  the marine  environment  from  this  particular 
source  of  pollution;  whereas  another  similar 
agreement,  which  covers  the Mediterranean  is in the 
course  of preparation; 
Whereas  any  disparity  between  the  provisions  on 
dumping  of wastes  at sea  already  applicable  or in 
preparation  in  the  Member  States  within  the framework  of  these  conventions,  may  affect 
conditions  of competition  and  the functioning  of the 
common  market; 
Whereas  it is therefore  necessary  to assure  that 
actions  taken  to implement  these  conventions  are 
coordinated; 
Whereas  in order  to ensure  an effective  protection  of 
the environment  it is necessary  to prohibit  the 
discharge  into  the  sea  of  certain  dangerous 
substances,  on one  hand,  and  on the other  to set up a 
uniform  system  of permits  in order  to regulate  and 
control,  according  to homogeneous  criteria,  the 
dumping  of any  other  wastes  and  materials; 
Whereas  in order  to meet  situations  of a particularly 
critical  nature  it is necessary  to allow  for exemption 
from  the  applicability  of the  prohibition  resulting 
from  this Directive; 
Whereas  it is important  that  Member  States 
collaborate  in establishing  research  programmes 
which  will  minimize  the  amount  of harmful  waste 
requiring  disposal; 
Whereas  in  order  to  allow  a satisfactory 
implementation  of  the  present  Directive,  the 
Commission  should  study  and  consider  the records  of 
the permits  issued,  keep  under  review  the measures 
adopted  by Member  States  and  consider  the need  for 
any other  measures, 
HAS  ADOPTED  THIS  DIRECTIVE: 
Article  1 
This  Directive  shall  apply  for  the  purpose  of 
preventing  and  abating  pollution  of the sea caused  by 
dumping  from  ships  and  aircraft. 
No C 40/4 Official  Journal  of the  European  Communities 20. 2. 76 
Article  2 
For the purpose  of this  Directive: 
1. The  term  'dumping'  means  any  deliberate  disposal 
of substances  and  materials  into  the  sea  by or 
from  ships  or aircraft  other  than: 
(a) any  discharge  incidental  to, or derived  from, 
the normal  operation  of ships  and  aircraft  and 
their  equipment; 
(b) the  placing  of substances  and  materials  for a 
purpose  other  than  the mere  disposal  thereof, 
if not contrary  to the aim  of this  Directive. 
2. The  term  'ships  and  aircraft'  means  sea-going 
vessels  and  air-borne  craft  of any  type  whatsoever, 
including  air-cushion  craft,  floating  craft  whether 
self-propelled  or  not,  and  fixed  or  floating 
platforms. 
Article  3 
1. This  Directive  shall  apply: 
— to ships  and  aircraft  registered  in the territory  of a 
Member  State, 
— to ships  and  aircraft  loading  in the territory  of a 
Member  State  substances  and  materials  which  are 
to be dumped, 
— to ships  and  aircraft  dumping  or believed  to be 
engaged  in dumping  within  waters  falling  the 
jurisdiction  of a Member  State. 
2. Nothing  in this  Directive  shall  abridge  the 
sovereign  immunity  which  certain  vessels  are entitled 
to under  international  law. 
Article  4 
The dumping  of the  substances  listed  in Annex  I to 
this Directive  is prohibited. 
Article  5 
1. It  is forbidden  to dump  wastes  or  other 
materials  listed  in Annex  II without  a special  permit 
granted  in each  case  by the  competent  authorities 
referred  to in Article  6. 
2. Likewise  the  dumping  of other  wastes  or 
materials  shall  be forbidden  without  a general  permit granted  by the  competent  authorities  referred  to in 
Article  6. 
Article  6 
1. Member  States  shall  designate  one  or more 
competent  authorities  to: 
(a) issue  the  special  permits  provided  for  in Article 
5.1; 
(b) issue  the general  permits  provided  for  in Article 
5.2; 
(c) keep  records  of the  nature  and  quantities  of the 
wastes  or other  materials  to be dumped  and  the 
location,  time  and  method  of dumping. 
2. The  competent  authorities  of each  Member 
State  shall  issue  the  permits  provided  for  in Article 
5.1 and  5.2 in respect  of the wastes  or other  materials 
intended  for dumping: 
(a) loaded  in the territory  of the Member  State;  or 
(b) loaded  by a ship  or aircraft  registered  in the 
territory  or flying  the flag  of that  Member  State, 
or on  a platform  or  on  other  man-made 
structures  at sea operating  under  the authority  of 
that Member  State,  when  the  loading  occurs  in 
the territory  of a State  which  is not  member  of 
the Community;  or 
(c) carried  in ships  and  aircraft  with  a view  to 
dumping  in areas  under  the  jurisdiction  of the 
Member  State  in this  matter. 
3. The  competent  authorities  shall  issue  the 
permits  referred  to in paragraph  2 only  after  careful 
consideration  of all the factors  set forth  in Annex  III 
to this  Directive  and  they  shall  be subject  to the 
conditions  specified  in Annex  V and  to such  other 
conditions  as the competent  authorities  may  consider 
appropriate. 
Article  7 
1. Each  Member  State  shall  require  the competent 
authorities  to keep  records  of the  nature  and  the 
quantities  of the  substances  and  materials  dumped 
under  permits  or approvals  issued  by that  Member 
State,  and  of the  dates,  place  and  methods  of 
dumping. 
2. Member  States  shall  transmit  this  information 
to the Commission.  . 
20. 2. 76 Official  Journal  of the European  Communities No C 40/5 
Article  8 
Application  for permits  should  be made  following  the 
model  set out  in Annex  IV.  The  issue  of permits 
should  be made  according  to the  model  set out  in 
Annex  V. 
Article  9 
Each  Member  State  undertakes  to issue  instructions 
to its maritime  inspection  ships  and  aircraft  and  to 
other  appropriate  services  to report  to its authorities 
any incidents  or conditions  which  give  rise  to 
suspicion  that  dumping  in contravention  of the 
provisions  of this  Directive  has  occurred  or is about 
to occur.  The  Member  State  shall  report  accordingly 
to any  other  Member  State  concerned  and  to the 
Commission. 
Article  10 
The provisions  of Articles  4 and  5 shall  not apply  in 
case of force  majeure  due  to stress  of weather  or any 
other  cause  when  human  life  or the safety  of a ship 
or aircraft  is threatened. 
Such  dumping  shall  immediately  be reported  to the 
Commission  and  to any  Member  State  likely  to be 
affected,  together  with  full  details  of  the 
circumstances  and  of the nature  and  quantity  of the 
wastes  or other  materials. 
Article  11 
1. If  a Member  State  in an emergency  considers 
that wastes  or other  materials  listed  in Annex  I to 
this Directive  cannot  be disposed  of on land  without 
unacceptable  danger  or damage,  above  all for  the 
safety  of human  life,  it shall  forthwith  consult  the 
Commission. 
2. The  Commission,  after  consulting  the Member 
States  concerned,  shall  recommend  methods  of 
storage  or the most  satisfactory  means  of destruction 
or disposal  under  the  prevailing  circumstances.  The 
Member  State  to which  the  recommendation  is 
addressed  shall  inform  the Commission  of the  steps 
adopted  in pursuance  of the recommendation. 3. If  disposal  at sea is the only  practicable  means, 
the disposal  of waste  or materials  shall  be made  in 
accordance  with  an authorization  granted  by the 
Commission. 
Article  12 
Member  States  shall  establish  complementary  or joint 
programmes  of  scientific  or technical  research, 
including  research  on alternative  methods  of disposal 
of harmful  substances,  and  transmit  to  the 
Commission  the information  so obtained.  In doing  so 
they will  have  regard  to the work  carried  out by the 
appropriate  international  organizations  and  agencies. 
Article  13 
The Commission  shall: 
(a) study  and  consider  the  records  of the  permits 
issued  in accordance  with  Articles  5.1  and  5.2, 
and of the dumping  which  has taken  place; 
(b) keep  under  review  the  implementation  of this 
Directive,  and  consider  the  efficacy  of the 
measures  adopted  and  the  need  for  any  other 
measures. 
Article  14 
Member  States  shall  adopt  the measures  necessary  for 
the implementation  of this  Directive  within  18 
months  of its notification,  and  shall  forthwith  inform 
the Commission  thereof. 
Article  IS 
Member  States  shall  communicate  to the Commission 
the texts  of the  main  provisions  of national  law 
which  they  adopt  in the  field  covered  by  this 
Directive. 
Article  16 
This  Directive  is addressed  to the Member  States. 
No C 40/6 Official  Journal  of the  European  Communities 20. 2. 76 
ANNEX  I 
A. The  following  substances  are listed  for the purpose  of Article  4 of the  Directive. 
1. Organohalogen  compounds  and  compounds  which  may  form  such  substances  in the 
marine  environment,  excluding  those  which  are  non-toxic,  or which  are  rapidly  converted 
in the sea into  substances  which  are biologically  harmless. 
2. Organosilicon  compounds  and  compounds  which  may  form  such  substances  in the marine 
environment,  excluding  those  which  are  non-toxic,  or which  are  rapidly  converted  in the 
sea into  substances  which  are biologically  harmless. 
3. Mercury  and  mercury  compounds. 
4. Cadmium  and  cadmium  compounds. 
5. Persistent  plastics  and  other  persistent  synthetic  materials  which  may  seriously  interfere 
with  fishing  or navigation,  reduce  amenities  or interfere  with  other  legitimate  uses  of the 
sea. 
6. Crude  oil and  hydrocarbons  of petroleum  origin,  and  any  mixtures  containing  any  of 
these  taken  on board  for the purpose  of dumping. 
7. High-,  medium-  and  low-level  radioactive  wastes  or other  high-,  medium-  and  low-level 
radioactive  materials  as defined  by the  Council  on a proposal  of the  Commission  before  1 
January  1978  as unsuitable  for dumping  at sea. 
8. Acids  and  alkalis  from  titanium  and  aluminium  industries. 
9. Materials  in whatever  form  (e.g.,  solids,  liquids,  semi-liquids,  gases  or in a living  state) 
produced  for biological  and  chemical  warfare. 
B. This  Annex  does  not  apply  to substances  which  are  rapidly  rendered  harmess  by physical, 
chemical  or biological  processes  in the sea provided  they  do not: 
(i) make  edible  marine  organisms  unpalatable;  or 
(ii) endanger  human  health  or that  of domestic  animals. 
C. This  Annex  does  not  apply  to wastes  or other  materials,  containing  the  matters  referred  to 
in paragraphs  1 to 6 above  as traced  contaminants.  Such  wastes  shall  be subject  to the 
provisions  of Annexes  II and  III as appropriate. 
ANNEX  II 
The following  wastes  and  other  matter  requiring  special  care  are  listed  for  the  purposes  of 
Article  5: 
1. (i)  Arsenic,  lead,  copper,  zinc,  beryllium,  chromium,  nickel,  vanadium  and  their  compounds; 
(ii) Cyanides  and  fluorides; 
(iii) Pesticides  and  their  by-products  not  covered  in Annex  I; 
(iv) Synthetic  organic  chemicals. 
2. Acids  and  alkalis  not covered  in Annex  I. 
20. 2. 76 Official  Journal  of the  European  Communities No C 40/7 
3. Containers,  scrap  metal  and  other  bulky  wastes  liable  to sink  to the sea bottom  which  may 
present  a serious  obstacle  to fishing  or navigation. 
4. Substances  which,  though  of a non-toxic  nature,  may  become  harmful  due  to the quantities 
in which  they  are dumped,  or which  are liable  to seriously  reduce  amenities. 
5. Radioactive  wastes  or other  radioactive  materials  not included  in Annex  I. 
ANNEX  111 
Provisions  to be considered  in establishing  criteria  governing  the issue  of permits  for the dumping 
of matter  at sea taking  into  account  Article  6, paragraph  3, include: 
A. CHARACTERISTICS  AND  COMPOSITION  OF THE  MATTER 
1. Total  amount  and  average  composition  of matter  dumped  (e.g.,  per year). 
2. Form:  e.g.,  solid,  sludge,  liquid  or gaseous. 
3. Properties:  physical  (e.g.,  solubility  and  density),  chemical  and  biochemical  (e.g.,  oxygen 
demand,  nutrients)  and  biological  (e.g.,  presence  of viruses,  bacteria,  yeasts,  parasites). 
4. Toxicity. 
5. Persistence:  physical,  chemical  and  biological. 
6. Accumulation  and  biotransformation  in biological  materials  or sediments. 
7. Susceptibility  to physical,  chemical  and  biochemical  changes  and  interaction  in the aquatic 
environment  with  other  dissolved  organic  and  inorganic  materials. 
8. Probability  of production  of taints  or other  changes  reducing  market  ability  of resources 
(fish,  shellfish,  etc). 
B. CHARACTERISTICS  OF DUMPING  SITE  AND  METHOD  OF DEPOSIT 
1. Location  (e.g.,  coordinates  of the  dumping  area,  depth  and  distance  from  the  coast), 
location  in relation  to other  areas  (e.g.,  amenity  areas,  spawning,  nursery  and  fishing  areas 
and exploitable  resources). 
2. Rate  of disposal  per specific  period  (e.g.,  quantity  per day,  per week,  per month). 
3. Methods  of packaging  and  containment,  if any. 
4. Initial  dilution  achieved  by proposed  method  of release,  particularly  by speed  of the ship. 
5. Dispersal  characteristics  (e.g.,  effects  of currents,  tides  and  wind  on horizontal  transport 
and vertical  mixing). 
6. Water  characteristics  (e.g.,  temperature,  pH,  salinity,  stratification,  oxygen  indices  of 
pollution  — dissolved  oxygen  (DO),  chemical  oxygen  demand  (COD),  biochemical 
oxygen  demand  (BOD)  — nitrogen  present  in organic  and  mineral  form  including 
ammonia  suspended  matter,  other  nutrients  and  productivity. 
No C 40/8 Official  Journal  of the  European  Communities 20. 2. 76 
7. Bottom  characteristics  (e.g.,  topography,  geochemical  and  geological  characteristics  and 
biological  productivity). 
8. Existence  and  effects  of other  dumping  which  have  been  made  in the dumping  area  (e.g., 
heavy  metal  background  reading  and  organic  carbon  contents). 
9. In issuing  an authorization  for  dumping,  the  competent  national  authorities  should 
consider  whether  an adequate  scientific  basis,  taking  into  account  seasonal  variations, 
exists  for assessing,  as outlined  in this  Annex,  the consequences  of such  dumping  in that 
area,  e.g.,  taking  into  account  seasonal  variations. 
C. GENERAL  CONSIDERATIONS  AND  CONDITIONS 
1. Possible  effects  on amentities  (e.g.,  presence  of floating  or stranded  material,  turbidity, 
objectionable  odour,  discoloration  and  foaming). 
2. Possible  effects  on marine  life,  fish  and  shellfish  culture,  fish  stocks  and  fisheries,  seaweed 
harvesting  and  culture. 
3. Possible  effects  on other  uses  of the  sea (e.g.,  impairment  of water  quality  for industrial 
use, underwater  corrosion  of structures,  interference  with  ship  operations  from  floating 
materials,  interference  with  fishing  or navigation  through  deposit  or waste  or solid  objects 
on the  sea  floor  and  protection  of areas  of special  importance  for  scientific  or 
conservation  purposes). 
4. The  practical  availability  of alternative  land-based  methods  of treatment,  disposal  or 
elimination,  or of treatment  to render  the matter  less  harmful  for sea dumping. 
ANNEX  IV 
Reference: For official  use 
1. (a) Name  and  address  of applicant: Technical  contact 
1. (b) Name: 
Phone  No: Phone  No: 
2. (a) Name  and  address  of producer  of 
waste  if other  than  in 1 (a) above: 
Phone  No: Technical  contact 
2. (b) Name: 
Phone  No: 
20. 2. 76 Official  Journal  of the  European  Communities No C 40/9 
3. (a) Name  and  address  of sea  disposal 
contractor  or shipper  if other  than 
in 1 (a) above: 
Phone  No: Technical  contact 
3. (b) Name: 
Phone  No: 
4. Category  of 
waste  and 
annual  quantity 
for dumping 
(a) Dredging 
spoil 
(b) Sewage 
sludge 
(i) Wet 
weight 
(ii) Dry 
weight 
(c) Other  sludge 
(d) Liquid  waste 
(e) Solid  waste Quantity Unit 
(please  state) 
Digested Undiges-
ted 
(net) For official  use 
Type  of waste: 
Code: 
Quantity: 
5. Nature  of waste  if other  than  dredging  spoil  or sewage  sludge: 
(a) Arising  from  manufacture  of: 
(b) Procedure  giving  rise  to the  waste 
(e.g. fermentation,  electro-plating, 
dipping,  distillation,  kiering,  tanning, 
purification  of fine  chemicals  by 
crystalization): 
(c) Is the  waste  to be treated  before 
dumping? 
(d) (i) If so,  please  state  whether  by 
settlement,  filtration,  neutrali-
zation  or biological  treatment: 
(ii) or by any  other  process,  namely: 
6. (a) Are  samples  NOW  available  for testing  if required? 
(b) If not,  when  can  samples  be made  available? 
7. Are  you  already  in possession  of a valid  consent? 
(a) Its reference  number: 
(b) Its date  of issue:  .. . 
8. (a) Proposed  frequency  of DUMPING 
of the waste,  i.e.,  daily,  weekly,  etc: 
(b) Quantity  for  disposal  on  each 
occasion: 
No C 40/10 Official  Journal  of the European  Communities 20. 2. 76 
9. (a) Dumping  area: Approximate  location 
(e.g. name  of sea,  ocean,  estuary, 
lightship  etc) 
(b) Proposed  port  of loading: 
(c) Coordinates  of preferred  dumping 
area: 
10. For  liquid  or sludge-type  wastes  not in containers,  please  state  where  known: 
(a) Name  of dumping  vessel: 
(b) Proposed  speed  of dumping  vessel: 
(c) Proposed  rate  of discharge: 
(d) Whether  discharge  is to be  over 
ship's  side,  bottom  discharge,  or into 
wake  of vessel: 
11. Physical  properties;  please  state: 
(a) Specific  gravity  (not  required  for 
dredging  spoil  or sewage  sludge) 
(b) PH 
(c) 5-day  BOD  value 
or COD/PV  value 
or total  organic  carbon 
(d) Suspended  solids  (mg/1.) 
(e) Dissolved  solids  (mg/1.) 
(f) Radioactive  characteristics 
12. Chemical  composition.  Please  complete  the following  list stating  units  of concentration  and 
whether  the analysis  is: (i) on a dry  weight  or wet  weight  basis;  (ii) on a volume/volume, 
weight/weight  or weight/volume  basis.  For  negligible  quantities  please  indicate  value  as less 
than  a number  of parts  per million: 
Mercury 
Cadmium 
Arsenic 
Lead 
Copper 
Zinc 
Beryllium 
Chromium 
Nickel 
Vanadium 
Iron 
Ammonia 
Cyanide Phenolic  substances 
Fluoride 
Chlorine  (not  chloride) 
Organohalogens,  state 
which: 
Organosilicon  compounds 
Antibiotics 
Vitamine 
Oil/grease,  persistant 
Oil/grease,  non-persistant 
Animal  oil/fat 
Vegetable  oil/fat 
Further  information  necessary  to give  a complete  description  of the  waste,  e.g.,  other 
constituents  and  details  of the form  of constituents  where  relevant. 
20. 2. 76 Official  Journal  of the European  Communities No C 40/11 
13. (a) Type 
(b) Capacity 
(c) Method  of sealing  (i.e.  bung  or lid, 
clipped  or welded): 
(d) Whether  container  is to be cased  in 
concrete: 
(e) Form  of  any  additional  ballast 
necessary  to ensure  sinking: 
DECLARATION: 
I certify  that  to the  best  of my  knowledge  and  belief  the  information  given  in this  form  is a 
correct  description  of the waste  for which  this  application  is made. 
(Signature)  (Position)  (Date) 
For official  use 
Recommendation: 
Qualifications: 
Area  agreed: 
Qualifications: 
No C 40/12 Official  Journal  of the  European  Communities 20. 2. 76 
ANNEX  V 
PERMITS 
This  licence  granted  authorizes  the loading  for 
dumping  from  ports  and  dumping  in the sea of the  waste 
described  below,  in accordance  with  the following  conditions. 
1. Reference  number  of licence: 
2. Name  and  address  of licenses: 3. Name  and  address  of producer  of waste 
if other  than  in 2. 
4. Waste  in Category  of  your  application  of 
as described  in questions  11 and  12 of that  application. 
(a) Arising  from  manufacture  of: 
(b) By (procedure): 
5. Period  of validity  of licence: Months  From To 
6. Quantity  for disposal  within  this  period: 7. Method  of disposal: 
8. Disposal  area  (a): 
9. Certified  returns  to be  submitted  to 
show  that  dumping  have  taken  place: 
(Nil returns  are required  where 
applicable) 
10. Supplementary  conditions  relating  to the dumping  operations: 
(a) Tank  washings  are to be discharged  only  in the approved  disposal  area. 
Other  conditions. 
11. Should  the  composition  of the  waste  change  materially  from  the  description  given  in 
application  to which  this  licence  relates,  you  are  required  to notify  the licensing  authority 
before  dumping  of the waste  continues. 
12. Copies  of this  licence  shall  be available  for inspection  by the  enforcement  officers  at the 
premises  where  the  waste  is produced,  at the  waste  disposal  contractors  premises  and  on 
board  the  dumping  vessel.  The  person  in charge  of a shore  installation  should  also  have 
documents  relating  to the storage  of the waste  specified  overleaf. 
20. 2. 76 Official  Journal  of the  European  Communities No C 40/13 
Notes. 
(a) The  licensing  authority  may  revoke  this  licence  if it appears  to the authority  that  the holder 
is in breach  of a condition  included  in it. 
(b) A person  who  dumps  in contravention  of the terms  of a licence  is guilty  of an offence  under 
(Signed) 
For and  on behalf  of the licensing  authority. 
(Date)