Proposal for a Regulation of the European Parliament and of the Council on Shipments of Waste
Date: 2003-06-30
Institutions: European Commission
Subjects: administrative formalities, amendment of a law, drafting of EU law, environmental protection, export of waste, hazardous waste

COMMISSION OF THE EUROPEAN COMMUNITIES

Brussels, 30.06.2003
COM(2003) 379 final

2003/0139 (COD)

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on Shipments of Waste

(presented by the Commission)

TABLE OF CONTENTS

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL ON
SHIPMENTS OF WASTE......................................................................................................... 1

EXPLANATORY MEMORANDUM ....................................................................................... 4

1.

2.

3.

4.

4.1.

4.2.

Introduction.................................................................................................................. 5

Background for the revision......................................................................................... 6

Legal basis.................................................................................................................... 6

Objectives and main elements of the proposal............................................................. 6

Objectives..................................................................................................................... 6

Main elements .............................................................................................................. 7

4.2.1.

The overall procedural framework of the proposal...................................................... 7

4.2.2. Main changes to the structure of the Regulation.......................................................... 8

4.2.3. Main changes and clarifications as regards scope and definitions – Title I................. 9

4.2.4. Main changes and clarifications as regards shipments within the Community –

Title II......................................................................................................................... 10

4.2.5. Main changes and clarifications as regards shipments within Member States –

Title III ....................................................................................................................... 18

4.2.6. Main changes and clarifications as regards exports out of and imports into the

Community – Titles IV, V and VI ............................................................................. 18

4.2.7. Main changes and clarifications as regards other provisions – Title VII................... 21

5.

6.

7.

8.

9.

10.

11.

12.

Environmental aspects ............................................................................................... 22

Economic aspects ....................................................................................................... 22

Internal market aspects............................................................................................... 23

International aspects................................................................................................... 23

Trade aspects.............................................................................................................. 24

Subsidiarity and proportionality................................................................................. 24

Consultation of stakeholders ...................................................................................... 24

Annexes...................................................................................................................... 24

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL.................
ON SHIPMENTS OF WASTE ................................................................................................ 43

TITLE I SCOPE AND DEFINITIONS ................................................................................... 48

2

TITLE II SHIPMENTS BETWEEN MEMBER STATES WITHIN THE COMMUNITY OR
WITH TRANSIT THROUGH THIRD COUNTRIES ............................................................ 52

TITLE III SHIPMENTS WITHIN MEMBER STATES......................................................... 78

TITLE IV EXPORTS OUT OF THE COMMUNITY TO THIRD COUNTRIES.................. 78

TITLE V IMPORTS INTO THE COMMUNITY FROM THIRD COUNTRIES .................. 86

TITLE VI TRANSIT THROUGH THE COMMUNITY FROM AND TO THIRD
COUNTRIES ........................................................................................................................... 92

TITLE VII OTHER PROVISIONS ......................................................................................... 94

ANNEX IA............................................................................................................................... 99

ANNEX IB ............................................................................................................................. 102

ANNEX II .............................................................................................................................. 105

ANNEX III............................................................................................................................. 109

ANNEX IV............................................................................................................................. 112

ANNEX IVA.......................................................................................................................... 115

ANNEX V .............................................................................................................................. 116

ANNEX VI............................................................................................................................. 176

ANNEX VII ........................................................................................................................... 177

ANNEX VIII .......................................................................................................................... 178

ANNEX IX............................................................................................................................. 179

ANNEX X .............................................................................................................................. 180

3

EXPLANATORY MEMORANDUM

1.

INTRODUCTION

The Community introduced measures on the supervision and control of shipments of
waste  in  1984  under  Council  Directive  84/631/EEC  of  6  December  19841.  The
Directive  took  effect  from  1  October  1985  and  covered  shipments  of  hazardous
waste; it required prior notification to the countries involved, thereby allowing them
to object to a specific shipment.

Directive  84/631/EEC  was  amended  by  Council  Directive  86/279/EEC  of  12  June
19862, which introduced additional provisions in order to improve the monitoring of
exports  of  waste  out  of  the  Community.  Subsequently,  in  accordance  with  the
appropriate  committee  procedure,  the  Commission  adopted  several  technical
amendments to these Directives3.

In 1990, following international developments in the context of the Basel Convention
and  the  OECD,  the  Commission  put  forward  the  proposal4  for  the  current  Waste
Shipment Regulation (EEC) No 259/93 of 1 February 1993. A Regulation rather than
a Directive  was deemed  necessary  in  order to  ensure  simultaneous  and  harmonised
application in all the Member States. Transposition and implementation of the 1984
and 1986 Directives were thus considerably delayed or not carried out at all in some
Member States.

The 1993 Regulation entered into force on 9 February 1993 and was applicable as of
6 May  1994.  Since  then,  it  has  undergone  technical  modifications  through  the
appropriate committee procedure.5.

1

2

3

4

5

OJ L 326, 13.12.1984, p. 31.
OJ L 181, 04.7.1986, p. 13.
To  Council  Directive  84/631/EC  of  6.12.1984:  Commission  Directive  85/469/EC  of  22.07.1985,
OJ L 272,  12.10.1985,  p.1  and  Council  Directive  86/121/EC  of  08.04.1986,  OJ  L  100,  16.04.1986,
p. 20.  To  Council  Directive  86/279  of  12.6.1986:  Commission  Directive  87/112/EC  of  23.12.1986,
OJ L 48, 17.2.1987, p. 31.
COM(1990) 415 final, 26 October 1990.
Namely the following:
1) Commission Decision 94/721/EC of 21.10.1994, OJ L 288, 09.11.1994, p. 36.
2) Commission Decision 96/660/EC of 14.11.1996, OJ L 304, 27.11.1996, p. 15.
3) Council Regulation (EC) No 120/97/ of 20.01.1997, OJ L 22, 24.01.1997, p. 14.
4) Commission Decision 98/368/EC of 18.05.1998, OJ L 165, 10.06.1998, p. 20.
5) Commission Regulation (EC) No 2408/98 of 06.11.1998, OJ L 298, 07.11 1998, p. 19.
6) Commission Decision 1999/816/EC of 24.11.1999, OJ L 316, 10.12.1999, p. 45.
7) Commission Regulation (EC) No 2557/2001 of 28.12.2001, OJ L 349, 31.12.2001, p. 1.
Also  a  consignment  note  was  established  through  Commission  Decision  of  24.11.1994,  OJ  L  310,
3.12.1994, p. 70 and an additional reporting questionnaire through Commission Decision 1999/412/EC
of 3.6.1999, OJ L 156, 23.6.1999, p. 37.

4

                                                
2.

BACKGROUND FOR THE REVISION

Legal obligation

The Basel Convention of 22 March 1989 on the control of transboundary movements
of  hazardous  wastes  and  their  disposal,  as  amended,6  and  the  OECD  Decision
C(92)39/final  on  the  control  of  transfrontier  movements  of  wastes  destined  for
recovery operations, as amended, are the main pillars of the 1993 regulation.

Recent developments under the Basel Convention, in particular the adoption of two
detailed lists of wastes as new Annexes VIII and IX to the Convention in November
1998,  provided  the  impetus  to  the  OECD  to  revise  its  1992  Decision  in  order  to
harmonise  lists  and  certain  other  requirements  with  the  Basel  Convention.  This
revision resulted in the adoption of OECD Council Decision C(2001)107 on 14 June
20017.  In  order  to  implement  that  amended  Decision  within  the  Community,  a
revision of the Regulation has thus become legally necessary.

In the Council Conclusions8 authorising the Member States to vote on behalf of the
Community  in  favour  of  the  amended  OECD  Decision  as  contained  in  OECD
Document C(2001)107, it is stated that the said Decision will be binding on Member
States  and  the  Community  only  on  completion  of  the  necessary  Community
procedures. The Community is thus legally required to revise the current Regulation
in order to implement the amended OECD Decision9.

Occasion for improvements

Since  the  entry  into  force  of  Council  Regulation  (EEC)  No  259/93,  several
difficulties  have  been  encountered  regarding  its  application,  administration  and
enforcement.

These  problems  have  been  discussed  with  Member  States  and  stakeholders  since
1999.  In  light  of  these  discussions,  a  revision  of  the  Regulation  has  been  deemed
necessary. The legally required revision thus provides an opportunity also to address
issues  in  addition  to  those  arising  directly  from  the  implementation  of  the  OECD
amendment and to seek to establish legal clarity on these issues.

It has also been the intention of the Commission to move towards maximum global
harmonisation  in  the  area  of  shipments  of  waste  without  jeopardising  the  overall
purpose  of  protection  of  the  environment.  Implementing  the  provisions  and
principles of the Basel Convention is therefore also a priority in the proposal.

6

7

8

9

On  1  February  1993  the  Council  approved  the  Basel  Convention  on  behalf  of  the  Community,  see
Council Decision 93/98/EEC, OJ L 39, 16.2.1993, p. 1.
Decision of the OECD Council, C(2001)107/final concerning the revision of Decision C(92)39/final on
the control of transfrontier movements of wastes destined for recovery operations. An addendum to this
Decision,  C(2001)107/ADD1,  which  includes  the  notification  and  movement  documents  and  the
instructions to complete them, was adopted by the Council on 28 February 2002. Finally, the addendum
was  incorporated  into  the  Decision  as  Section  C  of  Appendix  8  and  the  complete  version  of  the
Decision was issued in May 2002 as C(2001)107/FINAL.
See Council Conclusions in document 9458/01, adopted 1 June 2001.
The  Council  Conclusion  of  1  June  2001  further  establishes,  that  after  completion  of  the  necessary
Community  procedures,  the  Commission  will  make  a  declaration  towards  the  OECD,  specifying  that
the Community procedures for application of the 2001 OECD Decision have been completed.

5

                                                
Lastly,  the  Regulation  has  been  restructured  and  streamlined  to  convey  more
efficiently the logic of its obligations and thus to achieve greater clarity.

3.

LEGAL BASIS

The primary objective of the 1993 Regulation is protection of the environment. That
main  objective  has  been  maintained  in  the  new  proposal,  whose  legal  basis  is
therefore  environment,  Article  175  of  the  EC  Treaty.  This  is  consistent  with  the
Council’s  decision  to  base  Council  Regulation  (EEC)  no  259/93  on  Article  130S
(now  Article  175)  and  with  the  ruling  of  the  Court  of  Justice  in  Case  C-187/93,
which confirmed that the Regulation was correctly based on Article 130S rather than
Article 100 (now Article 94, internal market).

However, as regards the provisions of Titles IV, V and VI on exports out of, imports
into and transit through the Community to and from third countries, it can be argued
that these are rules which pursue an overall and general environmental objective, as
well as  rules  on  international  trade;  environmental  rules  therefore  also  apply  to  the
trade  regime  and  are  thus  linked  to  it.  Therefore,  the  legal  basis  as  regards  the
specific provisions in these three Titles is Article 133 of the EC Treaty.

4.

OBJECTIVES AND MAIN ELEMENTS OF THE PROPOSAL

4.1.

Objectives

As already described under point 2, the proposal has four main objectives:

– 

– 

– 

– 

Implementing  the  OECD  Council  Decision  C(2001)107  of  14  June  2001  in
Community legislation.

Addressing  the  problems  encountered  in  the  application,  administration  and
enforcement of the 1993 Regulation and establishing greater legal clarity.

Pursuing  global  harmonisation  in  the  area  of  transboundary  shipments  of
waste.

Enhancing the structure of the Articles of the Regulation

In order to achieve these objectives, the revision amends various sections and aspects
of Council Regulation (EEC) No 259/93. These include:

– 

– 

– 

Changes to its structure

Changes and clarifications as regards definitions, and clarification of its scope
(Title I)

Changes and clarifications as regards the procedures applicable to shipments of
waste (Title II-VI):

-

-

between Member States (Title II)

within Member States (Title III)

6

-

for exports out of and imports into the Community (Titles IV, V and VI)

– 

Changes in other provisions of the Regulation (Title VII).

4.2.

Main elements

4.2.1.

The overall procedural framework of the proposal

The proposed main elements of the procedural framework are as follows:

Shipments of waste must follow various procedures and control regimes, which are
determined  by  the  type  of  waste  shipped  and  the  type  of  treatment  that  will  be
applied to the waste at its destination. Thus, different levels of control regime apply,
depending on the risk posed  by the  waste and its treatment in terms of recovery or
disposal.

The procedure for prior written notification and consent:

Shipments of all waste destined for disposal, and shipments of hazardous and semi-
hazardous waste destined for recovery, are subject to the requirement of prior written
notification and consent.

Thus, when a waste producer or waste collector – the notifier - intends to carry out a
shipment of hazardous or semi-hazardous waste as listed in Annex IV for recovery or
disposal, or a shipment of non-hazardous waste as listed in Annex III for disposal, he
or she must submit prior written notification to the competent authority of dispatch.

The  notifier  effects  a  notification  by  filling  in  the  so-called  notification  and
movement documents, thus providing the information and documentation necessary
to assess the notification.

At  the  time  of  notification,  the  notifier  is  also  to  establish  a  contract  with  the
consignee concerning the recovery or disposal of the notified waste, and a financial
guarantee  or  equivalent  insurance  which  covers  the  shipment  until  recovery  or
disposal has been completed.

Upon receipt of a properly filled-in notification, the competent authority of dispatch
transmits copies of the notification to the other competent authorities concerned and
to  the  consignee  and  informs  the  notifier  of  this  transmission.  The  competent
authority of dispatch is to transmit the notification within 3 working days of receipt.

When the competent authority of destination receives a copy of the notification from
the  competent  authority  of  dispatch  and  considers  that  the  notification  has  been
properly completed, it issues an acknowledgement to the notifier.

This  acknowledgement  marks  the  start  of  a  30-day  time  limit,  within  which  the
competent authorities of destination,  dispatch  and transit must either consent to the
notified shipment or object to it.

The notions of “properly  filled-in”  and  “properly completed” are  further defined in
Article 5(2) and (3) of the Regulation.

7

The competent authorities of destination and of  dispatch must give their  consent to
the shipment in writing to the notifier. The competent authority of transit, however,
may  give  tacit consent. This means that if no objection  has been  lodged within the
30-day time limit, consent by the competent authority of transit can be assumed.

A shipment may only start once the notifier has received:

1)

2)

3)

written consent from the competent authority of dispatch,

written consent from the competent authority of destination, and

written  consent  from  the  competent  authority  of  transit,  or  once  the  30-day
time limit has expired and tacit consent can therefore be assumed.

A  shipment  of  waste  must  be  accompanied  by  a  copy  of  the  notification  and
movement  documents,  including  copies  of  the  consents  given  by  the  competent
authorities.

As mentioned below, it is also suggested that this procedural framework provide the
basis  for  imports  into  and  exports  out  of  the  Community,  with  the  modifications
required to fulfil the obligations of the Basel Convention.

General information requirement:

Shipments of non-hazardous waste as listed in Annex III  and destined for recovery
are not subject to the procedure of prior written notification. Such shipments are only
subject to the general information requirement that they be  accompanied by  certain
information and documentation.

However, a contract must also be established between the person  who arranges the
shipment  and  the  consignee  as  regards  the  recovery  of  the  shipped  waste,  and
evidence of that contract must accompany the shipment.

It should be noted that shipments of non-hazardous waste as listed in Annex III and
destined for recovery in countries to  which the  OECD Decision does not apply  are
and will continue to be subject to a separate regime, as provided for in Article 38 (see
point 4.2.6.).

4.2.2. Main changes to the structure of the Regulation

The  structure  of  the  proposed  revision  is  basically  the  same  as  that  of  the  1993
Regulation, namely, a division into Titles determined by the destination of the waste:

Title II: Shipments between Member States within the Community or with transit
through third countries
Title III: Shipments within Member States
Title IV: Exports out of the Community to third countries
Title V: Imports into the Community from third countries
Title VI: Transit through the Community to and from third countries
Title VII: Other Provisions

The  primary  change  is  that  all  the  articles  currently  contained  in  Title  VII,  on
common provisions, and some of the articles contained in the current Title VIII, on

8

other provisions, have been moved to Title II, on intra-Community shipments. This
has become possible because the logic of the provisions as regards exports out of and
imports into the Community has been changed to allow the provisions of Title II to
apply  mutatis  mutandis  (see  point  4.2.6.  below),  with  certain  modifications  and
additions to comply with the requirements of the Basel Convention. Thus, a specific
Title on common (procedural) provisions has become superfluous.

The  general  logic  of  the  revision  is  that  the  provisions  regarding  intra-Community
shipments as contained in Title II form the basis for the Regulation. Title II therefore
also contains the common provisions.

Title II contains six chapters:

Chapter 1 regarding the procedure of prior written notification and consent,
Chapter 2 regarding the procedure for a general information requirement,
Chapter 3 regarding general requirements,
Chapter 4 regarding take-back obligations,
Chapter 5 regarding general administrative provisions, and
Chapter 6 regarding shipments within the Community and with transit via third
countries.

Titles IV and V each contain three chapters:

Chapter 1 regarding waste destined for disposal,
Chapter 2 regarding waste destined for recovery, and
Chapter 3 regarding general provisions.

Title VII consists of provisions that are not relevant for the procedural component of
the Regulation. Chapter 1 thus contains other provisions related to Member States as
regards  enforcement,  reporting,  international  co-operation  and  the  designation  of
competent  authorities,  correspondents  and  customs  offices  under  the  Regulation.
Chapter  2  contains  other  provisions  as  regards  meeting  of  the  correspondents,  the
amendment of Annexes, additional measures, repeals, transition rules and entry into
force and applicability.

4.2.3. Main changes and clarifications as regards scope and definitions – Title I

1.

Scope: Article 1 has been shortened and provisions not strictly related to scope have
been moved to the relevant articles.

In paragraph 4 it is proposed to clarify that shipments from the Antarctica transiting
the Community are subject to the Basel Convention export bans as implemented in
the Regulation (see point 4.2.6, sub-point 2 below).

The current Article 1(3) (c) and (d) concerning “exceptional cases” in relation to the
control of non-hazardous waste as listed in Annex II (proposed Annex III) has been
moved  to  Article  3  –  an  (new)  introductory  article  on  the  overall  procedural
framework.

Finally,  the  scope  of  the  Regulation  as  regard  waste  listed  in  Annex  III  has  been
clarified.

9

2.

Definitions:  The  terminology  as  regards  “notifier”,  “consignee”,  “dispatch”  and
“destination”  as  opposed  to  “exporter”,  “importer”,  “export”  and  “import”,
respectively, has not been harmonised with the terminology of the Basel Convention
and the 2001 OECD Decision. This would require using different terminology for the
provision  on  intra-Community  shipments  compared  to  those  on  imports  into  and
exports  out  of  the  Community.  For  that  reason,  the  term  “shipment”  has  also  been
retained.

sound  management”, 

Several  new  definitions  have  been  added:  “hazardous  waste”,  “mixture  of  waste”,
“environmentally 
“collector“,
“notification and movement document”, “competent authority”, “Overseas Countries
and Territories”, “customs office of export from the Community”, “customs office of
exit from the Community” and “customs office of entry into the Community” as well
as “Community”, “import” and “transboundary shipment”.

“producer”, 

“holder”, 

It is proposed that the general definition of “competent authority” be amended – and
aligned with the Basel convention - inter alia in order to accommodate the concerns
related to imports back into the Community of military waste generated by the armed
forces of Member States. Therefore,, in  the  case  where  no  competent  authority  has
been  designated,  the  competent  authority  is  to  be  the  regulatory  authority  for  the
State or region that has jurisdiction over  a transboundary shipment of waste, which
may include military authorities.

A  definition  of  “environmentally  sound  management”  of  waste  has  been  added.  It
mirrors the definition of the Basel Convention and is used with respect to exports out
of  and  imports  into  the  Community.  As  regards  intra-Community  shipments,  the
objective  of  ensuring  that  waste  is  recovered  or  disposed  of  without  endangering
human  health  or  harming  the  environment,  as  required  in  Article  4  of  Directive
75/442/EEC, as amended,10 applies.

Finally, it should be noted that the definition of “notifier” has been moved from the
definitions to Article 4 and clarified. It is thus proposed to give equal footing to the
first  three  categories  of  notifiers  in  the  hierarchy  of  notifiers  –  namely  the  original
producer,  the  new  producer  and  the  collector  (of  small  quantities  from  different
sources), see Article 4(2).

The notifier is thus:
(a)
(b)

the person whose activities produced the waste; or
the  person  licensed  to  and  carrying  out  pre-processing,  mixing  or  other
operations changing the nature or composition of the waste prior to shipment;
or
a  licensed  collector  who,  from  various  small  quantities  of  the  same  type  of
waste stream collected from a variety of sources, has compiled the shipment.

(c)

Only if these persons are unknown, insolvent or otherwise unavailable, a licensed
collector or a registered dealer or broker may notify. Lastly, in the third rank, the
holder can notify.

10

OJ L 194, 25.7.1975, p. 39.

10

                                                
4.2.4. Main changes and clarifications as regards shipments within the Community – Title

II

Title  II  contains  the  main  provisions  of  the  Regulation.  As  mentioned,  that  change
has  been  made  because,  firstly,  these  provisions  apply  mutatis  mutandis  to  exports
out  of  and  imports  into  the  Community,  although  with  certain  modification  and
additions  and,  secondly,  approximately  79%  of  all  shipments  involving  Member
States take place between Member States within the Community11.

The main changes to the proposal as compared to the 1993 Regulation are as follows:

1.

Lists: Reduction of the number of lists from three to two.

The  current  lists  reflects  the  listing  in  the  1992  OECD  Decision  and  groups
categories of waste types into:

– 

– 

– 

Non-hazardous waste as listed in Annex II /green listed waste

Semi-hazardous waste as listed in Annex III/amber listed waste

Hazardous waste as listed in Annex IV /red listed waste.

In line with the 2001 OECD Decision, it is proposed to merge the current Annexes
III and IV into one Annex – Annex IV - and to keep the current Annex II as Annex
III.

Also in line with the 2001 OECD Decision, it is proposed to include Annexes II and
VIII of the Basel Convention in Annex IV of the Regulation and to include Annex IX
of the Basel Convention in Annex III of the Regulation. Annexes II, VIII and IX of
the Basel Convention list “categories of  waste requiring special  consideration” (II),
hazardous waste (VIII) and non-hazardous waste (IX), respectively.

2.

Procedures: Reduction of the corresponding procedures from three to two.

The  1993  Regulation  establishes  three  procedures  depending  on  the  listing  and  the
destination of the waste notified:

– 

– 

– 

Non-hazardous  waste  as  listed  in  Annex  II  and  destined  for  recovery  is  only
subject to the requirement of being accompanied by certain information.

Semi-hazardous  waste  as  listed  in  Annex  III  and  destined  for  recovery  is
subject to a procedure based on prior notification and tacit consent.

Hazardous  waste  as  listed  in  Annex  IV,  waste  not  listed  and  destined  for
recovery and all waste destined for disposal are subject to a procedure based on
prior notification and written consent.

To simplify the Regulation, it is proposed to reduce the number of procedures to two.
One  procedure  involves  information  requirements  as  regards  waste  listed  in  Annex

11

Calculation  based  on  Member  States  reporting  as  regard  shipments  of  hazardous  waste  for  the  years
1997-1999.  Approximately  15%  are  between  and  from  EFTA  countries  and  Member  States  and
approximately 7% are between OECD and Member States and other countries.

11

                                                
III  and  destined  for  recovery12.  The  other  concerns  prior  notification  with  written
consent  as  regards  all  other  shipments  –  namely,  as  regards  all  waste  destined  for
disposal  and  waste  listed  in  Annex  IV  and  destined  for  recovery.  Tacit  consent  is,
however, allowed as regards the competent authority of transit.

On this point the proposal does not follow the 2001 OECD Decision, which requires
tacit consent and the possibility of written consent for hazardous and semi-hazardous
waste  as  listed  in  Annex  IV  and  destined  for  recovery  (amber  waste  –  amber
procedure).  Since  the  lists  of  hazardous  waste  (red)  and  the  list  of  semi-hazardous
waste (amber) have been merged, the current procedure for hazardous waste, of prior
notification with written consent (red list – red procedure), is abolished in the 2001
OECD  Decision.  It  must  be  noted  that  the  OECD  Decision  only  deals  with  waste
destined for recovery.

The  reasons  for  not  following  the  2001  OECD  Decision  on  this  point  and  instead
requiring written consent are several. Firstly, it is not considered appropriate from an
environmental point of view to allow tacit consent from the competent authorities of
destination and dispatch as regards shipments of all the hazardous waste now listed
in Annex IV. Secondly, the Basel Convention requires written consent for shipments
of  hazardous  waste  from  all  the  competent  authorities  involved.  And  thirdly,  the
benefit of procedural simplification would thereby be lost – because if tacit consent
were to be allowed for shipments destined for recovery, written  consent would still
be  maintained  as  regards  all  waste  destined  for  disposal.  Fourthly,  written  consent
establishes  greater  legal  clarity  for  all  stakeholders  involved;  for  this  reason  it  is
clearly preferable from a control and enforcement perspective.

To summarise, the proposed simplified procedural framework is as follows:

– 

– 

Shipments  of  non-hazardous  waste  as  listed  in  Annex  III  and  destined  for
recovery are to be accompanied by certain information.

Shipments  of  all  waste  destined  for  disposal,  hazardous  and  semi-hazardous
waste  as  listed  in  Annex  IV  and  non-listed  waste  destined  for  recovery  are
subject to prior notification and written consent (tacit from transit country).

3.

Consent by the competent authorities individually: It is proposed that the competent
authorities give their consent individually and within a time limit of 30 days.

As pointed out above under sub-paragraph 2, the proposal does not follow the 2001
OECD decision as regards the element of tacit consent: written consent is proposed
as the main rule (however, not for the competent authority of transit).

As  regards  consent,  the  2001  OECD  Decision  also  establishes  that  the  competent
authorities are to grant consent individually. That is the case under the current 1993
Regulation  with  respect  to  waste  destined  for  recovery.  However,  with  respect  to

12

It  can  be  debated,  if  the  requirement  that  waste  listed  in  Annex  III  shall  be  accompanied  by  certain
information  is  a  procedural  requirement  or  not.  However,  since  the  OECD  Decision  uses  the
terminology “green control procedure” in relation to shipments of waste listed in Annex III (Appendix 3
of the 2001 OECD Decision) and since it is clearer from a descriptive point of view if it is referred to as
a procedure, it is considered appropriate to use a “procedure-terminology” in relation to this information
requirement. In certain contexts the term “normal commercial transaction” is used.

12

                                                
waste  destined  for  disposal,  the  position  under  the  current  regime  is  that  the
competent authority of destination only grants authorisation to a notified shipment in
the  absence  of  objections  from  the  other  competent  authorities  concerned.  The
competent  authorities  thus  have  different  time  limits  to  comply  with,  since  the
competent  authority  of  destination  has  to  “wait”  for  the  reaction  of  the  other
authorities.

The bases for proposing that individual consent by the competent authorities become
the main and general rule  are as follows: First, this makes it possible to establish a
single time limit for all competent authorities (30 days after acknowledgement by the
competent  authority  of  destination).  Secondly,  it  makes  it  possible  to  maintain  a
further  element  needed  in  order  to  streamline  the  proposal:  namely,  that  intra-
Community  provisions  apply  mutatis  mutandis  to  exports  and  imports.  Without
individual  consent,  it  would  have  been  necessary  to  establish  specific  provisions
covering countries to which the OECD Decision applies.

4.

Processing of the notification by the competent authority of dispatch: It is proposed
that  notification  be  sent  by  the  notifier  to  the  competent  authority  of  dispatch.  The
competent authority of dispatch then transmits the notification to the other competent
authorities concerned and to the consignee.

At  present,  Member  States  can  decide  whether  a  notification  goes  through  the
competent  authority  of  dispatch  to  the  countries  concerned  or  if  it  is  sent  by  the
notifier to all the competent authorities concerned.

It  is  proposed  to  abolish  that  choice  and  to  require  that  a  notification  goes  to  and
through  the  competent  authority  of  dispatch.  Under  the  Basel  Convention,
notifications must be processed through the competent authority of dispatch, whereas
this is optional in the 2001 OECD Decision.

To ensure a uniform implementation of the Regulation, it is considered most efficient
to abolish the procedural choice provided for in the existing Regulation. Further, it is
considered that processing notifications through the competent authority of dispatch
will be  increase the efficiency of  the  process.  Control  of  the  basic  information  and
documentation requirements related to a notification could thus - in the majority of
cases - be carried out by the competent authority of dispatch.

5.

Procedural  safeguards  for  the  notifier:  Where  the  competent  authority  of  dispatch
processes the notification, the system could be misused to in effect block shipments.
To avoid such misuse, several procedural safeguards are introduced.

First of all, the notion of a “properly filled-in” notification is established to determine
exactly when a notification is to be submitted to the other competent authorities and
the consignee by the competent authority of dispatch.

Secondly,  the  notion  of  a  “properly  completed”  notification  is  established,  to
determine exactly when the 30-day time limit for  issuing consent  and/or objections
has been triggered.

For  the purpose  of these two notions, a distinction is made between  a)  information
and  documentation  that  must  be  provided  on  or  annexed  to  the  notification  and
movement documents, and b) additional information and documentation that may be

13

requested by the  competent  authorities concerned at  the  time  when  the  shipment  is
notified to them.

Thirdly,  an  annex  is  established,  listing which  information  and  documentation  may
be requested, and at what stage of the notification.

Fourthly, the notifier is given the possibility to request – within a certain time limit -
a reasoned explanation by the competent authority of destination as to why it refuses
to  accept  the  notification  as  complete.  An  explicit  and  reasoned  explanation  will
allow  the  notifier  to  question  such  a  decision  through  administrative  appeal  or
through the courts.

6.

Objections  to  shipments:  It  is  proposed  to  clarify  the  possibility  to  object  to
shipments  for  recovery  and  disposal  for  the  purpose  of  allowing  objections  in  the
following situations as well:

– 

– 

– 

To ensure that the waste concerned will be treated in a facility that is covered
by  Directive  96/61/EEC  on  Integrated  Pollution  Prevention  and  Control  but
does  not  apply  Best  Available  Techniques  as  defined  in  Article  9(4)  of  that
Directive (when destined for disposal and when destined for recovery).

To  ensure  that  the  waste  concerned  is  treated  in  accordance  with  legally
binding environmental protections standards in relation to disposal or recovery
operations  established  under  Community  legislation  (when  destined  for
disposal and when destined for recovery).

To  ensure  that  the  waste  concerned  is  treated  in  accordance  with  waste
management plans drawn up pursuant to Article 7 of Directive 75/442/EC with
the  purpose  of  ensuring  the  implementation  of  legally  binding  recovery  or
recycling obligations established under Community legislation (when destined
for recovery).

The  objective  of  the  Waste  Framework  Directive13  is  generally  to  promote  the
prevention  and  recovery  of  waste.  A  number  of  instruments  of  EU  legislation,
including  the  Packaging  Directive14,  the  Waste  Oils  Directive15,  the  End  of  Life
Vehicles16 Directive, the Landfill Directive17, and the Directive on Waste Electrical
and  Electronic  Equipment,18  establish  priorities  and  targets  for  recovery  and
recycling as well as other requirements regarding waste treatment which are binding
on Member States. It is thus considered appropriate that the Regulation clarify that,
where  the  waste  concerned  comes  under  such  Community  obligations,  a  shipment
may be objected to in two cases. The first case is where technical requirements which
are mandatory at EU level will not be complied with. The second case is where the
waste concerned will not be treated in accordance with the waste management plans
drawn  up  by  Member  States  as  required  by  Article  7  of  the  Waste  Framework

13

14

15

16

17

18

Council Dir. 75/442/EEC of 15.07.1975, OJ L 194, 25.07.1975, p. 39.
Council Dir. 94/62/EC of 20.12.1994, as amended, OJ L365 of 31.12.94, p. 10.
Council Dir. 75/439/EEC of 16.06.1975, OJ L 194, 25.07.1975, p. 23.
Parliament  and  Council  Dir.  2000/53/EC  of  18.09.2000  –  Commission  Statements  OJ  L  269,
21.10.2000, p. 34.
Council Dir. 1999/31/EC of 26.04.1999, OJ L 182, 16.07.1999, p. 1.
Parliament and Council Dir. 2002/96/EC of 27.01.03, OJ L 37, 130203, p. 24.

14

                                                
Directive,  with  the  purpose  of  ensuring  the  implementation  of  legally  binding
recovery  or  recycling  obligations  established  in  Community  legislation.  This  is
consistent  with  the  6th  Environmental  Action  Programme,  which  calls  for  further
measures  to  encourage  recycling  and  recovery  of  waste  in  accordance  with  the
guiding principles of the waste hierarchy.

Policies are being developed at the Community and Member State levels to promote
recovery  and  recycling  of  waste.  However,  there  are  only  few  Community
environmental  requirements  for  waste  recovery  operations,  with  the  notable
exception  of  incineration.  Waste  therefore  may  be  flowing  to  least  costly  and  thus
probably also low standard solutions. However, little factual information is available
about these the actual waste flows involved. In this specific situation the combination
of free trade and absence of Community  environmental  standards  may result in the
exclusion  of  environmentally  superior  performing  installations  and  treatment
methods  from  the  market  and  efforts  in  Member  States  to  implement  high
environmental  standards  in  the  waste  recovery  sector  may  also  be  undermined.
Therefore, the Commission acknowledges  the  need  to  establish  a  Community  level
playing field for recycling and to guarantee a high level of environmental protection
and economic performance. The Commission will include proposals aiming towards
that in the context of the Thematic Strategy on Recycling.

7.

Interim  recovery  and  disposal  operations:  Special  provisions  regarding  interim
recovery  and  disposal  operations  are  proposed,  mirroring  those  of  the  2001  OECD
Decision.

It is thus proposed to clarify that  interim  recovery and disposal facilities  are bound
by the same obligations as final recovery and disposal facilities – meaning that they
must  also  provide  written  confirmation  regarding  receipt  of  a  waste  and  certify
completion of the interim recovery or disposal operation – and within the same time
limits.  Further,  it  is  proposed  that  when  an  interim  facility  delivers  waste  for
subsequent and final recovery or disposal to another facility, it is to obtain as soon as
possible,  but  no  later  than  one  calendar  year  following  delivery  of  the  waste,  a
certificate from that facility stating that subsequent and final recovery or disposal has
been completed.

In  the  context  of  the  requirement  to  establish  a  financial  guarantee  or  equivalent
insurance,  it  is  further  proposed  that  if  a  shipment  is  destined  for  an  interim
operation,  then  that  requirement  may  be  fulfilled  by  the  establishment  of  an
additional financial guarantee or equivalent insurance by the consignee, covering the
said shipment until completion of final recovery or disposal. This is intended to make
clear  that  a  financial  guarantee  or  equivalent  insurance  must  cover  the  entire
shipment until final disposal or recovery.

8.

Information  requirements  as  regards  shipments  of  non-hazardous  waste  as  listed  in
Annex  III:  It  is  proposed  to  extend  and  clarify  the  list  of  information  and
documentation  which  must  accompany  shipments  of  waste  listed  in  Annex  III  and
destined for recovery.

It is thus proposed that the name and  address of  the  producer, the new  producer or
collector, the person who arranges the shipment, the consignee and the holder(s) are
to  be  provided.  At  present,  only  the  name  and  address  of  the  holder  are  required.
Further, it is proposed that the waste identification code shall be provided, using the

15

OECD  code  in  Annex  III  of  the  Regulation  and  the  European  Waste  List  code  in
Commission Decision 2000/532/EC, as amended.19.

Further,  an  annex  is  introduced  containing  a  form  to  be  used  to  provide  the
information  that  must  accompany  shipments  of  non-hazardous  waste  as  listed  in
Annex  III.  No  such  form  exists  at  present.  However,  a  fixed  form  is  proposed  to
ensure that Industry need not deal with different requirements as regards forms and
information from the different Member States.

Additional requirements are proposed in order to facilitate better controls over non-
hazardous wastes as well. As a recent case involving the contamination of feed and
food chains by waste sugar containing hormones (MPA) has made clear, the control
of  shipments  of  supposedly  non-hazardous  waste  is  needed.  The  far-reaching
consequences of a misclassification of a  waste stream for the purpose of the Waste
Shipment Regulation (EEC) No 259/93 are not to be underestimated20.

Finally, it is proposed that  evidence of a contract between the person who arranges
the shipment and the consignee for recovery of the waste is to be provided and that
the contract must include an obligation for the person who arranges the shipment to
take back  the  waste if  the  shipment  has  not  been  completed  as  planned  or  if  it  has
been effected in violation of the provisions of the Regulation.

The last requirement is to be seen in connection with the clarification as regards take-
back obligations in Articles 24 and 26 (see sub-point 13 below). It is thus proposed
that  the  take-back  obligation,  in  cases  where  a  shipment  cannot  be  completed  as
intended  or  where  it  is  to  be  considered  illegal,  also  is  to  cover  shipments  of  non-
hazardous waste as listed in Annex III of the Regulation (see below sub-point 13).

Waste  destined  for  laboratory  analysis:  In  line  with  the  2001  OECD  Decision,
shipments of waste explicitly destined for  laboratory  analysis are  not subject  to the
procedure of prior written notification and consent.

Instead it is proposed that the person who arranges for such shipments must inform
the competent authorities about the shipment three working days before the shipment
starts and that the shipment must be accompanied by certain information.

Administrative  rule  regarding  waste  containing  POP  chemicals:  It  is  proposed  that
waste consisting, containing or contaminated with the chemicals listed in Annexes A,
B and C of the Stockholm Convention or in Annex VIII to the Regulation be subject
to the same provisions as shipments of waste destined for disposal.

Without prejudging the technical implementation of the Stockholm Convention, this
article will, in the  shipment context,  establish a  clear administrative rule.  It  will  be
clear, in particular as regards exports out of the Community, that such shipments are
prohibited  unless  they  are  destined  for  EFTA  countries.  In  application  of  the
precautionary  principle,  it  is  important  to  strictly  control  any  shipment  of  waste

9.

10.

19

20

OJ L 226, 6.9.2000, p. 3.
In just one of the Member States affected - the Netherlands - the costs are estimated to have been 107 to
132 million € in total (primary sector: € 43 million, feed sector: € 33 million, slaughterhouses: € 25 to
50 million and government: € 6 million).

16

                                                
11.

12.

13.

14.

containing,  consisting  of  or  contaminated  by  POPs,  in  order  to  prevent  inadequate
management of these substances.

Administrative  rule  clarifying  disagreements  on  classification  issues:  It  is  proposed
to establish a procedural rule regarding disagreement between competent authorities
on  classification  of  a  waste  as  waste,  classification  and  listing  of  a  waste  and
classification of certain operations as recovery or disposal.

It is thus proposed that a clear and precise procedural rule be established to the effect
that the most stringent procedure applies in such cases of disagreement. It should be
emphasised  that  the  rule  only  applies  for  the  purpose  of  this  Regulation  and  is
without prejudice to any legal actions taken to address such disagreements between
competent authorities.

Financial  guarantee  or  equivalent  insurance:  It  is  proposed  to  clarify  that  the
financial  guarantee  or  equivalent  insurance  established  by  the  notifier  must  be
established  and  legally  binding  at  the  time  of  notification  and  must  apply  to  the
notified shipment when the shipment starts, at the latest.

It  is  also  proposed  to  clarify  that  the  amount  of  the  coverage  of  the  guarantee  or
equivalent  insurance is  to  be approved by the  competent  authority  of  dispatch,  that
all competent authorities are to have access to it and that it must also cover possible
storage costs.

Further,  it  is  clarified  that  the  guarantee  must  be  valid  and  must  cover  a  notified
shipment  throughout  that  shipment,  including  through  the  completion  of  final
recovery  or  disposal.  Finally,  it  is  established  that  if  a  shipment  is  destined  for
recovery or disposal operations which are considered interim, this requirement may
be fulfilled  by the  establishment of  an  additional guarantee  or  equivalent  insurance
by the consignee covering the said shipment until the completion of final recovery or
disposal.

Take-back obligations: It is proposed to clarify that the obligation to take waste back
–  both  in  cases  where  the  shipment  cannot  be  completed  as  intended  and  in  cases
where the shipment is to be considered illegal - also applies to non-hazardous waste
as listed in Annex III and destined for recovery. Clarifications are also suggested as
regards  the  obligation  to  make  new  notifications  in  cases  of  take-back.  It  is  thus
considered appropriate to require take-back of all waste, and not just as regards waste
subject to prior written notification and consent.

The  Commission’s  role  as  transmitting  information  from  Member  States:  It  is
proposed  that  in  cases  where  the  Member  States  must  communicate  information
about  legislation,  pre-consented  facilities  etc.  to  other  Member  States,  the  Member
State concerned is itself responsible for that communication.

At present, when the Commission receives such information from a Member State, it
passes  it  on  to  the  other  Member  States.  However,  in  the  light  of  modern
communication methods, it is considered that such a function should rather be carried
out  by  the  relevant  Member  State  itself.  It  is  thus  proposed  that  Member  States
communicate  such  information  both  to  the  Commission  and  to  the  other  Member
States.

17

15.

Communication  by  means  of  electronic  data  interchange:  To  prepare  for  (future)
developments in the area of communication by means of electronic data interchange
with electronic signature, it is proposed to establish the possibility of communicating
by  such  means.  Such  communication  shall  only  be  allowed,  however,  according  to
the decision made by the competent authorities concerned.

If such communications are allowed, the competent authority of dispatch may decide
to  take  over  and  carry  out  the  submission  of  the  communication  mentioned.
Otherwise,  the  notifier  and  the  consignee  would  be  obliged  to  submit  the  above-
mentioned communication. For some notifiers and consignees, this could constitute a
serious  technical  and  financial  burden,  while  for  others  that  will  not  be  the  case.
Therefore,  the  decision  by  the  competent  authority  of  dispatch  to  take  over  the
communication  function  is  to  be  taken  in  agreement  with  the  other  competent
authorities concerned and the notifier.

16.

Footnote in Annex III, entry GC 030: In relation to entry GC 030 in Annex III  and
vessels destined for breaking up, a footnote has been inserted to clarify that a balance
has to be struck between the need ensure that such vessel do not contain hazardous
material on-board and the fact that some materials which are classified as hazardous
are essential for  the  safe  operation  of ships.  The  footnote  clarifies  that  this  balance
should  be  set  by  reference  to  recognised  rules  and  guidelines  on  ship  recycling,
notably those prepared under the auspices of the IMO and the Basel Convention.

4.2.5. Main changes and clarifications as regards shipments within Member States – Title

III

No  changes  are  proposed  in  relation  to  shipments  of  waste  within  Member  States.
The provisions of Titles II and VII still does not apply to shipments of waste routed
entirely  within  a  Member  State.  However,  Member  States  are  still  obliged  to
establish  an  appropriate  control  system  in  relation  to  such  shipments  and  may  still
apply the system provided for in this Regulation.

4.2.6. Main  changes  and  clarifications  as  regards  exports  out  of  and  imports  into  the

Community – Titles IV, V and VI

1.

General logic: Generally, this Title has been streamlined according to the logic that
the provisions of Title II regarding intra-Community shipments form the basis which
apply  mutatis  mutandis.  Thus,  only  modifications  and  additions  to  Title  II  are
mentioned. These modifications and additions are primarily related to implementing
the  procedural  requirements  of  the  Basel  Convention,  which  differ  from  those  of
intra-Community shipments.

At present there are several different procedures as regards imports and exports:

1)

2)

3)

Exports for disposal to EFTA countries (Article 15)

Exports  for  recovery  to  OECD-Decision  countries  of  waste  listed  in
Annexes III and IV (Article 17 – as for intra-Community shipments)

Imports for disposal from EFTA and Basel Convention countries (Article
20)

18

4)

Imports for recovery from OECD-Decision countries (Article 22 – as for
intra-Community shipments)

5)

Imports for recovery from non-OECD-Decision countries (Article 20).

By applying the provisions of Title II mutatis mutandis to exports out of and imports
into the Community, the number of procedures are reduced to the two provided for
under  Title  II,  namely,  the  requirement  for  prior  written  notification  and  written
consent  and  the  requirement  that  the  shipment  be  accompanied  by  certain
information.

The special procedural elements required under the Basel Convention are as follows:

– 

– 

– 

All countries involved must provide written consent to a notified shipment and
have 60 days to do so.

The country of dispatch is to take  the decision  to  consent  to  a  shipment  only
after having received written confirmation from the other countries involved.

The  transit  country  must  acknowledge  receipt  of  the  notification,  thereby
triggering the 60-days time limit for consent.

It is also made explicit that a shipment can only start if certain conditions are fulfilled
sound
(consent, 
management/protection  of  the  environment).  That  specification  may  not  be  legally
necessary but is considered important in order to strengthen enforcement.

environmentally 

guarantee, 

financial 

contract, 

2.

Finally, the rules regarding customs offices have been updated and a paragraph has
been  added  specifying  that,  if  a  custom  office  observes  a  shipment  that  does  not
comply with the provisions of the Regulation, it is to inform the relevant competent
authority  in  the  Community  and  ensure  detention  of  the  waste  until  otherwise
decided.  It  follows  that  also  shipment  violating  the  prohibitions  as  laid  in  the
Regulation  will  be  subject  to  the  requirement  of  detention.  Also  the  future
Regulation(s) established pursuant to Article 38 should contain provisions regarding
detention of waste by the customs offices.

Basel Convention export ban as regards recovery – Annex V: On 22 September 1995
the Conference of the Parties to the Basel Convention adopted Decision III/1, which
introduced  a  new  preambular  paragraph  7  bis,  a  new  Article  4A  and  a  new  Annex
VII into the Basel Convention. The Decision aims to immediately prohibit exports of
hazardous waste destined for final disposal from Parties to the Convention listed in
Annex  VII  to  Parties  not  listed  in  Annex  VII  and  to  prohibit  as  of  1  January  1998
exports  of  hazardous  waste  destined  for  recovery  from  Parties  listed  to  Parties  not
listed in Annex VII. This ban is laid down in Community legislation in Articles 35
and  37  of  the  proposal  (Articles  14  and  16  of  the  current  Regulation).  Article  35
contains the disposal part of the ban and Article 37 contains the recovery part of the
ban.

In  relation  to  the  recovery  part  of  the  ban,  it  is  first  of  all  proposed  to  clarify  that
hazardous  waste  and  mixtures  of  unlisted  hazardous  waste  and  waste  which  the
country of destination has notified to be hazardous or has banned the import of  are
covered by the prohibition. Secondly –in accordance with the 2001 OECD Decision
– it is proposed to include waste listed in Annex II of the Basel Convention in Annex

19

3.

V, Part 3, as  List A. These wastes are: Y46 -  waste collected from households and
Y47  -  residues  arising  from  the  incineration  of  household  wastes.  Clearly,  the
Community  should  not  export  household  waste  and  incineration  residues  to  non-
OECD  countries.  This  is  in  accordance  with  the  principle  of  self-sufficiency  laid
down in Article 5 of Directive 75/442/EC, as amended.

The disposal part of the ban as contained in Article 35 remains unchanged. Exports
of hazardous waste destined for disposal are thus still banned unless they are destined
for EFTA countries Parties to the Basel Convention.

Requirement  of  environmentally  sound  management  and  protection  of 
the
environment: As already mentioned above under point 4.2.2., both Titles  IV  and  V
include  a  chapter  gathering  together  general  provisions  for  the  said  title.  Those
chapters  contain  an  article  regarding  the  requirement  for  environmentally  sound
management  in  cases  of  export  out  of  the  Community  and  of  protection  of  the
environment in the Community in cases of imports into the Community. The concept
of environmentally sound management originates from and is defined as in the Basel
Convention. Environmentally sound management is defined as 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.

In  relation  to  the  requirement  for  environmentally  sound  management,  it  is  further
proposed that it may be  assumed to be  fulfilled inter  alia if  the treatment  guideline
listed in Annex IX in respect of the waste stream concerned is proved to apply at the
facility in the third country of destination. However, it must be emphasised that this
assumption is without prejudice to the overall assessment of environmentally sound
management  throughout  the  period  of  shipment  and  including  final  disposal  or
recovery in the third country of destination.

Annex IX refers to three guidelines; all adopted by the Conference of the Parties to
the Basel Convention:

– 

– 

– 

Technical  Guidelines  on 
Biomedical and Health Care Wastes (Y1; Y3),

the  Environmentally  Sound  Management  of

Technical  Guidelines  on  the  Environmentally  Sound  Management  of  Waste
Lead Acid Batteries and

Technical Guidelines on  the  Environmentally  Sound  Management  of  the  Full
and Partial Dismantling of Ships.

Annex  IX  is  to  be  further  developed  through  the  Committee  for  the  adaptation  to
scientific and technical progress of EC Legislation on waste and in accordance with
the  procedure  laid  down  in  Article  18  of  Directive  75/442/EEC,  as  amended.  In
addition, guidelines adopted by the OECD or adopted in the context of other bodies
may be referenced in Annex  IX, see Article  61.  In  doing so,  care  must be  taken to
ensure  that  the  guidelines  are  concrete  and  not  general.  They  should  give  specific
guidance  on  various  and  preferred  methods  of  disposal  and  be  up  to  date  both  in
terms of technical level and in terms of addressing environmental concerns. Though
obvious,  it  must  lastly  be  stressed  that  the  requirement  of  environmentally  sound
management  is  without  prejudice  to  the  provisions  of  Articles  35  and  38

20

4.

5.

implementing the Basel Convention  export  ban on hazardous  waste from  OECD to
non-OECD countries.

Overseas  Countries  and  Territories:  Two  articles  are  proposed  to  make  the  rules
concerning  exports  and  imports  of  waste  to  and  from  Overseas  Countries  and
Territories  explicit  in  the  Regulation.  The  rules  established  thus  implement  Article
39 of the Council Decision 2001/822/EC of 27 November 2001 on the association of
the Overseas Countries and Territories with the European Community21.

Separate regime as regards exports of non-hazardous waste to non-OECD countries:
Under the responsibility of DG TRADE, a specific regime applies to exports of non-
hazardous  waste  destined  for  recovery  in  non-OECD-Decision  countries,  meaning
waste listed in the Annex III.

This  regime  will  be  continued,  albeit  in  a  modified  and  simplified  version  in
accordance with the provisions of Article 38.

All  non-OECD-Decision  countries  have  been  asked  which  procedures  they  want
applied to imports  for  recovery from  the Community of the  said waste.  At  present,
the  following  five  options  are  available  as  a  reply  to  that  question:  a)  a  ban,  b)
notification  with  written  consent,  c)  notification  with  tacit  consent,  d)  a  special
procedure  based  on  written  consent,  and/or  e)  no  control  in  the  country  of
destination.  In  this  proposal,  a  procedural  simplification  is  suggested,  namely,  that
the  procedural  choices  of  the  non-OECD-Decision  countries  asked  be  reduced  to
three: a) a ban, b) notification with written consent, or c) no control in the country of
destination.

For the implementation of this provision, the Commission will send a so-called “note
verbal” to the countries concerned to ask them about the procedures which are to be
applied to exports for recovery in their country of wastes which are not covered by
the  export  ban.  In  order  to  ensure  the  highest  level  of  harmonisation  at  the  global
level  concerning  waste  lists,  the  Commission  will  use  Annex  III  for  this  enquiry,
corrected  as  appropriate  to  ensure  maximum  use  of  the  terminology  of  the  Basel
Convention and consistency with its export ban.

This future Commission Regulation, which should enter into force on the day of the
application  of  this  Regulation,  will  repeal  both  Council  Regulation  (EEC)  No
1420/199922  and  Commission  Regulation  (EEC)  No.  1547/199923  which  currently
regulate the said exports.

4.2.7. Main changes and clarifications as regards other provisions – Title VII

As  already mentioned, it is proposed to restructure and  shorten  Title  VII.  Title  VII
thus  contains  the  majority  of  the  articles  that  are  contained  in  Title  VIII  on  other
provision in the current Regulation. See the explanation above under point 4.2.2.

Apart from these structural changes only the following changes are proposed:

21

22

23

OJ L 314, 30.11.2001, p. 1.
Council Regulation (EC) No 1420/1999 of 29.04.1999, OJ L 166, 1.7.1999, p. 6.
Commission Regulation (EC) No 1547/1999 of 12.07.1999, OJ L 185, 17.7.1999, p.1.

21

                                                
1.

2.

Use  of  the  web-site  as  an  alternative  to  publication  in  the  Official  Journal:  It  is
proposed to make use of the Commission web–site as an alternative to publication in
the Official Journal.

According  to  the  current  Regulation,  the  Commission  is  to  publish  the  lists  of
customs  offices  in  the  Official  Journal  of  the  European  Community.  The
Commission has also published the list of the Competent Authorities in the Official
Journal  of  the  European  Communities.  However,  in  light  of  developments  in
communication methods, it is considered more efficient and more easily accessible if
only the websites are used.

Adoption of additional measures: It is proposed to mandate the Commission to adopt
additional  measures  related  to  the  implementation,  application,  administration  and
enforcement of the Regulation.  It  is further established that such  measures  must be
decided  in  accordance  with  the  procedure  laid  down  in  Article  18  of  Directive
75/442/EEC,  as  amended,  and  the  so-called  regulatory  procedure  as  established  in
Article  5  of  Decision  1999/468/EC24.  The  current  Regulation  does  not  give  such
powers to the Commission.

5.

ENVIRONMENTAL ASPECTS

The  recognition  that  it  is  “important  to  organise  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”, as stated in the sixth recital in the preamble
to the 1993 Regulation, is no less valid today, almost 10 years after its adoption. It is
thus necessary to maintain and improve the system of prior written notification and
consent  which  allows  and  obliges  competent  authorities  to  take  all  necessary
measures to ensure protection of human health and the environment within as well as
outside the Community.

Within the Community, the producer and the notifier in the Community must take all
necessary  steps  to  ensure  that  the  waste  they  ship  is  managed  without  endangering
human  health  and  without  using  processes  or  methods  which  could  harm  the
environment, as required in Article (4) of Directive 75/442/EEC, as amended and in
accordance with Community legislation on waste, throughout the period of shipment
and including final disposal or final recovery in the state of destination. Outside the
Community,  the  producer  and  the  notifier  and  other  undertakings  involved  in  a
shipment  must  ensure  that  any  waste  they  ship  is  managed  in  an  environmentally
sound manner throughout the period of shipment and including final disposal or final
recovery in the third country of destination25.

6.

ECONOMIC ASPECTS

From an overall assessment it is considered that the proposal will not place additional
economic  burdens  on  Industry.  The  system  of  notifications  and  information

24

25

OJ L 184, 17.7.1999, p. 23.
Environmentally  sound  management  is  defined  as  in  the  Basel  Convention,  namely  as  “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”.

22

                                                
requirements  in  relation  to  shipments  of  waste  is  well  established  throughout  the
Community, and it is to be expected that the requirement that notifications must be
processed  by  and  through  the  competent  authority  of  dispatch  will  entail  some
economic  relief  for  notifiers,  compared  to  having  to  submit  the  notification  to  all
relevant  parties.  The  clarification  that  a  financial  guarantee  or  equivalent  insurance
must be established and be legally binding upon notification might entail extra costs
for  industries  making  notifications  in  Member  States,  where  that  is  not  currently  a
requirement.

It  must  be  anticipated  that  the  proposal  will  entail  extra  costs  for  certain  Member
States,  however.  The  proposal  establishes  that  notifications  are  to  be  processed
through  the  competent  authority  of  dispatch.  For  Member  States  which  have  an
advanced  and  elaborated  system  for  the  processing,  control  and  monitoring  of
notifications and shipments, such a system will not entail further costs. For Member
States  not  yet  in  that  position,  the  proposal  will  probably  entail  some  extra  costs.
However, it should also be borne in mind that the system of processing notifications
through the competent authority of dispatch will give rise to efficiencies in terms of
“saved”  paper  work  and  control  for  the  competent  authority  of  destination  and
transit. Thus, the system is likely to be economically neutral as a whole.

7.

INTERNAL MARKET ASPECTS

Some  members  of  Industry  have  made  presentations  that,  despite  the  fact  that  the
Regulation  is  directly  applicable  in  the  Member  States,  it  is  on  certain  aspects
applied very differently throughout the Community and thus causes distortion of the
internal market. This relates, for instance, to different information and documentation
requirements as regards notifications and shipments, different systems for processing
notifications,  different  requirements  for  a  financial  guarantee  –  its  establishment,
calculation, release  and access  -  and  different  information  and  format  requirements
as  regards  waste  subject  to  the  requirement  of  being  accompanied  by  certain
information.  The  proposal addresses  such points  as well as  other  cases  where  legal
clarity is lacking. It is thus considered that the proposal will promote a more uniform
application of the Regulation, to the benefit of the internal market, in the field of the
recovery of waste.

8.

INTERNATIONAL ASPECTS

As  already  mentioned  under  point  2,  the  Regulation  is  largely  based  on  the  Basel
Convention  of  22  March  1989  on  the  control  of  transboundary  movements  of
hazardous  wastes  and  their  disposal,  as  amended,26  and  the  OECD  Decision
C(92)39/final  on  the  control  of  transfrontier  movements  of  wastes  destined  for
recovery operations, as amended.

On  14  June  2001  the  OECD  Council  amended  the  above  mentioned  1992  OECD
Decision.  In  order  to  implement  that  amendment,  a  revision  of  the  Regulation  has
become legally necessary.

26

On  1  February  1993  the  Council  approved  the  Basel  Convention  on  behalf  of  the  Community,  see
Council Decision 93/98/EEC, OJ L 39, 16.02.1993, p. 1.

23

                                                
When implementing the 2001 OECD Decision its global dimension and international
applicability should be borne in mind. This involves interpretation and the choice of
the  Community  to  apply  different  rules,  which  is  allowed  under  the  2001  OECD
Decision.  As  pointed  out  under  points  3  and  4.2.,  global  harmonisation  is  thus
considered one of the objectives of the proposal.

Further,  in  an  enlarged  Community  global  harmonisation  and  a  Regulation  that
provides a high degree of legal clarity becomes even more important.

9.

TRADE ASPECTS

The proposal does not alter the current system for exports out of and imports into the
Community  –  it  merely  changes  the  procedural  framework.  As  regards  exports  of
waste  listed  in  Annex  III  (non-hazardous  waste)  and  destined  for  recovery  in  non-
OECD-Decision countries, Article 38 establishes the basic procedural framework for
future regulations in this specific area.

10.

SUBSIDIARITY AND PROPORTIONALITY

The present proposal for amendment of the  1993 Regulation takes into account the
principles of subsidiarity and proportionality. Only those elements that are necessary
for  the  proper  and  uniform  functioning  of  the  Regulation,  while  at  the  same  time
ensuring  protection  of  the  environment  and  a  proper  functioning  of  the  internal
market are covered by the proposal. The proposal also reinforces legal clarity where
needed.

It  is  difficult  to  reconcile  simplicity  with  the  different  interests  of  various
stakeholders,  and  not  least  the  wish  to  ensure  a  more  uniform  application  of  the
Regulation. Nevertheless, this proposal endeavours to remain as simple as possible.

11.

CONSULTATION OF STAKEHOLDERS

Annex C contains a list of the contributors to the 2001-2002 consultations (Member
States, Acceeding Countries, Industry, NGO’s and Local Authorities).

12.

A)

B)

C)

ANNEXES

Content article by article

A parallel listing of the proposed articles and the corresponding articles of the 1993
Regulation.

List of Member States, Acceeding Countries, Industry, Local Authorities and NGO’s
that have been consulted and have contributed to the 2001-2002 consultation.

24

ANNEX A
Description article by article

TITLE I – Scope and Definitions

Article 1 - Scope

Article 1 establishes the scope of the Regulation and lists exclusions.

Article 2 – Definitions

Article  2  contains  a  series  of  definitions  relevant  to  the  Regulation.  Where  a  definition  is
already established in Directive 75/442/EEC, as amended, that definition also applies for the
purpose of this Regulation.

TITLE II – Shipments between Member States within the Community or with transit
through third countries

Article 3 - Overall procedural framework

Article 3 provides an overview of the general procedural framework and defines which wastes
are  subject  to  which  procedure.  It  also  establishes  special  provisions  regarding  waste
explicitly destined for laboratory analysis and waste containing certain chemicals.

CHAPTER 1 – PRIOR WRITTEN NOTIFICATION AND CONSENT

Article 4 - Procedure of prior written notification and consent

Article  4  defines  the  notifier  and  establishes  the  obligation  for  the  notifier  to  make  a  prior
written  notification  to  and  through  the  competent  authority  of  dispatch  if  he/she  intends  to
ship  waste  from  one  Member  State  to  another  Member  State  or  and/or  pass  it  in  transit
through one or several other Member States.

The Article further establishes that a shipment may only start after the notifier has received:

–  written consent from the competent authority of dispatch and destination and after tacit, or

–  written consent from the competent authority of transit.

Article 5 - Notification requirements

Article 5 sets out the requirements that must be fulfilled when making a notification.

Notifications  are  to  be  made  by  the  notifier  by  using  the  notification  and  movement
documents contained in Annexes 1 A and 1 B, supplying information and documentation as
listed in Annex II, Part 1, 2 and 3, establishing a contract with the consignee for the recovery
or  disposal  of  the  notified  waste,  and  establishing  a  financial  guarantee  or  equivalent
insurance.

The concept of a “properly filled-in” notification and  a  “properly completed” notification is
established in this article as well.

25

Upon  receipt  of  a  “properly  filled-in”  notification,  the  competent  authority  of  dispatch  is
obliged  to  transmit  the  notification  to  the  other  competent  authorities  and  to  the  consignee:
see Article 8. Upon receipt of a “properly completed” notification, the competent authority of
destination  or  dispatch  is  obliged  to  issue  an  acknowledgement;  see  Article  9.  The
acknowledgement triggers the 30-day time limit for consent from the competent authorities.

Article 6 - Contract

Article 6 establishes further requirements as regards the contract between the notifier and the
consignee for  the  recovery  or  disposal  of  the  notified  waste.  The  article  establishes  that  the
contract  must  be  established  and  legally  binding  at  the  time  of  notification  and  that  it  must
include certain obligations on the part of both the notifier and consignee.

Article 7 – Financial guarantee

Similarly, Article 7 establishes further requirements for a financial guarantee(s) or equivalent
insurance(s)  covering  costs  for  transport,  final  disposal  or  final  recovery  and  storage,
including  cases  where  a  shipment  cannot  be  completed  as  intended  and  cases  where  a
shipment is illegal.

The financial guarantee or equivalent insurance must be established and legally binding at the
time of notification and must apply to the shipment when the notified shipment starts, at the
latest.

The article also establishes that the guarantee or equivalent insurance must be valid and cover
the shipment until final treatment and that, as regards shipments of waste destined for interim
recovery or disposal operations, this requirement may be fulfilled by the establishment of an
additional financial guarantee or equivalent insurance by the consignee.

Finally, the article  establishes that all competent  authorities concerned are to have  access to
the financial guarantee or equivalent insurance, and stipulates when it can be released.

Article 8 - Transmission of the notification by the competent authority of dispatch

Article 8 establishes that when the competent  authority of dispatch has  received a  “properly
filled-in”  notification  as  described  in  Article  5(2),  it  is  obliged  to  transmit  copies  of  the
notification to the other competent authorities concerned and to the consignee.

If the competent authority of dispatch considers that the notification is not properly filled-in,
it may request information and documentation from the notifier. Such a request is to be made
within 3 working days of receipt of the notification.

Article 8 further establishes that the notifier has the right to demand  a reasoned explanation
from the competent authority of dispatch if it has not transmitted the notification as required
to the other competent authorities and to the consignee within the time limit.

Article 9 - Acknowledgement by the competent authority of destination

Article 9 establishes that upon receipt of a “properly completed” notification as described in
Article  5(3),  the  competent  authority  of  destination  is  to  send  an  acknowledgement  to  the
notifier and copies thereof to the other competent authorities concerned and to the consignee
and that this is to be done within 3 working days of receipt of the notification.

26

Further it is established that the notifier has the right to demand a reasoned explanation from
the competent authority  of  destination  if  it  has  not  acknowledged  receipt  of  the  notification
within the time limit.

Article 10 - Consent by the competent authority of destination, export and transit

Article 10 establishes that the competent authorities of destination, dispatch and transit have
30 days following dispatch of the acknowledgement by the competent authority of destination
to take the decision to consent or object to the notified shipment.

The Article also establishes rules regarding the validity of a consent.

Article 11 - Conditions to a shipment

Article 11 establishes the right of the competent authorities of dispatch, destination and transit
to lay down conditions in connection to their consent to a notified shipment.

Article 12 - Objections to shipments destined for disposal

Article 12 lists the reasons that can justify an objection to a shipment destined for disposal on
the part of the competent authority of dispatch, destination and/or transit.

Article 13 - Objections to shipments destined for recovery

Similarly, Article 13 lists the reasons that can justify an objection to a shipment destined for
recovery on the part of the competent authority of dispatch, destination and/or transit.

Article 14 - General Notification

Article 14 establishes the possibility of using a general notification instead of several single
notifications  where  waste  having  the  same  physical  and  chemical  characteristics  is  to  be
shipped  periodically  to  the  same  consignee,  at  the  same  facility  and  following  the  same
route(s) and routing.

Article 15 – Pre-consented recovery facilities

Article  15  establishes  that  competent  authorities  of  destination  having  jurisdiction  over
specific  recovery  facilities  may  decide  to  issue  pre-consents  to  such  facilities.  Further,  it  is
established  that  competent  authorities  which  decide  to  issue  a  pre-consent  to  a  facility  in
accordance  with  this  Article  shall  communicate  certain  information  to  the  Commission,  the
OECD Secretariat and the competent authorities in the other Member States and that the form
contained in Annex VI may be used for this purpose. Finally, an enabling clause is inserted to
allow for possible further conditions and requirements in  relation  to pre-consented  recovery
facilities.

Article 16 - Provisions regarding interim recovery and disposal operations

Article  16  establishes  special  provisions  regarding  shipments  of  wastes  destined  for  interim
recovery or disposal operations (blending or mixing, repackaging, exchange, storage or other
recovery or disposal operations considered interim and not final).

27

Article 17 – Requirements following consent to a shipment

Article 17 lists the requirements related to the period after the notified shipment has received
a consent: completion of the movement document by all involved parties and by the notifier,
prior information regarding actual start of the shipment, written confirmation of receipt of the
waste by the consignee and certificate for final disposal or recovery by the consignee.

Article 18 - Changes in the shipment after consent

Article  18  establishes  that  should  any  material  changes  be  made  to  the  details  and/or
conditions of a consented shipment, a new notification must be made, unless all the competent
authorities  concerned  are  satisfied  that  the  proposed  changes  do  not  necessitate  a  new
notification.

CHAPTER 2 – GENERAL INFORMATION REQUIREMENTS

Article 19 - Waste to be accompanied by certain information

Article  19  establishes  that  shipments  of  waste  as  defined  in  Article  3(2)  and  (4)  –  meaning
waste listed in Annex III and waste explicitly destined for laboratory analysis - are subject to
the procedural requirement that they be accompanied by certain information. This information
includes, inter alia, evidence of a contract between the person who arranges the shipment and
the consignee for recovery of the waste which is legally binding when the shipment starts.

The  article  further  establishes  that  the  information  is  to  be  provided  by  the  person  who
arranges  the  shipment  in  the  form  contained  in  Annex  VII  and  that  Member  States,  for  the
purposes  of  inspection,  enforcement,  planning  and  statistics,  may  require  information  about
shipments subject to this Article and in accordance with national legislation.

Article 20 - Waste subject to prior information

Article 20 establishes that as regards waste defined in Article 3(4) – waste explicitly destined
for  laboratory  analysis  -  the  person  who  arranges  the  shipment  must  inform  the  competent
authorities concerned about the shipment 3 working days before it starts.

Further, it is established that the information listed in Article 19(1) is to be provided and the
form contained in Annex VII used for that submission of information.

CHAPTER 3 – GENERAL REQUIREMENTS

Article 21 - Prohibited to mix waste during shipment

Article  21  establishes  that  wastes  which  are  subject  to  different  notifications  must  not  be
either  mixed  together  or  mixed  with  any  other  waste  not  subject  to  a  notification,  during
transport.

Article 22 - Protection of the environment within the Community

This  article  establishes  that  the  producer  and  the  notifier  in  the  Community  must  take  all
necessary steps to ensure that any waste they ship within the Community is managed without
endangering  human  health  and  without  using  processes  or  methods  which  could  harm  the
environment as required in Article 4 of Directive 75/442/EEC, as amended, and in accordance

28

with Community legislation on waste. This obligation lasts throughout the period of shipment
and includes final disposal or final recovery in the country of destination.

Article 23 - Keeping of documents and information

Article 23 establishes that all documents sent to or by the competent authorities in relation to
a notified shipment are to be kept in the Community for at least three years by the competent
authorities, the notifier and the consignee, and that information given pursuant to Article 19
(1) as regards waste listed in Annex III is to be kept in the Community for at least three years
by the person who arranges for the shipment and the consignee.

CHAPTER 4 – TAKE-BACK OBLIGATIONS

Article 24 – Take-back when a shipment cannot be completed as intended

Article 24 establishes  the rules  regarding the  duty  of the  competent authority  of  dispatch  to
ensure that waste is taken back when a shipment of waste to which the competent authorities
concerned  have  consented  cannot  be  completed  as  intended.  It  is  thus  established  that  the
competent authority of dispatch shall ensure that the waste in question is returned to its area
of  jurisdiction  or  elsewhere  within  the  Country  of  dispatch  by  the  notifier  or  if  that  is
impracticable, by the competent authority itself, and that this shall be done within 90 days.

Further,  it  is  established  that  the  provisions  of  this  article  also  apply  to  shipments  of  waste
which  are  subject  to  the  requirement  that  they  be  accompanied  by  certain  information  in
accordance  with  Article  19  and  that  the  person  who  arranges  the  shipment  in  such  cases  is
subject to the same obligations under this article as is the notifier.

Article 25 - Costs for take-back when a shipment cannot be completed

Article 25 establishes how costs arising from the return of waste of a shipment that cannot be
completed as intended shall be charged – namely, to the notifier or, if that is impracticable, to
the competent authority of dispatch; or, if that in turn is impracticable, as otherwise agreed by
the parties and the competent authorities concerned.

It  is  further  established  that  waste  listed  in  Annex  III  subject  to  the  requirement  that  it  be
accompanied by certain information which cannot be  completed as intended is also  covered
by  the  article.  It  is  thus  established  that  in  those  situations,  the  person  who  arranges  the
shipment is subject to the same obligations established under this article as is the notifier.

Article 26 - Take-back when a shipment is illegal

Article 26 defines when a shipment is illegal and establishes the rules regarding the duty of
the  competent  authority  of  dispatch  to  ensure  that  waste  in  a  shipment  that  is  considered
illegal is taken back and that this is done within 30 days.

It is further established that if a case of illegal shipment is not the responsibility of the notifier
but rather of the consignee, then the competent  authority  of  destination  is  to  ensure that the
waste in question is disposed of or recovered by the consignee or, if that is impracticable, by
the competent authority itself, and that this also is done within 30 days.

Finally, it is established that if the responsibility for the illegal shipment cannot be imputed to
either the notifier or the consignee, the competent authorities are to co-operate to ensure that
the waste in question is disposed of or recovered.

29

As in Article 24, it is established that the provisions of this article also apply to shipments of
waste listed in Annex III and which are subject to the requirement that they be accompanied
by certain information  in  accordance  with  Article  19  and  that  is  such  cases  the  person  who
arranges the shipment is subject to the same obligations established under this article as is the
notifier.

Article 27 - Costs for take-back when a shipment is illegal

Article  25  establishes  how  costs  arising  from  the  return,  etc.  of  waste  in  a  shipment  that  is
illegal are to be charged.

It is further established  that  a  shipment  of  waste  listed  in  Annex  III  which  is  subject  to  the
requirement  that  it  be  accompanied  by  certain  information  and  which  is  illegal,  is  also
covered by the article. It is thus established that in those situations, the person who arranges
the shipment is subject to the same obligations established in this article as is the notifier.

CHAPTER 5 –GENERAL ADMINISTRATIVE PROVISIONS

Article 28 - Submission of communication

Article 28 establishes that the communication listed may be submitted in one of the following
ways:  by  post,  by  telefax,  by  e-mail  with  digital  signature,  or  by  e-mail  without  digital
signature, followed by post.

It further establishes that, according to the decision by the competent authority concerned, the
communication  mentioned  may  be  submitted  by  means  of  electronic  data  interchange  with
electronic  signature  or  electronic  authentication  according  to  Directive  1999/93/EC  on  a
Community  framework  for  electronic  signatures27  or  with  a  comparable  electronic
authentication system providing the same level of security and subject to the acceptance of the
competent authorities concerned.

Article 29 - Language

that  any  notification, 

Article  29  establishes 
information,  documentation  or  other
communication submitted pursuant to the provisions of Title II is to be supplied in a language
acceptable  to  the  competent  authorities  concerned  and  that  the  competent  authorities
concerned may request the notifier to provide authorised translation(s) into a language which
is acceptable to them.

Article 30 - Disagreement on classification issues

Article  30  establishes  an  administrative  rule  for  cases  where  the  competent  authorities  of
dispatch  and  destination  disagree  on  the  classification  as  regards  the  distinction  between
waste or non-waste, on the classification of the notified waste as being listed in Annex III or
IV  or  on  the  classification  of  the  waste  treatment  operation  notified  as  being  disposal  or
recovery. It is thus established that the material is to be considered a waste, that the waste is to
be considered listed in Annex IV and that the provisions regarding waste destined for disposal
apply, respectively. It is stressed that this administrative rule only applies for the purposes of
this  Regulation,  and  is  without  prejudice  to  the  rights  of  interested  parties  to  resolve  any
dispute related to these questions before a court of law or tribunal.

27

OJ L 13, 19.1.2000, p. 12.

30

                                                
Article 31 - Administrative costs

Article 31 establishes that appropriate and proportionate administrative costs of implementing
the  notification  and  supervision  procedure  and  usual  costs  of  appropriate  analyses  and
inspections may be charged to the notifier.

CHAPTER  6  -  SHIPMENTS  WITHIN  THE  COMMUNITY  AND  WITH  TRANSIT
VIA THIRD COUNTRIES

Article 32 - Shipments destined for disposal

Article 32 establishes the rules regarding shipments  within  the Community  and destined for
disposal that transit through third countries. It is thus established that the competent authority
of dispatch are to ask the competent authority in the third country whether it wishes to send its
written consent to the planned shipment.

Article 33 - Shipments destined for recovery

Article 33 establishes that when a shipment of waste takes place within the Community with
transit  via  one  or  more  third  countries  to  which  the  OECD  Decision  does  not  apply  and  is
destined for recovery, Article 32 applies.

Regarding a shipment of waste that takes place within the Community with transit via one or
more third countries to which the OECD Decision does apply and is destined for recovery, it
is further established that the consent to a shipment may be provided tacitly.

TITLE III - Shipments within Member States

Article 34 - Application of this Regulation to shipments within Member States

Article 34 establishes the application of the Regulation to shipments within Member States.

TITLE IV – Exports out of the Community to third countries

CHAPTER 1 - WASTE FOR DISPOSAL

Article 35 - Export prohibited except to EFTA countries

Article 35 establishes that all exports of waste out of the Community destined for disposal are
prohibited, with the exception of exports destined for disposal in EFTA countries.

However,  it  is  further  established  that  such  exports  are  still  prohibited  if  the  EFTA  country
prohibits  imports  of  such  wastes  or  if  the  competent  authority  of  dispatch  has  reason  to
believe that the waste will not be managed in an environmentally sound manner in the country
of destination concerned.

Article 36 - Procedures when exporting to EFTA countries

Article  36  establishes  the  procedure  to  be  applied  where  waste  is  exported  out  of  the
Community  and  destined  for  disposal  in  EFTA  countries.  It  is  thus  established  that  the

31

provisions of Title II apply mutatis mutandis, albeit with certain modifications and additions,
which are listed.28

CHAPTER 2 - WASTE FOR RECOVERY

Exports to non-OECD-Decision countries

Article 37 - Export prohibited if waste is listed in Annex V

Article  37  implements  the  Basel  Convention  export  ban  as  regards  waste  destined  for
recovery and establishes that exports out of the Community of hazardous waste destined for
recovery  in  countries  to  which  the  OECD  Decision  does  not  apply  is  prohibited.  It  is  thus
established that the following hazardous waste is covered by the prohibition: hazardous waste
as  listed  in  Annex  V,  hazardous  waste  not  classified  under  one  single  entry  in  Annex  V,
mixtures of hazardous waste and mixtures of hazardous waste with non-hazardous waste not
classified  under  one  single  entry  in  Annex  V,  waste  that  the  country  of  destination  has
notified to be  hazardous under  Article 3 of the Basel Convention, waste that  the  country  of
destination has prohibited the import of, or if the competent authority of dispatch has reason
to  believe  that  the  waste  will  not  be  managed  in  an  environmentally  sound  manner  in  the
country of destination concerned.

Article 38 - Procedures when exporting waste listed in Annex III

Article 38 establishes the framework for future legislation regarding export of wastes listed in
Annex III and destined for recovery in countries to which the OECD Decision does not apply
and  which  are  not  covered  by  the  prohibition  in  Article  37.  It  is  thus  established  that  the
Commission  shall  notify  every  country  to  which  the  OECD  Decision  does  not  apply  and
request  written  confirmation  if  the  waste  can  be  exported  for  recovery  operations  and
information  as  to  which,  if  any,  of  the  listed  control  procedures  is  to  be  followed:  a
prohibition, a prior written notification and consent procedure as described in Article 36, or
no  control  in  the  country  of  destination.  This  future  Commission  Regulation,  which  should
enter  into  force  on  the  day  of  the  applicability  of  this  Regulation,  will  repeal  both  Council
Regulation  (EEC)  No  1420/1999  and  Commission  Regulation  (EEC)  No  1547/1999,  which
currently regulate the said exports.

Exports to OECD-Decision countries

Article 39 - Exports of waste listed in Annexes III, IV and IV A

Article  39  establishes  which  procedures  are  to  apply  to  exports  out  of  the  Community  of
waste listed in Annexes III, IV and IV A and destined for recovery in countries and through
countries  to  which  the  OECD-Decision  applies.  It  is  thus  established  that  the  provisions  of
Title  II  apply  mutatis  mutandis,  albeit  with  certain  modifications  and  additions,  which  are
listed.

28

In  effect  Article  36  only  covers  Switzerland.  The  other  EFTA  countries  -  Norway,  Liechtenstein  and
Iceland - are thus also EEA countries.

32

                                                
CHAPTER 3 - GENERAL PROVISIONS

Article 40 - Exports to Antarctic

Article  40  makes  it  explicit  that  export  of  all  waste  out  of  the  Community  to  Antarctica  is
prohibited.

Article 41 - Exports to Overseas Countries or Territories

Article 41 establishes that exports out of the Community of all waste destined for disposal in
Overseas Countries or Territories are prohibited and that as regards exports of waste destined
for recovery the prohibition in Article 37 applies mutatis mutandis. Further, it is clarified that
as  regards  exports  of  waste  destined  for  recovery  in  Overseas  Countries  or  Territories  not
covered by this prohibition, the provisions of Title II apply mutatis mutandis.

The Article reflects the rules established in Article 39 of Council Decision 2001/822/EC of 27
November 2001 on the association of the overseas countries and territories with the European
Community.

Article 42 - Ensuring environmentally sound management in third countries

Article 42 establishes that the producer and the notifier and other undertakings involved in a
shipment are to take all necessary steps to ensure that any waste they ship is managed in an
environmentally sound manner throughout the period of shipment and including final disposal
or recovery in the third country of destination.

It further establishes that the competent authority of dispatch in the Community is to require
and  secure  that  any  waste  exported  is  managed  in  an  environmentally  sound  manner
throughout the period of shipment and including final disposal or recovery in the third country
of destination and that specific exports violating that rules are to be prohibited.

Article  42  also  establishes  that  environmentally  sound  management  may  be  assumed  as
regards  the  waste  stream  and  recovery  operation  concerned  if,  inter  alia,  the  treatment
guideline listed in Annex IX in respect of the waste stream concerned can be proved to apply
at the facility in the third country of destination. Annex IX is to be further developed through
the  Committee  for  the  adaptation  to  scientific  and  technical  progress  of  EC  Legislation  on
waste, in accordance with the procedure laid down in Article 18 of Directive 75/442/EEC, as
amended, and by means of Commission Regulation, see Article 61.

TITLE V - Imports into the Community

CHAPTER 1 - IMPORTS OF WASTE FOR DISPOSAL

Article 43 - Import prohibited except from EFTA- or Basel Party country or with an
agreement in place

Article 43 establishes that all imports into the Community of waste destined for disposal are
prohibited except those from EFTA countries or other countries which are Parties to the Basel
Convention or other countries with which the Community, or the Community and its Member
States have concluded bilateral or multilateral agreements or arrangements.

33

Article  43  also  establishes  the  requirements  to  be  fulfilled  when  concluding  bilateral  or
multilateral  agreements  or  arrangements.  These  include  inter  alia  the  requirement  that
bilateral or multilateral agreements or arrangements entered into in accordance with the article
shall be based upon the control procedure of Article 44.

Article 44 - Procedural requirements if import from EFTA- or Basel Party country

Article 44  establishes  which  procedure  to  apply  when  importing  waste  into  the  Community
destined for disposal from EFTA countries or other countries Parties to the Basel Convention.
It is thus established that provisions of Title II apply mutatis mutandis, however, with certain
modifications and additions listed.

CHAPTER 2 - IMPORTS OF WASTE FOR RECOVERY

Article 45 - Import prohibited except from OECD Decision, EFTA or Basel Party
country or with an agreement in place

Article 45 establishes that all imports into the Community of waste destined for recovery are
prohibited  except  from  countries  to  which  the  OECD  decision  applies  or  from  EFTA
countries or from other countries which are Parties to the Basel Convention or other countries
with  which  the  Community,  or  the  Community  and  its  Member  States,  have  concluded
bilateral or multilateral agreements or arrangements.

Article  45  also  establishes  the  requirements  to  be  fulfilled  when  concluding  bilateral  or
multilateral agreements or arrangements. These are similar to those of Article 43, and include
inter  alia  the  requirement  that  bilateral  or  multilateral  agreements  or  arrangements  entered
into in accordance with the article shall be based upon the control procedure of Article 44 or
46 as relevant.

Article 46 - Procedural requirements if import from OECD Decision countries

Article 46 establishes which procedures to apply when waste is imported into the Community
and destined for recovery from a country to which the OECD Decision applies and/or through
countries  to  which  the  OECD  Decision  applies.  It  is  thus  established  that  the  provisions  of
Title II apply mutatis mutandis, however with modifications and additions listed.

Article 47 - Procedural requirements if import from non-OECD Decision country Party
to the Basel Convention

Article 46 establishes which procedure to apply where waste is imported into the Community
and destined for recovery from a country to which the OECD Decision does not apply and/or
through any country to which the OECD Decision does not apply and which are also Parties
to the Basel Convention. It is thus established that the provisions of Article 29 apply mutatis
mutandis.

CHAPTER 3 - GENERAL PROVISIONS

Article 48 - Imports from Overseas Countries or Territories

Article 48 establishes that in relation to imports of waste into the Community from Overseas
Countries or Territories. The provisions of Title II apply mutatis mutandis.

34

Further it clarifies that one or more Overseas Country and Territory and the Member State to
which they are linked may apply national procedures to shipments from the Overseas Country
and Territory to  that Member State and that  Member States  that apply  this  possibility,  shall
notify the Commission of the national procedures applied.

As it is the case with Article 41 as regards exports, the Article reflects the rules established in
Article 39 of the Council Decision 2001/822/EC of 27 November 2001 on the association of
the Overseas Countries and Territories with the European Community.

Article 49 – Protection of the environment within the Community

Article  49  establishes  that  the  producer,  the  notifier  and  other  undertakings  involved  in  a
shipment must take all necessary steps to ensure that any waste they ship is managed without
endangering  human  health  and  without  using  processes  or  methods  which  could  harm  the
environment as required in Article 4 of Directive 75/442/EEC, as amended, and in accordance
with Community legislation on waste throughout the period of shipment and including final
disposal or final recovery in the country of destination.

It  further  establishes  that  the  competent  authority  of  destination  in  the  Community  shall
require  and  secure  that  any  waste  shipped  into  its  area  of  jurisdiction  is  managed  without
endangering human health and without harming the  environment  as  required in Article  4 of
Directive 75/442/EEC, as amended, and in accordance with Community legislation on waste
throughout the period of shipment and including final disposal or recovery in the country of
destination.  It  is  further  required  that  specific  imports  violating  those  rules  are  to  be
prohibited and not consented to.

The  Article  applies  the  same  logic  as  Article  42  regarding  exports  and  the  requirement  to
ensure environmentally sound management in the third country of destination.

TITLE VI - Transit through the Community from and to third countries

CHAPTER 1 - WASTE FOR DISPOSAL

Article 50 - Transit through the Community of waste destined for disposal

Article  50  establishes  that  where  waste  destined  for  disposal  is  shipped  through  a  Member
State from and to third countries the provisions of Article 44 apply mutatis mutandis,  albeit
with certain modifications listed.

CHAPTER 2 - WASTE FOR RECOVERY

Article 51 - Transit through the Community of waste from and/or to a non-OECD-
Decision country

Article  51  establishes  that  where  waste  destined  for  recovery  is  shipped  through  a  Member
State from and/or to a country to which the OECD Decision does not apply, Article 50 applies
mutatis mutandis.

35

Article 52 - Transit through the Community of waste from and/or to an OECD-Decision
country

Article  52  establishes  that  where  waste  destined  for  recovery  is  shipped  through  a  Member
State from and/or to countries to which the OECD Decision applies the provisions of Article
46 apply mutatis mutandis, albeit with certain modifications listed.

TITLE VII Other Provisions

CHAPTER 1 - ADDITIONAL OBLIGATIONS RELATED TO MEMBER STATES

Article 53 - Enforcement in Member States

Article  53  establishes  the  obligation  of  Member  States  to  take  legal  action  to  prevent  and
detect illegal shipments, including the imposition of penalties, and  allows Member States to
make provisions for enforcement measures such as inter alia inspections and spot  checks of
shipments.

Article 54 - Member States reporting

Article 54 establishes the reporting obligations of the Member States. Before the end of each
calendar  year,  Member  States  are  to  1)  draw  up  a  report  for  the  previous  calendar  year  in
accordance with Article 13 (3) of the Basel Convention and send it to the Secretariat  of the
Basel Convention and to the Commission, and 2) draw up a report for the previous calendar
year based on the additional reporting questionnaire as contained in Annex X and send it to
the Commission. Member States must thus submit two reports.

It  is  further  established  that  these  reports  shall  be  submitted  to  the  Commission  in  an
electronic as well as a paper version.

Based on the reports received, the Commission is to establish reports on the implementation
of this Regulation by the Community and its Member States.

Article 55 - International co-operation

Article 55 establishes the obligation of Member States and the Commission to co-operate with
other  parties  to  the  Basel  Convention  and  inter-State  organisations,  inter  alia,  via  the
exchange  and/or  sharing  of 
the  promotion  of  environmentally  sound
technologies and the development of appropriate codes of good practice.

information, 

Article 56 - Designation of customs offices of entry into and exit from the Community

Article 56 establishes the possibility for Member States to designate customs offices of entry
into  and  exit  from  the  Community  for  shipments  of  waste  entering  and  leaving  the
Community. If Member States decide to designate such custom offices no shipment of waste
may be allowed to use any other frontier crossing points within a Member State for entering
or leaving the Community.

Article 57 - Designation of competent authority

Article 57 establishes the obligation for Member States to designate the competent authority
or authorities responsible for the application and operation of the Regulation.

36

Article 58 - Designation of correspondents

Article 58 establishes the obligation for Member States and the Commission to each designate
one  correspondent  responsible  for  informing  or  advising  persons  or  undertakings  who  or
which make enquiries.

Article 59 - Notification of and information regarding designations

Article  59  establishes  the  obligation  for  Member  States  to  notify  the  Commission  of  the
designations  of  custom  offices  of  entry  into  and  departure  from  the  Community,  competent
authorities  and  correspondents  made  pursuant  to  Articles  56,  57  and  58  respectively.  The
Commission  is  then  to  publish  lists  of  the  designated  customs  offices  of  entry  into  and
departure from the Community, competent authorities and correspondents on its web-site.

CHAPTER 2 - OTHER PROVISIONS

Article 60 - Meeting of the Correspondents

Article 60 establishes the obligation of the Commission - if so requested by Member States or
if otherwise appropriate – to periodically  hold  a  Meeting  of  the  Correspondents  to  examine
with them the questions raised by the implementation of the Regulation.

The  Meeting  of  the  Correspondents  may  issue  information  sheets  to  provide  guidance  on
issues related to the implementation, administration and enforcement of the Regulation.

Article 61 - Amendment of Annexes

Article  62  establishes  that  the  Annexes  of  this  Regulation  are  to  be  amended  by  the
Commission by means of Commission Regulations and in accordance with the procedure laid
down in Article 18 of Directive 75/442/EEC, as amended, and through the Committee for the
Adaptation to Scientific and Technical Progress on EC-Legislation on Waste.

Article 62 – Additional measure

Article  62  establishes  that  the  Commission  may  adopt  additional  measures  related  to  the
implementation, application, administration and enforcement of this Regulation and that any
such measures shall be decided in accordance with the procedure laid down in Article 18 of
Directive 75/442/EEC, as amended, and Article 5 of Decision 1999/468/EC.

Article 63 - Repeals

Article 63 establishes rules regarding repeals.

Article 64 - Transition rules

Article 64 establishes rules regarding transition.

Article 65 - Entry into force and application

Article 65 establishes a time span between date of entry into force and a date of application.
This  is  necessary  to  allow  for  the  establishment  of  the  regime  regarding  exports  of  waste
listed in Annex III and destined for recovery in non OECD countries as described in Article
38.

37

ANNEX B
Parallel listing of the proposed articles and the equivalent articles of
Council Regulation (EEC) No 259/93

Articles in proposal

Articles in Regulation (EEC) No 259/93/EEC

1 – Scope

2 – Definitions

1

2

3 – Overall procedure framework

Partly new article, 1(3)(a), 1(3)(c)

4  –  Procedure  of  prior  written  notification
and consent

2(g),  3(1),  6(1),  3(8),  7(8),  5(1),  8(1),5(3),
8(3),

5 – Notification requirements

3(2 – (6), 6(2) – (6)

6 – Contract

7 – Financial guarantee

3(6), 6(6)

27

8  –  Transmission  of  the  notification  by  the
competent authority of dispatch

New article

9  –  Acknowledgement  by  the  competent
authority of destination

4(1), 7(1)

10  –  Consent  by  the  competent  authority  of
destination, export and transit

4(2), 7(2)

11 – Conditions to a shipment

4(2)(b) and (d), 7(3)

12  –  Objections  to  shipments  destined  for
disposal

4(3)(a) – (c)

13  –  Objections  to  shipments  destined  for
recovery

7(4)(a) and (b)

14 – General notification

15 – Pre-consented recovery facilities

28

9

16  –  Provisions  regarding  interim  recovery
and disposal operations

New article

17 – Requirements following

Partly new article, 5(2) – (6), 8(2) – (6)

18 – Changes in the shipment after consent

4(4), 7(5)

19  –  Waste  to  be  accompanied  by  certain
information

4(4), 7(5)

38

20 – Waste subject to prior information

New article

21 – Prohibited to mix waste during shipment

29

22 – Protection of the environment within the
Community

Partly new article, 34

23 – Keeping of documents and information

24  –  Take-back  when  a  shipment  cannot  be
completed as intended

25  –  Costs  for  take-back  when  a  shipment
cannot be completed

35

25

33

26 – Take-back when a shipment is illegal

26(2) – (4)

27 – Costs for take-back when a shipment is
illegal

33

28 – Submission of communication

Partly new article, 7(2)

29 – Language

31

30 – Disagreement on classification issues

New article

31 – Administrative costs

32 – Shipments destined for disposal (within
the Community and with transit through third
country)

33 – Shipments destined for recovery (within
the Community and with transit through third
country)

33(1)

12

12

34  –  Application  of  this  Regulation  to
shipments within Member States

13

35  –  Export  prohibited  except  to  EFTA
countries (for disposal)

14, 18

36  –  Procedures  when  exporting  to  EFTA
countries (for disposal)

37  –  Export  prohibited  if  waste  is  listed  in
Annex V (for recovery)

15

16

38 – Procedures  when exporting waste  listed
in Annex III (for recovery)

17(1) – (3)

39  –  Exports  of  waste  listed  in  Annexes  III, 17(2), (4), (6) and (7)

39

IV and IV A (for recovery)

40 – Exports to Antarctic

41  –  Exports  to  Overseas  Countries  or
Territories

New article

New article

42  –  Ensuring  environmentally 
management in third countries

sound

Partly new article, 16(4)

43  –  Import  prohibited  except  from  EFTA  –
or  Basel  Party  country  or  with  an  agreement
in place (for disposal)

44  –  procedural  requirements  if  import  from
EFTA – or Basel Party country (for disposal)

45  –  Import  prohibited  except  from  OECD
Decision-,  EFTA-  or  Basel  Party  country  or
with an agreement in place (for recovery)

19

20

21

46  –  Procedural  requirements  if  import  from
OECD Decisions countries (for recovery)

22(1)

47  –  Procedural  requirements  if  import  from
non-OECD  Decision  country  Party  to  the
Basel Convention (for recovery)

22(2)

48  –  Imports  from  Overseas  Countries  or
Territories

New article

49 – Protection of the environment within the
Community

Partly new article, 34 and 19(4)

50 – Transit through the Community of waste
destined for disposal

51 – Transit through the Community of waste
from and/or to a non-OECD Decision country

52 – Transit through the Community of waste
from and/or to an OECD Decision country

23

23

24

53 – Enforcement in Member States

30, 26(5)

54 – Member States reporting

55 – International co-operation

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

41

40

39

40

57 – Designation of competent authority

36

58 – Designation of correspondents

37 (1)

59  –  Notification  of  and 
regarding designations

information

38

60 – Meeting of the Correspondents

37(2)

61 – Amendment of Annexes

62 – Additional measures

42(3) and (4)

New article

63 – Repeals

64 – Transition rules

65 – Entry into force

43

43

44

41

ANNEX C
LIST OF CONTRIBUTORS

The Commission has received written contributions from the following :

(cid:1)  Member States:

Austria
Belgium
Denmark
Finland
France
Germany
Ireland
Italy
Portugal
Sweden,
The Netherlands
United Kingdom.

(cid:1)  Non Governmental Organisations:

BAN, Basel Action Network
EEB, European Environmental Bureau

(cid:1)  Industry:

APME, Association of Plastics Manufacturers in Europe,
BIR, International Recycling Bureau
EFR, European Ferrous Recovery & Recycling Federation
EUROMETREC, European Metal Trade & Recycling Federation
ERPA, European Recovered Paper Association
CEMBUREAU
CEPI, Confederation of European paper industries
CGI,
CRA, Chemical Recycling Association
EURELECTRIC
EURITS, European Association for Responsible Incineration and the Treatment of Special
Waste
EUROFER, European Confederation of iron and Steel Industries
EUROMETAUX, Association Européenne des Métaux
FEAD, European Waste Management Association
ITAD, Interessengemeinschaft der thermischen Abfallbehandlungsanlagen in Deutschland
SRI, Swedish Recycling Industries Association
Stena Metall AB Group

(cid:1)  Acceeding Countries:

Czech Republic

42

2003/0139 (COD)

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on Shipments of Waste

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Articles
175(1) and 133 thereof,

Having regard to the proposal from the Commission29,

Having regard to the opinion of the European Economic and Social Committee30,

Having regard to the opinion of the Committee of the Regions31,

Acting in accordance with the procedure laid down in Article 251 of the Treaty.

Whereas:

(1)

(2)

29

30

31

32

33

34

The primary objective of the Regulation is protection of the environment and the legal
basis  is  therefore  Article  175(1)  of  the  EC  Treaty.  However,  since  the  provisions  of
Titles IV, V and VI on exports out of, imports into and transit through the Community
to  and  from  third  countries,  are  also  rules  on  international  trade,  the  legal  basis  as
regards these specific provisions is Article 133 of the EC Treaty.

Council  Regulation  (EEC)  No  259/93  of  1  February  1993  on  the  supervision  and
control of waste within, into and out of the European Community32, has already been
substantially amended several times  and requires further amendment.  It is necessary,
in  particular,  to  incorporate  in  that  Regulation  the  content  of  Commission  Decision
94/774/EC of 24 November 1994 concerning the standard consignment note  referred
to  in  Council  Regulation  (EEC)  No  259/9333  and  of  Commission  Decision
1999/412/EC of 3 June 1999 concerning a questionnaire for the reporting obligation of
Member  States  pursuant  to  Article  41(2)  of  Council  Regulation  (EEC)  No  259/9334.
Regulation (EEC) No 259/93 should therefore be replaced in the interests of clarity.

OJ C , , p. .
OJ C , , p. .
OJ C , , p. .
OJ  L  30,  6.2.1993, p.  1.  Regulation  as  last  amended  by  Commission  Regulation  (EC)  No  2557/2001
(OJ L 349, 31.12.2001, p. 1).
OJ L 310, 3.12.1994, p. 70.
OJ L 156, 23.6.1999, p. 37.

43

                                                
(3)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

35

36

37

38

39

Council Decision 93/98/EEC35 concerned the conclusion, on behalf of the Community,
of  the  Basel  Convention  of  22  March  1989  on  the  control  of  transboundary
movements of hazardous wastes and their disposal, to which the Community has been
a party since 1994. By adapting Council Regulation (EEC) No 259/93, the Council has
established rules to curtail and to control such movements designed, inter alia, to make
the existing Community system  for  the  supervision  and  control  of  waste  movements
comply with the requirements of the Basel Convention.

Council Decision 97/640/EC of 22 September 1997 concerned the approval, on behalf
of the Community, of the amendment to the Basel Convention, laid down in Decision
III/I  of  the  Conference  of  the  Parties.  By  that  amendment,  all  exports  of  hazardous
wastes destined for disposal from countries listed in Annex VII to the Convention to
countries not listed therein were prohibited, as were, with effect from 1 January 1998,
all  such  exports  of  the  hazardous  wastes  referred  to  in  Article  1(1)(a)  of  the
Convention  and  destined  for  recovery.  Council  Regulation  (EEC)  No  259/93  was
amended accordingly by Council Regulation (EC) No 120/97,36 as amended.37

The  Community  has  not  yet  signed  the  Basle  Convention  Protocol  on  Liability  and
Compensation as contained in Decision V/29 of the Conference of the Parties.

In  view  of  the  fact  that  the  Community  has  approved  OECD  Council  Decision
C(2001)107 of 14 June 2001 amending OECD Decision C(92)39/final on the control
of  transfrontier  movements  of  wastes  destined  for  recovery  operations  in  order  to
harmonise  lists  and  certain  other  requirements  with  the  Basel  Convention,  it  is
necessary to incorporate the content of that Decision in Community legislation.

The Community has signed the Stockholm Convention of 22 May 2001 on persistent
organic pollutants.

It  is  important  to  organise  and  regulate  the  supervision  and  control  of  shipments  of
wastes in a way which takes account of the need to preserve, protect and improve the
quality  of  the  environment  and  human  health  and  which  promotes  a  more  uniform
application of the Regulation throughout the Community.

It  is  important  to  bear  in  mind  the  requirement  laid  down  in  Article  4(2)(d)  of  the
Basle  Convention  that  shipments  of  hazardous  waste  are  to  be  reduced  to  the
minimum  consistent  with  environmentally  sound  and  efficient  management  of  such
waste.

It is necessary to avoid procedural duplication by recognising other EU legislation that
already  regulates  waste  of  animal  origin,  in  particular  Regulation  (EC)  No
1774/200238 laying down health rules concerning animal by-products not intended for
human  consumption  and  Regulation  (EC)  No  999/200139  laying  down  rules  for  the
spongiform
prevention, 

eradication  of 

transmissible 

control 

certain 

and 

OJ L 39, 16.2.1993, p. 1.
OJ L 22, 24.1.1997, p. 14.
Commission  Regulation  (EC)  No  2408/98,  OJ  L  298,  7.11.1998,  p.  19,  Commission  Decision
1999/816/EC, OJ L 316, 10.12.1999, p. 45 and Commission Regulation (EC) No 2557/2001, OJ 349,
31.12.2001, p. 1.
OJ L 273, 10.10.2002, p. 1.
OJ L 147, 31.5.2001, p. 1.

44

                                                
encephalopathies,  which  already  contain  equivalent  provisions  covering  the  overall
consignment,  channelling  and  movement  (collection,  transport,  handling,  processing
and  use  or  disposal,  record  keeping,  accompanying  documents  and  traceability)  of
animal  by-products  within,  into  and  out  of  the  Community  to  prevent  them  from
posing a risk to animal or public health and the environment.

(11) Account should also be taken of the requirement laid down in Directive 75/442/EEC,
as amended,40 under which Member States are to establish an integrated and adequate
network of waste disposal installations, in order to enable the Community as a whole
to  become  self-sufficient  in  waste  disposal  and  the  Member  States  to  move  towards
that aim individually, taking into account geographical circumstances or the need for
specialised installations for certain types of waste.

(12) Regard  should  also  be  had  to  the  requirement  under  Directive  75/442/EEC,  as
amended,  that  Member  States  draw  up  waste  management  plans,  as  well  as  the
possibility  allowed  for  by  that  Directive  for  Member  States  to  take  the  measures
necessary to prevent shipments of waste which are not in accordance with those plans
provided that they inform the Commission and the other Member States accordingly.

(13)

It is necessary to ensure that, in accordance with Directive 75/442/EEC, as amended,
and  other  Community  legislation  on  waste,  shipments  within  the  Community  and
imports  to  Member  States  are  managed,  throughout  the  period  of  shipment  and
including  final  disposal  or  final  recovery  in  the  country  of  destination,  without
endangering human health and without using processes or methods which could harm
the  environment.  As  regards  exports  from  the  Community,  it  is  necessary  to  ensure
that the waste is managed in an environmentally sound manner throughout the period
of shipment and including final disposal or recovery in the third country of destination.

(14) Although the supervision and control of shipments of waste within a Member State is
a  matter  for  that  country,  national  systems  concerning  shipments  of  waste  should
comply with minimum requirements in order to ensure a high level of protection of the
environment and human health.

(15)

(16)

(17)

In  the  case  of  shipments  of  hazardous  waste,  it  is  appropriate  to  ensure  optimum
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 a shipment.

In  the  case  of  shipments  of  non-hazardous  waste,  it  is  appropriate  to  ensure  a
minimum  level  of  supervision  and  control  by  requiring  that  such  shipments  be
accompanied by certain information.

In  view  of  the  need  for  a  uniform  application  of  the  Regulation  and  for  the  proper
functioning  of  the  internal  market,  it  is  necessary  in  the  interests  of  efficiency  to
require that notifications be processed through the competent authority of dispatch.

40

OJ L 194, 25.7.1975, p. 39. Directive as last mended by Commission Decision 96/350/EC (OJ L 243,
24.9.1996, p. 31).

45

                                                
(18)

(19)

(20)

(21)

It  is  also  important  to  clarify  the  system  of  financial  guarantees  or  equivalent
insurance.

It is necessary to provide procedural safeguards for the notifier, both in the interests of
legal certainty and to ensure the uniform application of the Regulation and the proper
functioning of the internal market.

In the case of shipments of waste for disposal, it should be possible for Member States
to implement the principles of proximity, priority for recovery and self-sufficiency at
Community  and  national  levels,  in  accordance  with  Directive  75/442/EEC,  as
amended,  by  taking  measures  in  accordance  with  the  Treaty  to  prohibit  generally  or
partially or to object systematically to such shipments. Member States should also be
able to ensure that the waste management facility  covered by Directive 96/61/EC, as
amended,41  concerning  integrated  pollution  prevention  and  control,  apply  Best
Available  Techniques  as  defined  in  that  Directive  and  that  the  waste  is  treated  in
accordance  with  legally  binding  environmental  protections  standards  in  relation  to
disposal operations established in Community legislation.

In the case of shipments of waste destined for recovery, Member States should be able
to  ensure  that  the  waste  management  facilities  covered  by  Directive  96/61/EC,  as
amended,42  concerning  integrated  pollution  prevention  and  control,  apply  Best
Available Techniques as defined in that Directive. Member States should also be able
to  ensure  that  waste  is  treated  in  accordance  with  legally  binding  environmental
protections  standards  in  relation  to  recovery  operations  established  in  Community
legislation  and  that  waste  is  treated  in  accordance  with  waste  management  plans
established  pursuant  to  Directive  75/442/EC,  as  amended,  with  the  purpose  of
ensuring  the  implementation  of  legally  binding  recovery  or  recycling  obligations
established in Community legislation.

(22)

The absence of mandatory waste treatments and facility requirements at the EU level
undermines  the  creation  of  a  high  level  of  environmental  protection  across  the
Community and distort the consolidation of an economically viable internal market for
recycling.  It  is  a  matter  of  urgency  to  fill  this  gap  and  to  proceed  towards  the
establishment of a Community level playing field for recycling.

(23) An obligation should be laid down to the effect that waste, hazardous as well as non-
hazardous waste, from a shipment that cannot be completed as intended is to be taken
back to the country of dispatch or disposed of or recovered in an alternative way.

(24)

It should also be made compulsory that, in the event of an illegal shipment, meaning a
shipment in infringement of this Regulation or of international or Community law, the
person  whose  action  is  the  cause  of  such  a  shipment  should  take  back  the  waste
involved or make alternative arrangements for its disposal or recovery; failing which,
the competent authorities  of  dispatch  or  destination,  as  appropriate,  should  intervene
themselves.

(25)

It is necessary to clarify the scope of the prohibition, laid down in accordance with the
Basle  Convention  in  order  to  protect  the  environment  of  the  countries  concerned,  of

41

42

OJ L 257, 10.10.1996, p. 26.
OJ L 257, 10.10.1996, p. 26.

46

                                                
(26)

(27)

(28)

(29)

(30)

(31)

(32)

exports  from  the  Community  of  any  waste  destined  for  disposal  in  a  third  country
other than an EFTA country.

It is also necessary to clarify the scope of the prohibition, also laid down in accordance
with  the  Basle  Convention  in  order  to  protect  the  environment  of  the  countries
concerned, of exports of hazardous waste destined for recovery in a country to which
the OECD Decision does not apply.  In particular, it is necessary to clarify the list of
hazardous wastes to which that prohibition applies and to ensure that it also includes
the  waste  listed  in  Annex  II  to  the  Basle  Convention,  namely  waste  collected  from
households and residues from the incineration of household waste.

Specific  arrangements  should  be  maintained  for  exports  of  non-hazardous  waste
destined  for  recovery  in  countries  to  which  the  OECD  Decision  does  not  apply  and
provision made for them to be further streamlined at a later date.

It  should  be  ensured  that  exports  from  the  Community  are  managed  in  an
environmentally sound manner throughout the period of shipment and including final
disposal or recovery in the third country of destination. A list of guidelines should be
established.

Imports  into  the  Community  of  waste  for  disposal  should  be  permitted  where  the
exporting country is a Party to the Basle Convention; imports into the Community of
waste for  recovery should  be  permitted  where the  exporting  country  is  one  to  which
the  OECD  Decision  applies  or  a  Party  to  the  Basle  Convention;  in  other  cases,
however,  imports  should  be  allowed  only  if  the  exporting  country  is  bound  by  a
bilateral  or  multilateral  agreement  or  arrangement  compatible  with  Community
legislation and in accordance with Article 11 of the Basle Convention.

Efficient  international  co-operation  regarding  control  of  shipments  of  waste  is
instrumental  in  ensuring  that  international  shipments  of  hazardous  wastes  are
controlled.  Information  exchange,  shared  responsibility  and  co-operative  efforts
between  the  Community  and  its  Member  States  and  third  countries  should  be
promoted with a view to ensuring sound management of waste. The Commission and
the  Member  States  shall  provide  timely  and  appropriate  technical  assistance  to
developing countries and countries with economies in transition to assist them, taking
into  account  their  particular  needs,  to  develop  and  strengthen  their  institutional  and
non-institutional capacity in waste management, in monitoring and controlling imports
of waste and chemicals and in prevention of illegal shipments.

This Regulation should reflect the rules regarding exports and imports of waste to and
from  the  Overseas  Countries  and  Territories,  as  laid  down  in  Council  Decision
2001/822/EC of 27 November 2001 on the association of the Overseas Countries and
Territories with the European Community.43

It must be ensured that imports into the Community are managed without endangering
human  health  and  without  using  processes  or  methods  which  could  harm  the
environment  as  required  in  Article  4  of  Directive  75/442/EEC,  as  amended,  and  in
accordance  with  Community  legislation  on  waste  throughout  the  period  of  shipment
and including final disposal or final recovery in the country of destination.

43

OJ L 314, 30.11.2001, p. 1.

47

                                                
(33) Member  States  should  provide  the  Commission  with  information  concerning  the
implementation  of  this  Regulation,  both  through  the  reports  submitted  to  the
Secretariat of the Basle Convention and on the basis of a separate questionnaire.

(34) Annexes to this Regulation shall be adopted by under the procedure of Article18 of the

Directive 75/442/EEC, as amended.

(35)

(36)

Since the measures necessary for the implementation of this Regulation are measures
of general scope within the meaning of Article 2 of Council Decision 1999/468/EC of
28  June  1999  laying  down  the  procedures  for  the  exercise  of  implementing  powers
conferred  on  the  Commission44,  they  should  be  adopted  by  use  of  the  regulatory
procedure provided for in Article 5 of that Decision.

In  accordance  with  the  principles  of  subsidiarity  and  proportionality  as  set  out  in
Article  5  of  the  Treaty,  the  objectives  of  the  proposed  action,  which  is  to  ensure
protection  of  the  environment  when  waste  is  subject  to  shipment,  cannot  be
sufficiently achieved by the Member States and can therefore, by reason of the scale
and  effects  thereof,  be  better  achieved  by  the  Community;  this  Regulation  confines
itself  to  the  minimum  required  in  order  to  achieve  those  objectives  and  does  not  go
beyond what is necessary for that purpose,

HAVE ADOPTED THIS REGULATION:

TITLE I
SCOPE AND DEFINITIONS

Article 1
- Scope

1.

2.

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

This Regulation applies to shipments of waste:

(a)

between  Member  States,  within  the  Community  or  with  transit  through  third
countries;

(b)

imported into the Community from third countries;

(c)

exported out of the Community to third countries;

(d)

in transit through the Community, in route from one third country to another.

3.

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

(a) 

the offloading to shore of waste generated by the normal operation of ships and
offshore  platforms,  including  waste  water  and  residues,  provided  that  such

44

OJ L 184, 17.7.1999, p. 23.

48

                                                
waste  is  subject  to  the  requirements  of  the  International  Convention  for  the
Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978
relating thereto (Marpol 73/78), or other binding international instruments;

(b) 

(c) 

(d) 

(e) 

shipments of waste generated on board civil aeroplanes whilst airborne, for the
duration of the flight and until landing;

shipments  of  radioactive  waste  as  defined  in  Article  2  of  Directive
92/3/Euratom of 3 February 1992, as amended;45

shipments of waste as referred to in  Article 2(1)(b)  of Directive 75/442/EEC,
as  amended,  where  such  shipments  are  already  covered  by  other  relevant
Community legislation containing similar provisions;

shipments of waste from the Antarctic into the Community and in accordance
with  the  requirements  of  the  Protocol  on  Environmental  Protection  to  the
Antarctic Treaty.

4.

The  following  applies  to  shipments  of  waste  from  the  Antarctic,  which  transit
through the Community:

Shipments  of  waste  from  the  Antarctic  to  countries  outside  the  Community  are
subject to the provisions of Articles 20 and 22.

5.

The following applies to waste listed in Annex III:

Shipments of waste listed in Annex III and destined for recovery are only subject to
the provisions of Articles 3(2) and (3), 19, 22, 24, 25, 26, 27, 34(2), 37, 39, 42 and
49.

6.

Shipments  of  waste  covered  by  Regulation  (EC)  No  1774/2002,  as  amended,
regarding  health  rules  concerning  animal  by-products  not  intended  for  human
consumption,  which  are  subject  to  similar  or  stricter  procedural  provisions  in  that
Regulation and other linked Community legislation on animal and public health are
excluded from the procedural requirements of this Regulation.

If  necessary,  within  six  months  from  the  entry  into  force  of  this  Regulation,  the
Commission  shall  adopt  guidelines  on  the  relationship  between  existing  sectoral
legislation on animal and public health and the provision of this regulation, according
to the procedure laid down in Article 18 of Directive 75/442/EEC, as amended.

For  the  purpose  of  the  second  sub-paragraph  above,  the  Committee  set  up  by
Directive  75/442/EEC,  as  amended,  shall  fully  associate  the  Committee  set  up  by
Article 33(1) of Regulation (EC) No 1774/2002, as amended, to its deliberations.

45

OJ L 35, 12. 2. 1992, p. 24.

49

                                                
For the purposes of this Regulation:

Article 2
- Definitions

1.

2.

3.

4.

5.

6.

7.

8.

9.

waste is as defined in Article 1(a) of Directive 75/442/EEC, as amended;

hazardous  waste  is  as  defined  in  Article  1(4)  of  Directive  91/689/EEC,  as
amended;46

mixture  of  wastes  means  a  waste  that  results  from  an  intentional  or  unintentional
mixing of two or more different wastes and for which no single entry exists. A single
shipment of wastes, consisting of two or more wastes, where each waste is separated,
is not a mixture of wastes;

disposal is as defined in Article 1(e) of Directive 75/442/EEC; as amended;

recovery is as defined in Article 1(f) of Directive 75/442/EEC; as amended;

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;

producer is anyone whose activities produce waste (original producer) and/or anyone
who carries out  pre-processing,  mixing  or  other  operations  resulting  in  a  change  in
the nature or composition of this waste (new producer) and as defined in Article 1(b)
of Directive 75/442/EEC, as amended;

holder is the producer of the waste or the natural or legal person who is in possession
of it and as defined in Article 1(c) of Directive 75/442/EEC, as amended;

collector  is  anyone  who  gathers,  sorts  and/or  mixes  waste  for  the  purpose  of
transport and as defined in Article 1(g) of Directive 75/442/EEC, as amended;

10.

consignee means the person or undertaking under the  jurisdiction of  the  country  of
destination to whom or to which the waste is shipped for recovery or disposal;

11.

competent authority means:

(i)

(ii)

in  the  case  of  Member  States,  the  body  designated  by  the  Member  State
concerned in accordance with Article 57; or

in the case of a non Member State that is a Party to the Basel Convention, the
body designated by that country as the competent authority for the purposes of
that Convention in accordance with Article 5 of the Convention; or

46

OJ L 377, 31.12.1991, p. 20.

50

                                                
(iii)

in the case of any country not within (i) or (ii) above, the  body that has been
designated as the competent authority by the country or region concerned or, in
the absence of any such designation, the regulatory authority for the country ,
or region, as appropriate, which has jurisdiction over transfrontier shipments of
waste for recovery or disposal or transit as the case may be;

competent  authority  of  dispatch  means  the  competent  authority  for  the  area  from
which the shipment is planned to be initiated or is initiated;

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
disposal or recovery in an area not under the national jurisdiction of any country;

competent authority of transit means the competent authority for the country through
which the shipment is planned or takes place;

country of dispatch means any country from which a shipment of waste is planned to
be initiated or is initiated;

country of destination means any country to which a shipment of waste is planned or
takes  place  for  disposal  or  recovery  therein,  or  for  the  purpose  of  loading  prior  to
disposal or recovery in an area not under national jurisdiction of any country;

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;

Overseas  Countries and Territories  means the 20  overseas  countries  and  territories
as  listed  in Annex  1A  of  Council  Decision  2001/822/EC  of  27  November  2001  on
the  association  of  the  Overseas  Countries  and  Territories  with  the  European
Community;47

customs  office  of  export  from  the  Community  is  the  customs  office  as  defined  in
Article 161(5) of Council Regulation (EEC) No 2913/92, as amended;48

customs office of exit from the Community is the customs office as defined in Article
793(2) of Commission Regulation (EEC) No 2454/93, as amended;49

customs office of entry into the Community is the customs office where waste brought
into the customs territory of the Community shall be conveyed to in accordance with
the provisions laid down in Article 38(1) of Council Regulation (EEC) No 2913/92,
as amended;50

Community means the territory of the Community;

import means any entry of waste into the territory of the Community;

OJ L 314, 30.11.2001, p. 1.
OJ L 302, 19.10.1992, p. 1
OJ L 253, 11.10.1993, p. 1.
OJ L 3, 7.1.1999, p. 23.

51

12.

13.

14.

15.

16.

17.

18.

19.

20.

21.

22.

23.

47

48

49

50

                                                
24.

a transboundary shipment means:

any shipment of waste between a country and another country; or

– 

– 

– 

– 

– 

– 

any  shipment  of  waste  between  a  country  and  Overseas  Countries  and
Territories or other areas, under the former’s protection; or

any shipment of waste between a country and any land area which is not part of
any country under international law; or

any shipment of waste between a country and the Antarctic regions; or

any  shipment  of  waste  from  one  country  which  is  planned  or  takes  place
through any of the areas described above; or

any shipment of waste within a country that is planned or takes place through
any other area of the areas described above; or

any shipment of waste which is planned or takes place in a geographic area not
under the jurisdiction of any country, to a country.

TITLE II
SHIPMENTS BETWEEN MEMBER STATES
WITHIN THE COMMUNITY OR WITH TRANSIT THROUGH THIRD
COUNTRIES

Article 3
- Overall procedural framework

1.

Shipments  of  the  following  waste  are  subject  to  the  procedure  of  prior  written
notification and consent as laid down in the provisions of this Title :

(a)

If destined for disposal operations:

(i) 

all waste

(b)

If destined for recovery operations:

(i) 

waste listed in Annex IV;

(ii) 

waste listed in Annex IV A;

(iii)  waste  not  classified  under  one  single  entry  in  either  Annex  III,  IV  or

Annex IV A;

(iv)  mixtures of waste not classified under one single entry in either Annex

III, IV or Annex IV A.

2.

Shipments of the following waste and destined for recovery are subject to the general
requirement of being accompanied by certain information as laid down in Article 19
in Chapter 2 of this Title:

52

Waste listed in Annex III.

3.

In exceptional cases the following shall apply:

4.

5.

1.

2.

For wastes listed in Annex III the relevant provisions shall be applied as if they had
been listed in Annex IV, if they display any of the hazardous characteristics listed in
Annex III of Council Directive 91/689/EEC, as amended.

These  wastes  shall  be  determined  in  accordance  with  the  procedure  laid  down  in
Article  18  of  Directive  75/442EEC,  as  amended.  Such  wastes  shall  be  listed  in
Annexes IV A and V.

Shipments  of  waste  explicitly  destined  for  laboratory  analysis  to  assess  either  its
physical  or  chemical  characteristics  or  to  determine  its  suitability  for  recovery  or
disposal operations and not exceeding 25 kg are not subject to the procedure of prior
written notification and consent as described in paragraph 1.

Instead the  procedural requirements  of  Articles  19  and  20  apply,  however  with  the
modification that only the information  listed in Article 19(1)(a)-(d) and (f) shall be
provided.

The amount of such waste excepted when explicitly destined for laboratory analysis
shall  be  determined  by  the  minimum  quantity  reasonably  needed  to  adequately
perform the analysis in each particular case, but not more than 25 kg.

Shipments of waste consisting, containing or contaminated with the chemicals listed
in  Annex  A,  B  and  C  of  the  Stockholm  Convention  of  22  May  2001  on  persistent
organic  pollutants (POPs),  as  amended,  hereinafter  the  Stockholm  Convention,  and
listed  in  Annex  VIII  are  subject  to  the  same  provisions  as  shipments  of  waste
destined for disposal.

Limit  values  for  the  chemicals  listed  in  Annex  VIII  shall  be  established  in
accordance with the procedure laid down in Article 18 of Directive 75/442/EEC, as
amended.

Chapter 1 - Prior written notification and consent

Article 4
- Procedure of prior written notification and consent

Where the notifier intends to ship waste as defined in Article 3(1)(a) or (b) from one
Member  State  to  another  Member  State  and/or  pass  it  in  transit  through  one  or
several  other  Member  States,  he/she  shall  make  a  prior  written  notification  to  and
through the competent authority of dispatch.

In the case of a shipment originating from a Member State, the notifier shall be any
natural or legal person governed by the law of that country who intends to carry out a
shipment of waste or intends to have a shipment of waste carried out and to whom
the duty to notify is assigned, that is to say, one of the persons or bodies listed below
and in accordance with the hierarchy established in this listing:

(a)

the person whose activities produced the waste; or

53

(b)

the  person  licensed  to  and  carrying  out  pre-processing,  mixing  or  other
operations changing the nature or composition of the waste prior to shipment;
or

(c)

a  licensed  collector  who,  from  various  small  quantities  of  the  same  type  of
waste stream collected from a variety of sources, has compiled the shipment;

(d) where  the  persons  specified  in  (a),  (b)  and  (c)  are  unknown,  insolvent  or
otherwise unavailable, a licensed collector or a registered dealer or broker;

(e) where  the  person  specified  in  (d)  is  unknown,  insolvent  or  otherwise

unavailable, the holder.

3.

In the case of import into the Community or transit through the Community of waste
that did not originate within a Member State, the notifier shall be any natural or legal
person under  the  jurisdiction  of that originating  country  who  intends  to  carry  out  a
shipment  of waste or  intends to have,  or who has had,  a shipment  of  waste  carried
out:

(a)

(b)

the person designated by the laws of the country of export; or, in the absence of
any such designation;

the  person  having  possession  or  legal  control  of  the  waste  or  who  had  such
possession or legal control at the time the export took place (the holder).

4.

The shipment may start after the notifier has received:

(a) written consent from the competent authority of dispatch;

(b) written consent from the competent authority of destination; and

(c) written consent from the competent authority of transit or after the 30 day time
limit  for  the  competent  authority  of  transit  referred  to  in  Article  10(1)  has
expired and tacit consent can be assumed.

5.

6.

The shipment may only be started and shall end during the period when the consents
of  all  competent  authorities  regarding  a  notification  are  valid  according  to  Article
10(4) and (5).

A  copy  of  the  notification  and  movement  documents,  including  copies  of  the
authorisations  of  the  competent  authorities  concerned,  shall  accompany  each
shipment.

Article 5
- Notification requirements

When a notification is made the following requirements shall be fulfilled:

1.

Notification and movement documents:

Notification shall be effected by means of the following documents:

54

(a)

the notification document in Annex I A; and

(b)

the movement document in Annex I B.

In  making  a  notification,  the  notifier  shall  fill  in  the  notification  document  and  the
movement document.

The notification document and the movement document shall be issued to the notifier
by the competent authority of dispatch.

2.

Information and documentation in the notification and movement documents:

The notifier shall supply on or annexed to the notification document and movement
document,  information  and  documentation  as  listed  in  Annex  II,  Part  1  and  2
respectively.

A notification shall be considered properly filled-in when the notification document
and  movement  document  are  filled  out  and  the  information  and  documentation  as
listed in Annex II, Part 1 and 2 are supplied by the notifier.

3.

Additional information and documentation:

If requested by the competent authority concerned  at  the  time when it has  received
the  notification  document  from  the  competent  authority  of  dispatch,  in  accordance
with Article 8, the notifier shall supply additional information and documentation.

A list of additional information and documentation that may be requested is listed in
Annex II, Part 3.

A  notification  shall  be  considered  properly  completed  when  the  notification
document  and  the  movement  document  are  filled-in  and  the  information  and
documentation  as  listed  in  Annex  II,  Part  1  and  2,  as  well  as  any  additional
information  and  documentation as  requested in  accordance  with  this  paragraph  and
as listed in Annex II, Part 3, are supplied by the notifier.

4.

Establishment of a contract between the notifier and the consignee:

The notifier shall establish a contract as described in Article 6 with the consignee for
the recovery or disposal of the notified waste.

The contract shall be established and legally binding at the time of notification.

Evidence of this contract shall be supplied  to the competent  authorities involved  at
the time of notification.

A copy of the contract shall be provided by the notifier or consignee upon request by
the competent authority concerned.

5.

Establishment of financial guarantee or equivalent insurance:

The notifier shall establish a financial guarantee or equivalent insurance as described
in Article 7.

55

The  financial  guarantee  or  equivalent  insurance  shall  be  established  and  legally
binding  at  the  time  of  notification  and  shall  apply  to  the  notified  shipment  at  the
latest when the shipment starts.

Evidence of this financial guarantee or equivalent insurance shall be supplied to the
competent authorities concerned at the time of notification.

6.

Coverage of the notification:

Notification shall cover all stages of the shipment – including any intermediate stage
of the shipment - from the first place of dispatch to its final destination of recovery
and/or disposal.

A notification may only cover one waste entry.

Article 6
- Contract

1.

2.

3.

4.

5.

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

The contract shall be established and legally binding at the time of notification.

The contract shall include the obligation:

–  of the notifier, in accordance with Articles 24 and 26, to  take  the  waste back if
the  shipment  has  not  been  completed  as  intended  or  if  it  has  been  effected  in
violation of this Regulation; and

–  of the consignee to  provide in  accordance with Articles17(1)(e), a  certificate for
final recovery or disposal in  accordance  with  the  notification  and  the  conditions
therein and the requirements of this Regulation.

If a shipment is destined for blending or mixing, repackaging, exchange, storage or
other  recovery  or  disposal  operations  considered  interim  and  not  final,  the  contract
shall include the obligation:

–  of  the  consignee  to  provide  in  accordance  with  Articles  16(2)(c)  and  (d)  a
certificate  for  final  recovery  or  disposal  in  accordance  with  the  notification  and
the conditions therein and the requirements of this Regulation; and

–  of  the  consignee  to  provide  a  notification  to  the  initial  competent  authority  of
dispatch in accordance with Article 16(2)(e)(ii) in cases where waste is re-shipped
to a facility located in another Member State or in a third country other than the
initial country of dispatch as described in Article 16(2)(e).

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

56

Article 7
- Financial guarantee

1.

All  shipments  of  waste  for  which  notification  is  required  are  subject  to  the
requirement of a financial guarantee(s) or equivalent insurance(s) covering:

2.

3.

4.

5.

6.

(a)

costs for transport;

(b)

costs for final disposal or final recovery; and

(c)

costs covering storage.

This also includes costs arising in the context of:

(a)

cases  where  a  shipment  cannot  be  completed  as  intended  as  referred  to  in
Article 24; and

(b)

cases where a shipment is illegal as referred to in Article 26.

The  financial  guarantee  or  equivalent  insurance  shall  be  established  and  legally
binding at the time of notification and shall apply to the shipment at the latest when
the notified shipment starts.

The financial guarantee(s) or equivalent insurance(s) shall be valid and shall cover a
notified  shipment  throughout  the  shipment  and  including  completion  of  final
recovery or disposal.

If a shipment is destined for blending or mixing, repackaging, exchange, storage or
other  recovery  or  disposal  operations  considered  interim  and  not  final,  this
requirement  may  be  fulfilled  by  the  establishment  of  a  supplementary  financial
guarantee or equivalent insurance by the consignee covering the said shipment until
completion of final recovery or disposal.

The amount of the coverage of the financial guarantee(s) or equivalent insurance(s)
shall be approved by the competent authority of dispatch.

However,  in  cases  of  import  into  the  Community,  the  competent  authority  of
destination in the Community shall approve the amount of coverage.

All competent authorities concerned shall have access to the financial guarantee(s) or
equivalent insurance(s).

Financial guarantee(s) or equivalent insurance(s) shall be released when the notifier
has  provided  proof  that  the  waste  has  reached  its  destination  and  has  been  finally
disposed of or finally recovered in an environmentally sound manner.

Such  proof  shall  be  provided  by  means  of  the  certificate  for  final  disposal  or
recovery  as  referred  to  in  Article  17(1)(e)  or  in  Article  16(2)(d)  as  regards  interim
recovery or disposal operations.

If a shipment is destined for blending or mixing, repackaging, exchange, storage or
other  recovery  or  disposal  operations  considered  interim  and  not  final  and  the
consignee  has  provided  a  supplementary  financial  guarantee(s)  or  equivalent

57

7.

8.

9.

1.

2.

3.

insurance(s), as provided for in paragraph 3, that guarantee can be released when the
notifier has provided proof that the waste has reached that destination and has been
blended  or  mixed,  repacked,  exchanged  or  stored.  Such  proof  shall  be  provided  by
means of the certificate mentioned in Article 16(2)(c).

In  case  of  a  general  notification  pursuant  to  Article  14,  financial  guarantee(s)  or
equivalent insurance(s) covering parts of the general notification may be established,
instead of one covering the entire general notification.

In such cases, the financial guarantee(s) or equivalent insurance(s) shall be applied to
the shipment at the latest when the notified shipment they cover starts.

The  financial  guarantee(s)  or  equivalent  insurance(s)  shall  be  released  when  the
notifier  provides  proof,  that  the  waste  covered  by  each  has  reached  its  destination
and  has  been  finally  disposed  of  or  finally  recovered  in  an  environmentally  sound
manner. Such proof shall be provided by means of the certificate for final disposal or
recovery as referred to in Article 17(1)(e).

A method for calculation of the financial guarantee(s) or equivalent insurance(s) may
be established in accordance with the procedure laid down in Article 18 of Directive
75/442/EEC, as amended.

Each  Member  State  shall  inform  the  Commission  and  the  other  Member  States  of
provisions established in national law pursuant to this Article.

Article 8
- Transmission of the notification by the competent authority of dispatch

Upon  receipt  of  a  properly  filled-in  notification  as  described  in  Article  5(2),  the
competent authority of dispatch shall transmit copies of the notification to the other
competent authorities concerned and to the consignee and shall inform the notifier of
the transmission.

This shall be done within 3 working days of receipt of the notification.

If the notification is not properly filled-in, the  competent authority of dispatch may
request information and documentation from the notifier in accordance with Article
5(2).

This shall be done within 3 working days of receipt of the notification.

In such cases the three-day time limit in paragraph 1 is suspended until the requested
information and documentation is received by the competent authority of dispatch.

The competent authority of dispatch may decide not to proceed with notification if it
has  immediate  objections  to  raise  against  the  shipment  in  accordance  with  Articles
12 and 13 on objections.

It shall immediately inform the notifier of these objections.

58

4.

1.

2.

3.

4.

1.

If, within 30 days of receipt of the notification, the competent authority of dispatch
has  not  transmitted  the  notification  as  required  under  paragraph  1,  it  shall,  if  so
requested by the notifier, provide a reasoned explanation.

A copy of any such reasoned explanation shall be sent to the competent  authorities
concerned.

Article 9
- Acknowledgement by the competent authority of destination

Upon  receipt  of  a  properly  completed  notification  as  defined  in  Article  5(3),  the
competent authority of destination shall send an acknowledgement to the notifier and
copies to the other competent authorities concerned and to the consignee.

This shall be done within 3 working days of receipt of the notification.

If the notification is not properly completed,  the competent authority of destination
may  request  information  and  documentation  from  the  notifier  in  accordance  with
Article 5(2) and (3).

This shall be done within 3 working days of receipt of the notification.

In such cases the three-day time limit in paragraph 1 is suspended until the requested
information and documentation is received by the competent authority of destination.

The  competent  authority  of  destination  shall  notify  the  notifier  and  the  other
competent authorities concerned of this suspension.

If, within 30 days of receipt of the notification, the competent authority of destination
has not  acknowledged the  notification  as  required  under  paragraph  1,  it  shall,  if  so
requested by the notifier, provide a reasoned explanation

A copy of any such reasoned explanation shall be sent to the competent  authorities
concerned.

Article 10
- Consent by the competent authority of destination, dispatch and transit

The  competent  authorities  of  destination,  dispatch  and  transit  shall  have  30  days
following  dispatch  of  the  acknowledgement  by  the  competent  authority  of
destination  in  accordance  with  Article  9  to  take  one  of  the  following  reasoned
decisions in writing as regards the notified shipment:

– 

– 

– 

consenting without conditions;

consenting with conditions in accordance with Article 11 on conditions; or

objecting in accordance with Articles 12 and 13 on objections.

Tacit consent may be assumed for the competent authority of transit if no objection
has been lodged within the said 30-day limit.

59

2.

3.

4.

5.

1.

2.

3.

The competent authorities of destination, dispatch and transit shall notify its decision
and the reasons therefore to the notifier in writing within the 30 days time limit, with
copies to the other competent authorities concerned.

The competent authorities of destination, dispatch and transit shall signify its written
consent by appropriately stamping, signing and dating the notification document.

A written consent to a planned shipment shall expire after one calendar year from the
date of consent as referred to in paragraph 1.

However, this does not apply:

(a)

if a shorter period is indicated by the competent authorities concerned; or

(b)

if  a  longer  period  of  up  to  two  calendar  years  is  indicated  by  the  competent
authorities  concerned  in  cases  of  shipments  involving  interim  recovery  or
disposal operations covered by Article 16(2)(d).

Tacit  consent  expires  after  one  calendar  year  after  the  expiry  of  the  30  day  period
following  the  dispatch  of  the  acknowledgement  of  the  competent  authority  of
destination in accordance with Article 9.

However,  in  cases  of  shipments  involving  interim  recovery  or  disposal  operations
covered by  Article 16(2)(d), tacit  consent expires after  two calendar  years after the
expiry  of  the  30  day  period  following  the  dispatch  of  the  acknowledgement  of  the
competent authority of destination in accordance with Article 9.

Article 11
- Conditions to a shipment

The  competent  authorities  of  dispatch,  destination  and  transit  may,  within  30  days
following  the  dispatch  of  the  acknowledgement  of  the  competent  authority  of
destination in accordance with Article 9, lay down conditions in connection to their
consent to a notified shipment.

Such  conditions  may  be  based  on  one  or  more  of  the  reasons  specified  in  either
Article  12  or  Article  13  as  regards  waste  destined  for  disposal  and  recovery
respectively.

The competent authorities of dispatch, destination and transit may also, within the 30
day  time  limit  referred  to  in  paragraph  1,  lay  down  conditions  in  respect  of  the
transport of waste within their jurisdiction.

Such transport conditions shall not be more stringent than those laid down in respect
of  similar  shipments  occurring  wholly  within  their  jurisdiction  and  shall  take  due
account of existing agreements, in particular relevant international agreements.

The competent authorities of dispatch, destination and transit may also, within the 30
day  time  limit  referred  to  in  paragraph  1,  lay  down  a  condition  that  the  written
consent  is  to  be  considered  withdrawn  if  the  financial  guarantee(s)  or  equivalent
insurance(s)  is  not  applicable  at  the  latest  when  the  notified  shipment  starts,  as
required in Articles 5(5) and 7(2).

60

4.

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

Conditions  shall  be  entered  into  or  annexed  to  the  notification  document  by  the
relevant competent authority.

Article 12
- Objections to shipments destined for disposal

1.

Where  a  notification  is  made  regarding  a  planned  shipment  of  waste  destined  for
disposal, the competent authorities of destination and dispatch may, within  30 days
following  the  dispatch  of  the  acknowledgement  of  the  competent  authority  of
destination in accordance  with Article 9, raise reasoned  objections  based  on  any or
all of the following grounds and in accordance with the Treaty:

(a)

(b)

(c)

that  it  would  not  be  in  accordance  with  measures  taken  to  implement  the
principles  of  proximity,  priority  for  recovery  and  self-sufficiency  at
Community  and  national  levels  in  accordance  with  Directive  75/442/EEC,  as
amended,  to  prohibit  generally  or  partially  or  to  object  systematically  to
shipments of waste; or

that it would not be in accordance with national laws and regulations relating to
environmental protection, public order, public safety or health protection; or

that the notifier or the consignee was previously convicted of illegal trafficking
or other illegal act in relation to environmental protection.

In this  case,  the competent  authorities of dispatch  and  destination  may  refuse
all  shipments  involving  the  person  in  question  in  accordance  with  national
legislation; or

(d)

that  the  shipment  conflicts  with  obligations  resulting  from  international
conventions  concluded  by  the  Member  State  or  Member  States  concerned  or
the Community; or

(e) while  taking  into  account  geographical  circumstances  or  the  need  for
specialised  installations  for  certain  types  of  waste  if  the  planned  shipment  is
not in accordance with Directive 75/442/EEC, as amended, especially Articles
5 and 7:

(i) 

(ii) 

in  order  to  implement  the  principle  of  self-sufficiency  at  Community
and national levels;

in  cases  where  the  installation  has  to  dispose  of  waste  from  a  nearer
source and the competent authority has given priority to this waste; or

(iii) 

in  order  to  ensure  that  shipments  are  in  accordance  with  waste
management plans; or

61

(f)

(g)

that the waste will be treated in a facility that is covered by Directive 96/61/EC
on  Integrated  Pollution  Prevention  and  Control,  as  amended,51  but  does  not
apply Best Available Techniques as defined in Article 9(4) of that Directive; or

to ensure that the waste concerned is treated in accordance with legally binding
to  disposal  operations
environmental  protections  standards 
established in Community legislation.

in  relation 

The competent authority of transit may, within 30 days following the dispatch of the
acknowledgement  of  the  competent  authority  of  destination  in  accordance  with
Article 9, raise reasoned objections based only on paragraph 1(b)-(d) and not (a), (e),
(f) and (g).

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

The competent authority of destination shall co-operate with the competent authority
of dispatch, which considers that this paragraph and not paragraph 1(a) applies, with
a view to resolving the issue bilaterally.

If there is no satisfactory solution, either Member State may refer the matter to the
Commission. The Commission will then determine the issue in accordance with the
procedure laid down in Article 18 of Directive 75/442/EEC, as amended.

If,  within  the  time  limits  of  30  days  referred  to  in  Article  10(1),  the  competent
authorities  are  satisfied  that  the  problems  giving  rise  to  their  objections  have  been
solved,  they  shall  immediately  inform  the  notifier  in  writing,  with  copies  to  the
consignee and to the other competent authorities concerned.

If  the  problems  giving  rise  to  the  objections  have  not  been  solved  within  the  time
limit of 30 days referred to in Article 10(1), the notification loses its validity and new
notification  shall  be  made,  unless  the  competent  authorities  concerned  and  the
notifier can agree otherwise.

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

Article 13
- Objections to shipments destined for recovery

Where  a  notification  is  made  regarding  a  planned  shipment  of  waste  destined  for
recovery, the competent authorities of destination and dispatch may, within 30 days
following  the  dispatch  of  the  acknowledgement  of  the  competent  authority  of
destination in accordance  with  Article  9,  raise  reasoned objections based on any or
all of the following grounds and in accordance with the Treaty:

2.

3.

4.

5.

6.

1.

51

OJ L 257, 10.10.1996, p. 26.

62

                                                
(a)

(b)

(c)

(d)

(e)

(f)

(g)

(h)

that it would not be in accordance with Directive 75/442/EEC as amended, in
particular Articles 3, 4 and 7; or

that it would not be in accordance with national laws and regulations relating to
environmental protection, public order, public safety or health protection; or

that  the  notifier  or  the  consignee  has  previously  been  convicted  of  illegal
trafficking or other illegal acts in relation to environmental protection.

In this  case, the competent authorities  of  dispatch  and  destination  may  refuse
all  shipments  involving  the  person  in  question  in  accordance  with  national
legislation; or

that  the  shipment  conflicts  with  obligations  resulting  from  international
conventions concluded by the Member State or the Member States concerned
or the Community; or

that the ratio of the recoverable and non-recoverable waste, the estimated value
of the materials to be finally recovered or the cost of the recovery and the cost
of the disposal of the non recoverable fraction do not justify the recovery under
economic and/or environmental considerations; or

that the waste will be treated in a facility that is covered by Directive 96/61/EC
on Integrated Pollution Prevention and Control, as amended, but does not apply
Best Available Techniques as defined in Article 9(4) of that Directive; or

to ensure that the waste concerned is treated in accordance with legally binding
environmental  protections  standards  in  relation  to  recovery  operations  or
legally  binding  recovery  or  recycling  obligations  established  in  Community
legislation; or

to  ensure  that  the  waste  concerned  is  treated  in  accordance  with  waste
management plans drawn-up pursuant to Article 7 of Directive 75/442/EEC, as
amended, with the  purpose  of ensuring the implementation  of legally binding
recovery or recycling obligations established in Community legislation.

2.

3.

4.

The  competent  authorities  of  transit  may,  within  30  days  following  the  dispatch  of
the  acknowledgement  of  the  competent  authority  of  destination  in  accordance  with
Article 9, raise reasoned objections to the planned shipment based on only paragraph
1(b)-(d) and not (a), (e), (f) (g) and (h).

If,  within  the  time  limits  of  30  days  referred  to  in  Article  10(1),  the  competent
authorities  are  satisfied  that  the  problems  giving  rise  to  their  objections  have  been
solved,  they  shall  immediately  inform  the  notifier  in  writing,  with  copies  to  the
consignee and to the other competent authorities concerned.

If  the  problems  giving  rise  to  the  objections  have  not  been  solved  within  the  time
limit of 30 days referred to in Article 10(1), the notification loses its validity and a
new  notification  shall be made,  unless the competent authorities  concerned  and the
notifier can agree otherwise.

63

Article 14
- General Notification

1.

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

(a)

the waste has the same physical and chemical characteristics;

(b)

the waste is shipped to the same consignee and the same facility; and

(c)

the  route  of  the  shipment  as  indicated  in  the  notification  and  movement
documents is the same.

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

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

The  competent  authorities  concerned  may  make  their  agreement  to  the  use  of  this
general  notification  procedure  subject  to  the  subsequent  supply  of  additional
information and documentation, in accordance with Article 5(2) and (3).

The competent authorities concerned shall withdraw their consent to this procedure
if:

(a)

the composition of the waste is not as notified; or

(b)

the conditions imposed on the shipment are not respected; or

(c)

the  waste  is  not  recovered  in  conformity  with  the  permit  of  the  facility  that
performs the said operation; or

(d) waste is to be shipped, or has been shipped, in a way that is not in accordance
with the information provided in or annexed to the notification document.

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

Each  shipment  shall  be  accompanied  by  a  copy  of  the  general  notification  and
movement documents, including copies of the consents to the general notification of
the competent authorities concerned.

With  the  modification  of  paragraph  1,  the  provisions  of  this  Regulation  are
applicable to all intended shipments subject to this Article.

2.

3.

4.

5.

6.

7.

64

1.

2.

3.

4.

5.

6.

Article 15
- Pre-consented recovery facilities

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

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

In case of the acceptance of a general notification in accordance with Article 14, the
time period for validity of the consent referred to in Article 10(4) may be extended to
up to three years by the competent authority of destination.

Competent  authorities  which  decide  to  pre-consent  to  a  facility  in  accordance  with
paragraphs (1)  and (2) shall inform the Commission, the OECD Secretariat  and the
competent authorities in the other Member States of:

(a)

name, number and address of the recovery facility;

(b)

description of technologies employed, including R-code(s);

(c) waste  types  in  terms  of  specific  entries  in  Annex  IV  and  IVA  to  which  the

decision applies;

(d)

total pre-authorised quantity;

(e)

the period covered;

(f)

any change in the pre-authorisation; and

(g)

any changes in the information notified.

For this purpose the form in Annex VI may be used.

Any revocations shall also be communicated as described in paragraph 3.

By way of derogation from Articles 10, 11 and 13, the consent given in accordance
with  Article  10,  conditions  imposed  in  accordance  with  Article  11  or  objections
raised  in  accordance  with  Article  13  by  the  competent  authorities  concerned  are
subject  to  a  time  limit  of  7  working  days  following  the  dispatch  of  the
acknowledgement  of  the  competent  authority  of  destination  in  accordance  with
Article 9.

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

If this is  the case  the  competent  authority  shall,  within  7  working  days,  inform  the
notifier in writing with copies to the other competent authorities concerned.

The  total  time  needed  shall  not  exceed  30  days  following  the  dispatch  of  the
acknowledgement  of  the  competent  authority  of  destination  in  accordance  with
Article 9.

65

7.

8.

1.

2.

With the modifications of paragraphs 1, 2, 5 and 6 of this Article, the provisions of
this Regulation are applicable to all intended shipments subject to this Article.

Further  conditions  and  requirements  in  relation  to  pre-consented  recovery  facilities
may  be  established  in  accordance  with  the  procedure  laid  down  in  Article  18  of
Directive 75/442/EEC, as amended.

Article 16
- Provisions regarding interim recovery and disposal operations

Shipments of wastes destined for blending or mixing, repackaging, exchange, storage
or other recovery or disposal operations considered interim and not final, hereinafter
“interim recovery or disposal operations”, are subject to the provisions in this Title.

In addition, the following provisions apply:

(a)

If wastes are destined for interim recovery or disposal operations, the facility or
facilities  where  the  subsequent  and  final  recovery  and  disposal  operation(s)
takes place shall also be indicated in the notification document.

(b) Within three days of the receipt of the wastes by the facility or facilities which
carry  out  these  interim  recovery  or  disposal  operations,  this  facility  or  these
facilities shall provide confirmation in writing, that the waste is received.

This confirmation shall be included in or annexed to the movement document.
The  said  facility  or  facilities  shall  send  signed  copies  of  the  movement
document  containing  this  confirmation  to  the  notifier  and  to  the  competent
authorities concerned.

(c) As  soon  as  possible  but  no  later  than  30  days  after  the  completion  of  the
interim  recovery  or  disposal  operations  and  no  later  than  one  calendar  year
following the receipt of the waste, the facility or facilities that carry out these
operations  shall,  under  its  or  their  responsibility,  certify  its  recovery  or
disposal.

This certificate shall be included in or annexed to the movement document.

The  said  facility  or  facilities  shall  send  copies  of  the  movement  document
containing  this  certification  to  the  notifier  and  to  the  competent  authorities
concerned.

(d) When  a  recovery  or  disposal  facility  which  carries  out  interim  recovery  or
disposal  operations  delivers  wastes  for  subsequent  and  final  recovery  or
disposal  to  a  facility  located  in  the  country  of  destination,  it  shall  obtain  as
soon as possible but no later than one calendar  year following delivery  of the
waste,  a  certificate  from  that  facility  that  subsequent  and  final  recovery  or
disposal has been completed.

The  said facility that  carries out interim recovery  or  disposal  operations  shall
promptly transmit the applicable certificate(s) to the notifier and the competent
authorities  concerned,  identifying  the  transboundary  movements  to  which  the
certificate(s) pertain.

66

(e) When  a  delivery  as  described  in  sub-paragraph  (d)  is  made  to  a  facility

respectively located:

(i) 

(ii) 

in  the  initial  country  of  dispatch,  a  new  notification  is  required  in
accordance with the provisions of this Title; or

in  another  Member  States  or  in  a  third  country  other  than  the  initial
countryof  dispatch,  a  new  notification  is  required  in  accordance  with
the provisions of this Regulation,  with the addition  that the provisions
concerning the competent authorities concerned shall also apply to the
competent authority of the initial country of dispatch.

Article 17
– Requirements following consent to a shipment

1.

After  consent  to  a  notified  shipment  by  the  competent  authorities  involved,  the
following requirements shall be fulfilled:

(a) Completion  of  the  movement  document  by  all  involved:  All  undertakings
involved shall complete the movement document at the points indicated, sign it
and retain a copy.

(b) Completion  of  the  movement  document  by  the  notifier:  Once  the  notifier  has
received  consent  from  the  competent  authorities  of  dispatch,  destination  and
transit  or,  in  relation  to  the  competent  authority  of  transit,  can  assume  tacit
consent, the notifier shall  insert  the  date  of  shipment  and  otherwise  complete
the movement document.

The  notifier  shall  send  copies  of  the  completed  movement  document  to  the
competent authorities concerned.

(c)

Prior  information  regarding  actual  commencement  of  shipment:  The  notifier
shall send copies of the then  completed movement document, as described in
sub-paragraph (b), to the competent authorities concerned and to the consignee
3 working days before the shipment starts.

(d) Written  confirmation  of  receipt  of  the  waste  by  the  consignee:  Within  three
working  days  following  the  receipt  of  the  waste,  the  consignee  shall  provide
confirmation in writing, that the waste has been received.

This confirmation shall be included in or annexed to the movement document.

The  consignee  shall  send  copies  of  the  movement  document  containing  this
confirmation to the notifier and to the competent authorities concerned.

(e) Certificate for final disposal or recovery by the consignee: As soon as possible,
but not later than 30 days after completion of recovery or disposal and not later
than  1  calendar  year  following  the  receipt  of  the  waste,  the  consignee  shall,
under his responsibility, certify final recovery or disposal.

This certificate shall be included in or annexed to the movement document.

67

2.

1.

2.

3.

1.

The  consignee  shall  send  copies  of  the  movement  document  containing  this
certification to the notifier and to the competent authorities concerned

If  a  shipment  of  waste  is  destined  for  interim  recovery  or  disposal  operations,
provisions of Article 16 shall apply.

Article 18
- Changes in the shipment after consent

Should  any  material  changes  be  made  to  the  details  and/or  conditions  of  the
consented  shipment  the  notifier  shall  inform  the  competent  authorities  concerned
immediately.

I  such  cases  a  new  notification  shall  be  made,  unless  all  the  competent  authorities
concerned  are  satisfied  that  the  proposed  changes  do  not  necessitate  a  new
notification.

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

Chapter 2 - General information requirements

Article 19
- Waste to be accompanied by certain information

Waste  as  defined  in  Article  3(2)  and  (4)  that  is  intended  to  be  shipped  from  one
Member State to another Member State and/or pass in transit through one or several
other Member States is subject to the following procedural requirements:

In  order  to  assist  the  tracking  of  shipments  of  such  waste,  the  person  under  the
jurisdiction of the country  of dispatch who  arranges the shipment,  shall ensure that
the waste is accompanied by the following information:

(a)

(b)

the name and address of the producer, the new producer or collector, the person
who arranges the shipment, the consignee and the holder(s);

the  waste  identification  code  using  the  OECD  code  in  Annex  III  and  the
European  Waste  List  code  in  Commission  Decision  2000/532/EC,  as
amended;52

(c)

the usual commercial description of the waste;

(d)

the quantity of the waste;

(e)

the  recovery  operation,  as  listed  in  Annex  II  B  to  Directive  75/442/EEC,  as
amended,  including  the  subsequent  and  final  recovery  following  exchange  or
storage, as listed in Annex II B to Directive 75/442/EEC, as amended;

(f)

the date of shipment; and

52

OJ L 226, 6.9.2000, p. 3.

68

                                                
(g)

evidence of a contract between the person who arranges the shipment and the
consignee  for  recovery  of  the  waste  which  is  legally  binding  when  the
shipment starts.

The accompanying information shall be signed by the person who arranges the
shipment before the shipment takes place and shall be signed by the holder(s)
and the consignee at the time when the waste in question is transferred to them.

The contract referred to in paragraph 1(g) shall be legally binding when the shipment
starts  and  shall  include  the  obligation  of  the  person  who  arranges  the  shipment  to
take the waste  back if  the  shipment  has  not  been  completed  as  planned  or  if  it  has
been effected in violation of this Regulation.

A copy of the contract shall be provided by the person who arranges the shipment or
the consignee upon request by the competent authority concerned.

The information shall be provided by person who arranges the shipment in the form
contained in Annex VII.

Such waste shall also be subject to the all the provisions of Directive 75/442/EEC, as
amended. It shall in particular be:

– 

– 

destined for duly authorised facilities only, authorised according to Article 10
and 11 of Directive 75/442/EEC, as amended; and

subject to the provisions of Articles 8, 12, 13 and 14 of Directive 75/442/EEC,
as amended.

For  inspection,  enforcement,  planning  and  statistical  purposes,  Member  States  may
in accordance  with  national  legislation  require information about shipments subject
to the provisions of this article.

The  information  specified  in  paragraph  1  shall  be  treated  confidentially  in
accordance with Community and national legislation.

Article 20
- Waste subject to prior information

Waste  as  defined  in  Article  3(4)  is  -  in  addition  to  the  information  requirement
described in Article 19 - subject to the following procedural requirement:

– 

the  person  who  arranges  the  shipment  shall  inform  the  competent  authorities
concerned about the shipment 3 working days before it starts.

For this submission of information, the information listed in Article 19(1)(a)-(d) and
(f) shall be provided and the form contained in Annex VII shall be applied.

2.

3.

4.

5.

6.

1.

2.

69

Chapter 3 - General requirements

Article 21
- Prohibited to mix waste during shipment

1.

2.

During  shipment  or  prior  to  recovery  or  disposal,  as  specified  on  the  notification
document,  waste  shall  not  be  mixed  with  either  waste  covered  by  a  different
notification or with waste not covered by any notification.

Paragraph 1 shall apply also to waste destined for recovery or disposal operations.

Article 22
- Protection of the environment within the Community

The producer and/or the notifier in the Community shall take all necessary steps to ensure that
any  waste  they  ship  within  the  Community  is  managed  without  endangering  human  health
and  without  using  processes  or  methods  which  could  harm  the  environment,  as  required  in
Article  4  of  Directive  75/442/EEC,  as  amended,  and  in  accordance  with  Community
legislation  on  waste  throughout  the  period  of  shipment  and  including  final  disposal  or  final
recovery in the country of destination.

Article 23
- Keeping of documents and information

1.

2.

1.

2.

All  documents  sent  to  or  by  the  competent  authorities  in  relation  to  a  notified
shipment shall be kept in the Community for at least three  years, starting  when the
shipment starts, by the competent authorities, the notifier and the consignee.

Information  given  pursuant  to  Article  19(1)  shall  be  kept  in  the  Community  for  at
least three  years, starting when the shipment  starts,  by  the person who  arranges  for
the shipment and the consignee.

Chapter 4 – Take-back obligations

Article 24
– Take-back when a shipment cannot be completed as intended

Where  a  shipment  of  waste  to  which  the  competent  authorities  concerned  have
consented  cannot  be  completed  as  intended  in  accordance  with  the  terms  of  the
notification and movement documents and/or contract referred to in Articles 5(4) and
6  and  Article  19,  the  competent  authority  of  destination  and/or  transit  as  relevant,
shall immediately inform the competent authority of dispatch.

The  competent  authority  of  dispatch  shall  ensure  that  the  waste  in  question  is
returned to its area of jurisdiction or elsewhere within the country of dispatch by the
notifier, or if impracticable by the competent authority itself.

70

3.

4.

5.

6.

7.

8.

9.

This shall be done within 90 days after it has become aware of or has been informed
in  writing  that  the  consented  shipment  cannot  be  completed  and  the  reason(s)
therefor. Such information can be submitted inter alia by other competent authorities.

The take-back obligation in paragraph 2 does not apply if the competent authority of
dispatch  is  satisfied  that  the  waste  can  be  disposed  of  or  recovered  of  in  an
alternative  way  in  the  country  of  destination  or  elsewhere  by  the  notifier  or,  if
impracticable, by the competent authority itself.

In cases of take-back as referred to in paragraph 2, a new notification shall be made
unless the competent authorities concerned agree that a duly motivated request by the
initial competent authority of dispatch is sufficient.

A  new  notification  shall  be  made  by  the  notifier  or,  if  impracticable,  by  the  initial
competent authority of dispatch.

No competent authorities shall oppose or object to the return of waste of a shipment
that cannot be completed.

In  cases  of  alternative  arrangements  outside  the  initial  country  of  destination  as
referred to in paragraph 3, a new notification shall be made by the initial notifier or,
if impracticable, by the initial competent authority of dispatch.

When  such  a  new  notification  is  made,  the  provisions  concerning  the  competent
authorities  concerned  shall  also  apply  to  the  competent  authority  of  the  initial
country of dispatch.

In cases of alternative arrangements in the initial country of destination as referred to
in paragraph 3, a new notification is not required and a duly motivated request by the
initial notifier or, if impracticable, by the initial competent authority of destination is
sufficient.

The obligation of the notifier and the subsidiary obligation of the country of dispatch
to take the waste back or arrange for alternative recovery of disposal shall end when
the consignee has issued the certificate of final disposal or recovery as referred to in
Article 17(1)(e).

Where waste of  a shipment that cannot be completed is observed within a Member
State,  the  competent  authority  with  jurisdiction  over  the  area  where  the  waste  was
observed  shall  be  responsible  for  making  arrangements  for  the  safe  storage  of  the
waste  pending  its  return  or  final  disposal  or  recovery  in  an  alternative  way  as
required in this Article.

The provisions paragraphs 1, 2, 3, 7 and 8 also apply to shipments of waste which are
subject  to  the  requirement  of  being  accompanied  by  certain  information  in
accordance with Article 19.

In such cases the person who arranges the shipment is subject to the same obligations
established in this Article as the notifier.

71

1.

2.

3.

1.

2.

Article 25
- Costs for take-back when a shipment cannot be completed

Costs  arising  from  the  return  of  waste  of  a  shipment  that  cannot  be  completed,
including its shipment, its final disposal or recovery pursuant to Article 24(2) or (3)
and storage costs pursuant to Article 24(8), shall be charged to:

(i)

the notifier, or, if impracticable;

(ii)

the competent authority of dispatch; or, if impracticable,

(iii) as otherwise agreed by the parties and the competent authorities concerned.

The provisions of this Article also apply to shipments of waste which are subject to
the  requirement  of  being  accompanied  by  certain  information  in  accordance  with
Article 19.

In such cases the person who arranges the shipment is subject to the same obligations
established in this Article as the notifier.

This  Article  is  without  prejudice  to  national  rules  or  Community  law  regarding
liability.

Article 26
– Take-back when a shipment is illegal

Where  a  competent  authority  observes  a  shipment  that  it  considers  to  be  in
infringement of this Regulation or of international or Community law, herinafter an
“illegal  shipment”,  it  shall  immediately  inform  the  other  competent  authorities
concerned and may return such a shipment.

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

(a)

taken back by the notifier de facto, or, if no notification has been made;

(b)

(c)

the  notifier  de  iure,  in  accordance  with  the  hierarchy  of  Article  4,  or,  if
impracticable;

taken  back  by  any  of  the  natural  or  legal  persons  responsible  for  the  illegal
shipment mentioned in Article 4, or, if impracticable;

(d)

taken back by the competent authority itself, or, if impracticable;

(e)

(f)

alternatively disposed of or recovered in the country of destination or dispatch
by the competent authority itself; or, if impracticable;

alternatively  disposed  of  or  recovered  in  another  country  by  the  competent
authority itself if all the competent authorities concerned agree.

This shall be done within 30 days after it has become aware of or has been informed
in writing about the illegal shipment or within such other period of time as may be

72

agreed  by  the  competent  authorities  concerned.  Such  information  can  be  submitted
inter alia by other competent authorities.

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

A new notification shall be made by the person etc. listed in (a), (b), (c) or (d) and in
accordance with that ranking.

No competent authorities shall oppose  or  object to the return  of waste of an  illegal
shipment.

In  cases  of  alternative  arrangements  as  referred  to  in  (e)  and  (f)  by  the  competent
authority  of  dispatch,  a  new  notification  shall  be  made  by  the  initial  competent
authority  of  dispatch  unless  the  competent  authorities  concerned  agree  that  a  duly
motivated request by that authority is sufficient.

3.

If an illegal shipment is the responsibility of the consignee the competent authority of
destination shall ensure that the waste in question is:

(a)

disposed  of  or  recovered  in  an  environmentally  sound  manner  by  the
consignee, or, if impracticable;

(b)

by the competent authority itself.

This shall be done within 30 days after it has become aware of or has been informed
in writing about the illegal shipment or within such other period of time as may be
agreed  by  the  competent  authorities  concerned.  Such  information  can  be  submitted
inter alia by other competent authorities.

To  this  end,  they  shall  co-operate,  as  necessary,  in  the  disposal  or  recovery  of  the
waste.

Where responsibility for the illegal shipment cannot be imputed to either the notifier
or the consignee, the competent authorities shall co-operate to ensure that the waste
in question is disposed of or recovered.

Where  the  waste  of  an  illegal  shipment  is  observed  within  a  Member  State,  the
competent  authority  with  jurisdiction  over  the  area  where  the  waste  was  observed
shall  be  responsible  for  making  arrangements  for  the  safe  storage  of  the  waste
pending its return, final disposal or final recovery.

The provisions of Articles 35 and 37 do not apply in cases where illegal shipments
are  returned  to  the  country  of  dispatch  and  that  country  of  dispatch  is  a  country
covered by the prohibitions contained in these Articles.

The provisions of this Article also apply to shipments of waste which are subject to
the  requirement  of  being  accompanied  by  certain  information  in  accordance  with
Article 19.

In such cases the person who arranges the shipment is subject to the same obligations
established in this Article as the notifier.

4.

5.

6.

7.

73

8.

9.

1.

2.

3.

4.

This  Article  is  without  prejudice  to  national  rules  or  Community  law  regarding
liability.

Guidelines  for  the  co-operation  of  competent  authorities  with  regard  to  illegal
shipments may be established in accordance with the procedure laid down in Article
18 of Directive 75/442/EEC, as amended.

Article 27
- Costs for take-back when a shipment is illegal

Costs arising  from the  return of waste of  a  shipment  that  is  in  infringement  of  this
Regulation  or  of  international  or  Community  law,  including  its  shipment,  its  final
disposal or recovery pursuant to Article 26(2)  and  storage costs pursuant  to Article
26(5), shall be charged to:

(a)

the notifier de facto, or, if no notification has been made;

(b)

(c)

the  notifier  de  iure  in  accordance  with  the  hierarchy  of  Article  4,  or,  if
impracticable;

by  any  of  the  natural  or  legal  persons  responsible  for  the  illegal  shipment
mentioned in Article 4, or, if impracticable,

(d)

by the competent authority of dispatch.

Costs  arising  from  the  final  disposal  or  recovery  pursuant  to  Article  26(3)  and
storage costs pursuant to Article 26(5) of waste of a shipment that is illegal shall be
charged to:

(a)

the consignee, or, if impracticable;

(b)

to the competent authority of destination.

Costs  arising  from  the  final  disposal  or  recovery  pursuant  to  Article  26(4)  and
including its possible shipment and storage costs pursuant to Article 26(5) of waste
of a shipment that is illegal shall be charged to:

(a)

the notifier and/or the consignee depending upon the decision by the competent
authorities involved, or, if impracticable;

(b)

to the competent authorities of dispatch and destination.

The provisions of this Article also apply to shipments of waste which are subject to
the  requirement  of  being  accompanied  by  certain  information  in  accordance  with
Article 19.

In such cases the person who arranges the shipment is subject to the same obligations
established in this Article as the notifier.

5.

This article is without prejudice to national rules or Community law on liability.

74

Chapter 5 - General administrative provisions

Article 28
- Submission of communication

1.

The information and documents listed in paragraph 3 may be submitted using any of
the following methods of communication:

(a)

by post;

(b)

by telefax;

(c)

by e-mail with digital signature; or

(d)

by e-mail without digital signature followed by post.

2.

Subject  to  the  consent  of  the  competent  authorities  concerned,  the  information  and
documents  listed  in  paragraph  3  may  be  submitted  by  means  of  electronic  data
interchange with electronic signature or electronic authentication in accordance with
Directive 1999/93/EC of the European Parliament and the Council, as amended,53 or
a  comparable  electronic  authentication  system  which  provides  the  same  level  of
security.

In such cases the competent authority of dispatch may, subject to the consent of the
other competent authorities concerned and of the notifier, carry out the submission of
communications listed in paragraph 3.

3.

The information and documents referred to in paragraph 1 are the following:

(a)

notification of a planned shipment pursuant to Articles 4 and 14;

(b)

request for information and documentation pursuant to Articles 5, 8 and 9;

(c)

submission of information and documentation pursuant the Articles 5, 8 and 9;

(d) written consent to a notified shipment pursuant to Article 10;

(e)

conditions to a shipment pursuant to Article 11;

(f)

objections to a shipment pursuant to Articles 12 and 13;

(g)

(h)

information  about  decisions  to  pre-consent  to  specific  recovery  facilities
pursuant to Article 15(3);

prior information regarding actual commencement of the shipment pursuant to
Article 17;

(i) written confirmation of receipt of the waste pursuant to Articles 16 and 17;

53

OJ L 13, 19.1.2000, p. 12.

75

                                                
(j)

certificate  for  final  recovery  or  disposal  of  the  waste  pursuant  to  Articles  16
and 17; and

(k)

information about changes in the shipment after consent pursuant to Article 18.

Article 29
- Language

1.

2.

3.

1.

2.

3.

4.

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

If  requested  by  the  competent  authorities  concerned,  the  notifier  shall  provide
authorised translation(s) into a language, which is acceptable to them.

Further  guidance  concerning  the  the  use  of  languages  may  be  determined  in
accordance with the procedure laid down in Article 18 of Directive 75/442/EEC, as
amended.

Article 30
- Disagreement on classification issues

If  the  competent  authorities  of  dispatch  and  of  destination  disagree  on  the
classification  as  regards  the  distinction  between  waste  and  non-waste,  the  subject
matter shall be considered a waste.

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

If the competent authorities of dispatch and destination disagree on the classification
of  the  waste  treatment  operation  notified  as  being  disposal  or  recovery,  the
provisions regarding disposal shall apply.

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

Article 31
- Administrative costs

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

76

Chapter 6 - Shipments within the Community and with transit via third countries

Article 32
- Shipments destined for disposal

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

(a)

(b)

in  the  case  of  parties  to  the  Basel  Convention,  within  60  days,  unless  it  has
waived this right in accordance with the terms of that Convention, or

in  the  case  of  countries  not  parties  to  the  Basel  Convention,  within  a  period
agreed between the competent authorities.

Where a shipment of waste takes place between locations within the same Member
State  with  transit  via  one  or  more  third  countries  and  is  destined  for  disposal,  the
requirements of paragraph 1 applies.

This  Article  is  without  prejudice  to  the  provisions  contained  in  Chapter  2  of  this
Title.

Article 33
- Shipments destined for recovery

When a shipment of waste takes place within the Community with transit via one or
more third countries to which the OECD Decision does not apply and is destined for
recovery, Article 32 applies.

When a shipment of waste takes place within the Community with transit via one or
more  third  countries  to  which  the  OECD  Decision  applies  and  is  destined  for
recovery, Article 32 (1) does not apply.

In such cases the consent referred to in Article 10 may be provided tacitly and if no
objection has been lodged or conditions been specified the shipment may commence
30 days after the dispatch of the acknowledgement.

Where  a  shipment  of  waste  that  takes  place  between  locations  within  the  same
Member  States  with  transit  via  one  or  more  third  countries  and  is  destined  for
recovery, the requirements of paragraph 1 and 2 applies.

This  Article  is  without  prejudice  to  the  provisions  contained  in  Chapter  2  of  this
Title.

1.

2.

3.

1.

2.

3.

4.

77

TITLE III
SHIPMENTS WITHIN MEMBER STATES

Article 34
- Application of this Regulation to shipments within Member States

The provision of Title II on shipments within the Community and Title VII on other
provisions do not apply to shipments of waste within a Member State.

Member  States  shall,  however,  establish  an  appropriate  system  for  the  supervision
and control of shipments of waste within their jurisdiction. This system should take
account  of  the  need  for  coherence  with  the  Community  system  established  by  this
Regulation.

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

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

TITLE IV
EXPORTS OUT OF THE COMMUNITY TO THIRD COUNTRIES

Chapter 1 - Waste for disposal

Article 35
- Export prohibited except to EFTA countries

All exports of waste out of the Community destined for disposal are prohibited.

The  prohibition  in  paragraph  1  does  not  apply  to  exports  of  waste  destined  for
disposal  in  EFTA  countries,  which  are  also  Parties  to  the  Basel  Convention  of  22
March  1989  on  the  control  of  transboundary  movements  of  hazardous  wastes  and
their disposal, as amended, hereinafter “the Basel Convention”.

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

(a) where the EFTA country prohibits imports of such wastes; or,

(b)

if the competent authority of dispatch has reason to believe that the waste will
not  be  managed  in  an  environmentally  sound  manner  in  the  country  of
destination concerned.

This  provision  is  without  prejudice  to  the  take-back  obligations  as  described  in
Articles 24 and 26.

1.

2.

3.

4.

1.

2.

3.

4.

78

Article 36
- Procedures when exporting to EFTA countries

1.

2.

Where waste is  exported out of the Community and destined for  disposal  in EFTA
countries parties to the Basel Convention, the provisions of Title I shall apply mutatis
mutandis with the modifications and additions listed in paragraphs 2 and 3.

The following modifications apply:

(a)

(b)

the  competent  authority  of  transit  outside  the  Community  has  60  days
following dispatch of its acknowledgement of receipt of the notification to give
written  consent,  set  conditions  and  require  additional  information  to  the
notified shipment; and

the competent authority of dispatch of the community shall take its decision to
consent to the shipment as referred to in Article 10 only after having received
written  consent  from  the  competent  authorities  of  transit  and  destination
outside the community and not earlier than 61 days following the dispatch of
the acknowledgement of the competent authority of destination.

3.

The following additional provisions apply:

(a)

(b)

(c)

(d)

(e)

(f)

– 

the  competent  authority  of  transit  in  the  Community  shall  acknowledge  the
receipt of the notification to the notifier;

the competent authorities of dispatch and transit in the Community shall send a
stamped  copy  of  their  decisions  to  consent  to  the  shipment  to  the  customs
office of export and to the customs office of exit from the Community;

a  copy  of  the  movement  document  shall  be  delivered  by  the  carrier  to  the
customs office of export and the customs office of exit from the Community;

as soon as the waste has left the Community, the customs office of exit from
the Community shall send  a stamped copy of  the movement document  to  the
competent  authority  of  dispatch  in  the  Community  stating  that  the  waste  has
left the Community;

if, 42 days after the waste has left the Community, the competent authority of
dispatch  in  the  Community  has  received  no  information  from  the  consignee
about  receipt  of  the  waste,  it  shall  inform  without  delay  the  competent
authority of destination; and

the contract referred to in Articles 5(4) and 6 shall stipulate that:

if a consignee issues an incorrect certificate of disposal with the consequence
that the financial guarantee is released, he shall bear the costs arising from the
duty to return the waste to the area of jurisdiction of the competent authority of
dispatch  and  its  disposal  or  recovery  in  an  alternative  and  environmentally
sound manner;

79

– 

– 

within  three  working  days  following  receipt  of  the  waste  for  disposal,  the
consignee shall send copies of the completed movement document, except for
the certificate of final disposal referred to in the third indent of this paragraph,
to the notifier and the competent authorities concerned; and

as soon as possible but not later than 30 days after completion of disposal and
not later than 1 calendar year following the receipt of the waste the consignee
shall, under his responsibility, certify final disposal and shall send copies of the
movement  document  containing  this  certification  to  the  notifier  and  to  the
competent authorities concerned.

4.

The shipment may only start if:

(a)

(b)

(c)

the  notifier  has  received  written  consent  from  the  competent  authorities  of
dispatch, destination and transit and if the conditions laid down are met;

a contract between the notifier and consignee is established and legally binding
as required in Articles 5(4) and 6;

a financial guarantee or equivalent insurance is established, legally binding and
applicable as required in Articles 5(5) and 7 and as required by the competent
authority of destination outside the Community or any country of transit Party
to the Basel Convention; and

(d)

environmentally sound management as described in Article 42 is ensured.

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

If  a  customs  office  of  export  or  a  customs  office  of  exit  from  the  Community
observes a shipment that does not comply with the provisions of this Regulation, it
shall:

(a)

(b)

inform  without  delay  the  competent  authority  of  dispatch  in  the  Community;
and

ensure  detention  of  the  waste  until  that  competent  authority  has  decided
otherwise and has communicated that to the customs office in writing.

Chapter 2 - Waste for recovery

Exports to non-OECD Decision countries

Article 37
- Export prohibited if waste is listed in Annex V

The  following  exports  out  of  the  Community  of  waste  destined  for  recovery  in
countries to which the decision of the OECD Council, C(2001)107/final concerning
the revision of Decision C(92)39/final on the control of transfrontier movements of
wastes  destined  for  recovery  operations,  as  amended;  hereinafter  “the  OECD
decision”, does not apply are prohibited:

80

5.

6.

1.

(a)

hazardous waste as listed in Annex V;

(b)

hazardous waste not classified under one single entry in Annex V;

(c) mixtures  of  hazardous  waste  and  mixtures  of  hazardous  waste  with  non-

hazardous waste not classified under one single entry in Annex V;

(d) waste that the country of destination has notified to be hazardous under Article

3 of the Basel Convention;

(e) waste that the country of destination has prohibited the import of; or,

(f) waste which the competent authority of dispatch has reason to believe will not
be managed in an environmentally sound manner in the country of destination
concerned.

This  provision  is  without  prejudice  to  the  take-back  obligations  as  described  in
Articles 24 and 26.

Article 38
- Procedures when exporting waste listed in Annex III

In  the  case  of  waste  which  is  listed  in  Annex  III  and  the  export  of  which  is  not
prohibited under Article 37, the Commission shall, within 20 days of the entry into
force of this Regulation, send a written request to each country to which the OECD
Decision  does  not  apply,  seeking  confirmation  in  writing  that  the  waste  may  be
exported from the Community  for  recovery  in that country, and  an indication  as  to
which control procedure, if any, would be followed in the country of destination.

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

(a)

a prohibition;

(b)

a  prior  written  notification  and  consent  procedure  as  described  in  Article  36;
and

(c)

no control in the country of destination.

Before  the  date  of  application  of  this  Regulation,  the  Commission  shall  issue  a
Regulation taking into account all replies received pursuant to paragraph 1 and shall
inform the Committee established pursuant to Article 18 of Directive 75/442/EEC, as
amended.

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

The Commission shall periodically update the Regulation adopted.

2.

1.

2.

3.

If  a  country indicates  in its  reply  that certain shipments of waste are not subject  to
any control, Article 19 shall apply mutatis mutandis to such shipments.

81

4.

1.

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

Exports to OECD-Decision countries

Article 39
- Exports of waste listed in Annexes III, IV and IV A

Where waste listed in Annexes III,  IV and  IV A is exported out of the Community
and  destined  for  recovery  in  countries  or  through  countries  to  which  the  OECD
Decision  applies,  the  provisions  of  Title  II  apply  mutatis  mutandis,  with  the
modification and additions listed in paragraphs (2) and (3).

The following modification apply:

The  consent  as  required  in  accordance  with  Article  10  may  be  provided  by  tacit
consent from the competent authority of destination outside the Community.

2.

As regards exports of waste listed in Annex  IV and IV  A, the  following  additional
provisions apply:

(a)

(b)

(c)

(d)

(e)

(f)

– 

the competent authority of dispatch shall send a stamped copy of its decision to
consent to the shipment to the custom office of exit from the Community;

the competent authorities of dispatch and transit in the Community shall send a
stamped  copy  of  their  decisions  to  consent  to  the  shipment  to  the  customs
office of export and to the customs office of exit from the Community;

a  copy  of  the  movement  document  shall  be  delivered  by  the  carrier  to  the
customs office of exit from the Community;

as soon as the waste has left the Community, the customs office of exit from
the Community shall send  a stamped copy of  the movement document  to  the
competent  authority  of  dispatch  in  the  Community  stating  that  the  waste  has
left the Community;

if, 42 days after the waste has left the Community, the competent authority of
dispatch has  received  no  information  from  the  consignee  about  receipt  of  the
waste, it shall inform without delay the country of destination; and

the contract referred to in Articles 5(4) and (6) shall stipulate that:

if a consignee issues an incorrect certificate of recovery with the consequence
that the financial guarantee is released, he shall bear the costs arising from the
duty to return the waste to the area of jurisdiction of the competent authority of
dispatch  and  its  disposal  or  recovery  in  an  alternative  and  environmentally
sound manner;

82

– 

– 

within  three  working  days  following  receipt  of  the  waste  for  recovery,  the
consignee shall send copies of the completed movement document, except for
the certificate of final recovery referred to in the third indent of this paragraph,
to the notifier and the competent authorities concerned; and

as soon as possible but not later than 30 days after completion of recovery and
not later than 1 calendar year following the receipt of the waste the consignee
shall,  under  his  responsibility,  certify  final  recovery  and  shall  send  copies  of
the movement document containing this certification to the notifier and to the
competent authorities concerned.

3.

The shipment may only start if:

(a)

(b)

(c)

the  notifier  has  received  written  consent  from  the  competent  authorities  of
dispatch,  destination  and  transit  or,  if  tacit  consent  from  the  competent
authority  of  destination  outside  the  Community  is  provided  and  can  be
assumed, and if the conditions laid down are met;

a contract between the notifier and consignee is established and legally binding
as required in Articles 5(4) and 6;

a financial guarantee or equivalent insurance is established, legally binding and
applicable as required in Articles 5(5) and 7 and as required by the competent
authority of destination outside the Community or any country of transit Party
to the Basel Convention; and

(d)

environmentally sound management as described in Article 42 is ensured.

4.

If  an  export  as  described  in  paragraph  1  of  waste  listed  in  Annex  IV  and  IV  A  is
transiting  through  a  country  to  which  the  OECD  decision  does  not  apply,  the
following modifications apply:

(a)

(b)

the competent authority of transit to which the OECD decision does not apply
has 60 days following dispatch of its acknowledgement to give written consent,
set conditions and require additional information to the notified shipment; and

the competent authority of dispatch in the Community shall take its decision to
consent to the shipment as referred to in Article 10 only after having received
written  consent  from  that  competent  authority  of  transit  to  which  the  OECD
decision does not apply and not earlier than 61 days following the dispatch of
the acknowledgement of the competent authority of destination.

5.

6.

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

If a custom office of export or a customs office of exit from the Community observes
a shipment that does not comply with the provisions of this Regulation, it shall

83

(a)

(b)

inform  without  delay  the  competent  authority  of  dispatch  in  the  Community;
and

ensure  detention  of  the  waste  until  that  competent  authority  has  decided
otherwise and has communicated that to the customs office in writing.

Chapter 3 - General provisions

Article 40
- Exports to Antarctic

Export of all waste out of the Community to Antarctic is prohibited.

1.

2.

3.

1.

2.

3.

4.

Article 41
- Exports to Overseas Countries or Territories

Exports  out  of  the  Community  of  all  waste  destined  for  disposal  in  Overseas
Countries or Territories are prohibited.

As  regards  exports  of  waste  destined  for  recovery  in  Overseas  Countries  or
Territories, the prohibition in Article 37 applies mutatis mutandis.

As  regards  exports  of  waste  destined  for  recovery  in  Overseas  Countries  or
Territories not  covered  by  the prohibition  in  paragraph  2,  the  provisions  of  Title  II
shall apply mutatis mutandis.

Article 42
- Ensuring environmentally sound management in third countries

The  producer  and  the  notifier  and  other  undertakings  involved  in  a  shipment  shall
take  all  necessary  steps  to  ensure  that  any  waste  they  ship  is  managed  in  an
environmentally sound manner throughout the period of shipment and including final
disposal or recovery in the third country of destination.

The competent authority of dispatch in the Community shall require and secure that
any waste exported is managed in an environmentally sound manner throughout the
period  of  shipment  and  including  final  disposal  or  recovery  in  the  third  country  of
destination.

The  competent  authority  of  dispatch  in  the  Community  shall  prohibit  an  export  to
third countries if it has any reason to believe that the waste will not be managed in an
environmentally sound manner throughout the period of shipment and including final
disposal or recovery in the third country of destination.

Environmentally sound management may inter alia be assumed as regards the waste
stream and recovery operation concerned, if the treatment guideline listed in Annex
IX in respect of the waste stream concerned is proved to be applied at the facility in
the third country of destination.

84

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

5.

Member States shall take all necessary steps to ensure that the obligations laid down
in paragraphs 1-3 are carried out.

85

TITLE V
IMPORTS INTO THE COMMUNITY FROM THIRD COUNTRIES

Chapter 1 - Imports of waste for disposal

Article 43
- Import prohibited except from EFTA- or Basel Party country or with an agreement in place

1.

All imports into the Community of waste destined for disposal are prohibited except
those from:

(a)

countries which are Parties to the Basel Convention; or

(b)

other countries with which the Community, or the Community and its Member
States,  have  concluded  bilateral  or  multilateral  agreements  or  arrangements
compatible  with  Community  legislation  and  in  accordance  with  Article  11  of
the Basel Convention; or,

(c)

other  countries  with  which  individual  Member  States  conclude  bilateral
agreements or arrangements in accordance with paragraph 2.

2.

In  exceptional  cases  individual  Member  States  may  conclude  bilateral  agreements
and  arrangements  for  the  disposal  of  specific  waste,  where  such  waste  will  not  be
managed in an environmentally sound manner in the country of dispatch.

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

They  shall  guarantee  that  the  disposal  operations  are  carried  out  in  an  authorised
facility and comply with the requirements for environmentally sound management.

They shall also guarantee that the waste is produced in the country of dispatch and
that  disposal  will  be  carried  out  exclusively  in  the  Member  State  which  has
concluded the agreement or arrangement.

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

Bilateral or multilateral agreements or arrangements entered into in accordance with
paragraph 1(b) and (c) shall be based upon the control procedure of Article 44.

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

3.

4.

86

Article 44
- Procedural requirements if import from EFTA- or Basel Party country

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

The following modifications apply:

1.

2.

(a)

(b)

notification  shall  be  made  through  the  competent  authority  of  dispatch  to  the
competent authority of destination by means of a notification document issued
by the competent authority of dispatch and with copies to the consignee and the
competent authorities of transit; and

the  competent  authority  of  transit  outside  the  Community  has  60  days
following dispatch of its acknowledgement of receipt of the notification to give
written  consent,  set  conditions  and  require  additional  information  to  the
notified shipment.

3.

The following additional provisions apply:

(a)

(b)

(c)

(d)

(e)

the  competent  authority  of  transit  in  the  Community  shall  acknowledge  the
receipt  of  the  notification  to  the  notifier,  with  copies  to  the  competent
authorities concerned;

the  competent  authorities  of  destination  and  transit  in  the  Community  shall
send  a  stamped  copy  of  their  decisions  to  consent  to  the  shipment  to  the
customs office of entry into the Community;

a specimen of the movement document shall be delivered by the carrier to the
customs office of entry into the Community;

as  soon  as  the  waste  enters  into  the  Community,  the  customs  office  of  entry
into the Community shall send a stamped copy of the movement document to
the  competent  authority(ies)  of  destination  and  transit  in  the  Community,
stating that the waste has entered the Community; and

a  copy  of  the  movement  document  and  if  requested  by  the  competent
authorities, a copy of the notification form, together with the stamp of consent
from  the  competent  authorities  of  dispatch,  destination  and  transit  shall
accompany each shipment.

4.

The shipment may only start if:

(a)

(b)

(c)

the  notifier  has  received  written  consent  from  the  competent  authorities  of
dispatch, destination and transit and if the conditions laid down are met;

a contract between the notifier and consignee is established and legally binding
as required in Articles 5(4) and 6;

a financial guarantee or equivalent insurance is established, legally binding and
applicable as required in Articles 5(5) and 7 and as required by the competent

87

authority of destination in the Community or any country of transit Party to the
Basel Convention; and

(d)

protection of the environment as required in Article 49 is ensured.

5.

If  a  custom  office  of  entry  into  the  Community  observes  a  shipment  that  does  not
comply with the provisions of this Regulation, it shall:

(a)

(b)

inform without delay the competent authority of destination in the Community,
who informs the competent authority of dispatch outside the Community; and

ensure  detention  of  the  waste  until  that  competent  authority  has  decided
otherwise and has communicated that to the customs office in writing.

Chapter 2 - Imports of waste for recovery

Article 45
- Import prohibited except from OECD Decision-, EFTA - or Basel Party country or with an
agreement in place

1.

All imports into the Community of waste destined for recovery are prohibited except
those from:

(a)

countries to which the OECD decision applies; or

(b)

other countries which are Parties to the Basel Convention; or

(c)

other countries with which the Community, or the Community and its Member
States,  have  concluded  bilateral  or  multilateral  agreements  or  arrangements
compatible  with  Community  legislation  and  in  accordance  with  Article  11  of
the Basel Convention; or

(d)

other  countries  with  which  individual  Member  States  conclude  bilateral
agreements or arrangements in accordance with paragraph 2.

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

In such cases the provisions of Article 43(2) apply.

Bilateral or multilateral agreements or arrangements and entered into in accordance
with paragraph 1(c) and (d) shall be based upon the control procedures of Articles 44
or 46 as relevant.

2.

3.

Article 46
- Procedural requirements if import from OECD Decision countries

1.

Where waste is imported into the Community and destined for recovery

–  from a country to which the OECD Decision applies; and/or

88

–  through countries to which the OECD Decision applies

the  provisions  of  Title  II  shall  apply  mutatis  mutandis,  with  the  modifications  and
additions listed in paragraphs 2 and 3.

2.

The following modification apply:

The  consent  as  required  in  accordance  with  Article  10  may  be  provided  by  tacit
consent from the competent authority of dispatch outside the Community.

3.

The following additional provisions apply:

(a)

(b)

(c)

the  competent  authorities  of  import  and  transit  in  the  Community  shall  send
stamped copies of their decisions to consent to a shipment to the customs office
of entry into the Community;

a  copy  of  the  movement  document  shall  be  delivered  by  the  carrier  to  the
customs office of entry into the Community; and

as  soon  as  the  waste  enters  into  the  Community,  the  customs  office  of  entry
into the community shall send a stamped copy of the movement  document to
the  competent  authority  of  destination  and  transit  in  the  Community,  stating
that the waste has entered the community.

4.

The shipment may be effected only if:

(a)

(b)

(c)

the  notifier  has  received  written  consent  from  the  competent  authorities  of
dispatch,  destination  and  transit  or,  if  tacit  consent  from  the  competent
authority of dispatch outside the Community is provided and can be assumed,
and if the conditions laid down are met;

a contract between the notifier and consignee is established and legally binding
as required in Articles 5(4) and 6;

a financial guarantee or equivalent insurance is established, legally binding and
applicable as required in Articles 5(5) and 7 and as required by the competent
authority of destination in the Community or any country of transit Party to the
Basel Convention; and

(d)

protection of the environment as required in Article 49 is ensured.

5.

If  a  custom  office  of  entry  into  the  Community  observes  a  shipment  that  does  not
comply with the provisions of this Article, it shall

(a)

(b)

inform without delay the competent authority of destination in the Community,
who informs the competent authority of dispatch outside the Community; and

ensure  detention  of  the  waste  until  that  competent  authority  has  decided
otherwise and has communicated that to the customs office in writing.

89

Article 47
- Procedural requirements if import from non-OECD Decision country Party to the Basel
Convention

Where waste is imported into the Community and destined for recovery

–  from a country to which the OECD Decision does not apply; and/or

–  through any country to which the OECD Decision does not apply and which is also Party

to the Basel Convention,

the provisions of Article 44 shall apply mutatis mutandis.

Chapter 3 - General provisions

1.

2.

3.

1.

2.

Article 48
- Imports from Overseas Countries or Territories

Where  waste  is  imported  into  the  Community  from  Overseas  Countries  or
Territories, the provisions of Title II apply mutatis mutandis.

One  or  more  Overseas  Country  and  Territory  and  the  Member  State  to  which  they
are  linked  may  apply  national  procedures  to  shipments  from  the  Overseas  Country
and Territory to that Member State.

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

Article 49
- Protection of the environment within the Community

The producer, the notifier  and other undertakings involved in  a shipment  shall take
all  necessary  steps  to  ensure  that  any  waste  they  ship  is  managed  without
endangering  human  health  and  without  using  processes  or  methods  which  could
harm the environment as required in Article 4 of Directive 75/442/EEC, as amended,
and  in  accordance  with  Community  legislation  on  waste  throughout  the  period  of
shipment and including final disposal or final recovery in the country of destination.

The  competent  authority  of  destination  in  the  Community  shall  require  and  secure
that any waste shipped into its area of jurisdiction is managed  without endangering
human  health  and  without  using  processes  or  methods  which  could  harm  the
environment  as  required  in  Article  4  of  Directive  75/442/EEC,  as  amended,  and  in
accordance with Community legislation on waste throughout the period of shipment
and including final disposal or recovery in the country of destination.

90

3.

The competent authority of destination in the Community shall prohibit an import of
waste from third countries if it has any reason to believe that the waste  will not  be
managed without endangering human health and without using processes or methods
which could harm the environment as required in Article 4 of Directive 75/442/EEC,
as amended, and in accordance with Community legislation on waste throughout the
period  of  shipment  and  including  final  disposal  or  recovery  in  the  country  of
destination.

91

TITLE VI
TRANSIT THROUGH THE COMMUNITY FROM AND TO THIRD
COUNTRIES

Chapter 1 - Waste for disposal

Article 50
– Transit through the Community of waste destined for disposal

Where  waste destined  for  disposal  is  shipped  through  a  Member  State  from  and  to
third  countries  the  provisions  of  Article  44  shall  apply  mutatis  mutandis,  with  the
modifications listed in paragraph 2.

The following modifications applies:

1.

2.

(a)

(b)

(c)

the notifier shall also send a copy of the notification to the customs offices of
entry into and exit from the Community;

the first and last competent authority of transit in the Community shall send a
stamped copy of the decisions to consent to the shipment to the customs offices
of entry into and exit from the Community respectively; and

as soon as the waste has left the Community, the customs office  of exit  from
the Community shall send a copy of the movement document to the competent
authorities  of  transit  in  the  Community,  stating  that  the  waste  has  left  the
Community.

Chapter 2 - Waste for recovery

Article 51
- Transit through the Community of waste from and/or to a non-OECD Decision country

Where  waste  destined  for  recovery  is  shipped  through  a  Member  State  from  and/or  to  a
country to which the OECD Decision does not apply, Article 50 shall apply mutatis mutandis.

1.

2.

Article 52
- Transit through the Community of waste from and/or to an OECD Decision country

Where  waste  destined  for  recovery  is  shipped  through  (a)  Member  State(s)  from
and/or to a country to which the OECD Decision applies, the provisions of Article 46
shall apply mutatis mutandis, with the modifications listed in paragraph 2.

The following modifications apply:

(a)

the notifier shall also send a copy of the notification to the customs offices of
entry into and exit from the Community;

92

(b)

(c)

the first and last competent authority of transit in the Community shall send a
stamped copy of the decisions to consent to the shipment to the customs offices
of entry into and exit from the Community respectively; and

as soon as the waste has left the Community, the customs office of exit from
the Community shall send a copy of the movement document to the competent
authorities  of  transit  in  the  Community,  stating  that  the  waste  has  left  the
Community.

93

TITLE VII
OTHER PROVISIONS

Chapter 1 – Additional obligations related to Member States

Article 53
- Enforcement in Member States

Member  States  shall  take  appropriate  legal  action  to  prevent  and  detect  illegal
shipments, including the imposition of penalties. Any such measures shall be notified
to the Commission.

Member  States  may,  by  way  of  enforcement  measures  for  this  Regulation,  make
provision  for,  inter  alia,  inspections  of  establishments  and  undertakings  in
accordance with Article 13 of Directive 75/442/EEC, and spot checks of shipments.

Checks of shipments may take place in particular:

(a)

at the point of origin, carried out together with the producer, holder or notifier;

(b)

at the destination, carried out together with the final consignee;

(c)

at the frontiers of the Community; and/or

(d) while the shipment is in transit within the Community.

Checks may include the inspection of documents, the confirmation of identity and, if
appropriate, physical checking of the waste.

Member  States  may  co-operate,  bilaterally  or  multilaterally,  with  one  another  in
order to facilitate the prevention and detection of illegal shipments.

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

Article 54
- Member States reporting

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

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

The reports drawn up by Member States in accordance with paragraph 1 and 2 shall
be submitted to the Commission in an electronic as well as a paper version.

94

1.

2.

3.

4.

5.

6.

1.

2.

3.

4.

The Commission shall, based on these reports, establish every three years reports on
the implementation of this Regulation by the Community and its Member States. To
this  end  the  Commission  may  request  additional  information  in  accordance  with
Article 6 of Directive 91/692/EEC, as amended.

Article 55
- International co-operation

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

Article 56
- Designation of customs offices of entry into and exit from the Community

Member States may designate customs offices of entry into and exit from the Community for
shipments of waste entering and leaving the Community.

If  Member  States  decide  to  designate  the  custom  offices  referred  to  in  paragraph  1,  no
shipment of waste shall be allowed to use any other frontier crossing points within a Member
State for entering or leaving the Community.

Article 57
- Designation of competent authority

Member  States  shall  designate  the  competent  authority  or  authorities  responsible  for  the
application  and  operation of this Regulation.  Only  one  single  competent  authority  of  transit
shall be designated by each Member State.

Article 58
- Designation of correspondents

Member  States  and  the  Commission  shall  each  designate  one  correspondent  responsible  for
informing  or  advising  persons  or  undertakings  who  or  which  make  enquiries.  The
Commission  correspondent  shall  forward  to  the  correspondents  of  the  Member  States  any
questions put to him/her which concern the latter, and vice versa.

Article 59
- Notification of and information regarding designations

1.

2.

Member  States  shall  notify  the  Commission  of  designations  of  custom  offices  of
entry 
the  Community,  competent  authorities  and
correspondents made pursuant to Articles 56, 57 and 58 respectively.

into  and  departure  from 

Member States shall notify the Commission of the following information in relation
to those designations

–  the name(s);

95

–  post address(es);

–  e-mail-address(es);

–  telephone number(s); and

–  telefax number(s).

3.

4.

5.

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

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

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

Chapter 2 - Other provisions

Article 60
- Meeting of the Correspondents

The  Commission  shall,  if  requested  by  Member  States  or  if  otherwise  appropriate,
periodically hold a Meeting of the Correspondents to examine with them the questions raised
by the implementation of this Regulation.

Article 61
- Amendment of Annexes

The Annexes of this Regulation shall be amended by the Commission by means of
Commission Regulations and in accordance with the procedure laid down in Article
18 of Directive 75/442/EEC, as amended.

Amendments to Annex III, IV and V shall consider changes agreed under the Basel
Convention and the OECD Decision.

Amendments to Annex V  shall, however,  also  reflect changes  agreed  on  the  list  of
hazardous  waste  adopted  in  accordance  with  Article  1(4)  of  Council  Directive
91/689/EEC on hazardous waste, as amended.

Amendments  to  Annex  IX  shall  reflect  relevant  international  conventions  and
agreements.

Article 62
– Additional measures

The  Commission  may  adopt  additional  measures  related  to  the  implementation,
application, administration and enforcement of this Regulation.

1.

2.

3.

4.

1.

96

2.

3.

1.

2.

1.

2.

3.

Such  measures  shall  be  decided  in  accordance  with  the  procedure  laid  down  in
Article  18  of  Directive  75/442/EEC,  as  amended,  and  Article  5  of  Decision
1999/468/EC54.

The period laid down in Article 5(6) of Decision 1999/468/EC shall be 30 days.

Article 63
- Repeals

The Council Regulation (EEC) No 259/93, as amended, on shipments of waste and
Commission Decision 94/774/EC concerning a standard consignment note are hereby
repealed with effect from the date of application of this Regulation.

Commission  Decision  1999/412/EC  concerning  a  questionnaire  for  the  reporting
obligation of Member States pursuant to Article 41(2) of Council Regulation (EEC)
No 259/93, as amended is repealed with effect from the 31 December following the
date of application of this Regulation.

Article 64
- Transition rules

Any shipment that has been notified to the competent authority of dispatch and has
started before the date of application of this Regulation is subject to the provisions of
Council Regulation (EEC) No 259/93, as amended.

Any  shipment  for  which  the  competent  authorities  concerned  have  given  their
consent  pursuant  to  Council  Regulation  (EEC)  No  259/93,  as  amended  shall  be
completed not later than one year from the date of application of this Regulation.

Reporting  pursuant  to  Article  41(2)  of  Council  Regulation  (EEC)  No  259/93,  as
amended and Article 54 of this Regulation for the year by which this Regulation is
applied  shall  be  based  on  the  questionnaire  contained  in  Commission  Decision
1999/412/EC.

Article 65
- Entry into force and application

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

It shall apply 10 months after publication.

54

OJ L 184, 17.7.1999, p. 23.

97

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

Done at Brussels,

For the European Parliament
The President

For the Council
The President

98

ANNEX IA

99

Notification Document for Transboundary Movements of Waste

EU

-  Notifier

1.  Exporter 
Registration N°:
Name:
Address:

Contact person:

Tel:
Email:
2.  Importer  -  Consignee
Registration N°:
Name:
Address:

Fax:

Contact person:
Tel:
Email:
8. Intended carrier(s) Registration N°:
Name(7):
Address:

Fax:

Contact person:
Tel:
Email:
Means of transport (5):
9. Waste generator(s) (1;7;8) Registration N°:
Name:
Address:

Fax:

Contact person:
Tel:
Email:
Site & process of generation (6)

10. Disposal facility (2): (cid:1)
Registration N°:
Name:
Address:

Fax:

or Recovery facility (2):

(cid:1)

Notification

3. 
N°:
Notification concerning
A.(i)
Individual shipment:
(ii) Multiple shipments:
B.(i) Disposal (1):

(cid:1)

(cid:1)
(cid:1)

(ii)
C.

Recovery :
Pre-consented recovery facility (2;3)

(cid:1)

4. Total intended number of shipments:

Yes (cid:1)

No (cid:1)

5. Total intended quantity (kg / litre) (4):
6. Intended period of time for shipment(s) (4):
First departure:
7. Packaging type(s) (5):
Special handling requirements (6):
11. Disposal / recovery operation(s) (2)
D code / R code (5) :
Technology employed (6):

Last departure:

Yes: (cid:1)

No:

(cid:1)

Reason for export (1;6):

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

13. Physical characteristics (5):

14. Waste identification (fill in relevant codes)
(i) Basel Annex VIII (or IX if applicable):
(ii) OECD code (if different from (i)):
(iii) EC list of wastes:
(iv) National code in country of export:
(v) National code in country of import:
(vi) Other (specify):
(vii) Y-code:
(viii) H-code (5):
(ix) UN class (5):
(x) UN Number:
(xi) UN Shipping name:
(xii) Customs code(s) (HS):

Contact person:
Tel:
Email:
Actual site of disposal/recovery:
15. Countries/states concerned (a), code N° of competent authorities where applicable (b), specific points of exit or entry (c)

Fax:

State of Export

State(s) of Transit (entry and exit)

State of Import

(a)
(b)
(c)
16.Customs  offices  of  entry  and/or  exit  and/or  export:
(European Community):
17. Exporter’s - Notifier's / Generator’s (1) declaration:
I certify that the information is complete and correct to my best knowledge. I also certify that legally-enforceable written contractual obligations have been
entered into and that any applicable insurance or other financial guarantee is or shall be in force covering the transboundary movement.
Name:

Signature:

Export:

Entry:

Exit:

18. Number of
annexes attached

Date:

FOR USE BY COMPETENT AUTHORITIES

19. Acknowledgement from the relevant competent
authority of countries of import - destination/ transit (1) / export - dispatch
(9):
Country:
Notification received on:
Acknowledgement sent on:
Name of competent authority:
Stamp and/or signature:

20. Written consent (1;8) to the movement provided by the

competent authority of (country):

Consent given on:
Consent valid from:
Specific conditions:
Name of competent authority:
Stamp and/or signature:

No: (cid:1)

until:

If Yes, see block 21 (6): (cid:1)

21. SPECIFIC CONDITIONS ON CONSENTING TO THE MOVEMENT OR REASONS FOR OBJECTING

(1) Required by the Basel Convention
(2) In case of R12/R13 or D13-D15 operation, also attach corresponding information
on the subsequent R1-R11 or D1-D12 facilit(y)ies when required.
(3) To be completed for movements within the OECD area and only if B(ii) applies.
(4) Attach detailed list if multiple shipments

(5) See list of abbreviations and codes on the next page
(6) Attach details if necessary
(7) Attach list if more than one
(8) If required by national legislation
(9) If applicable under the OECD Decision

100

List of Abbreviations and Codes Used in the Notification Document

D6
D7
D8

D9

DISPOSAL OPERATIONS (Block 11)
D1
D2
D3
D4
D5

Deposit into or onto land, (e.g., landfill, etc.)
Land treatment, (e.g., biodegradation of liquid or sludgy discards in soils, etc.)
Deep injection, (e.g., injection of pumpable discards into wells, salt domes or naturally occurring repositories, etc.)
Surface impoundment, (e.g., placement of liquid or sludge discards into pits, ponds or lagoons, etc.)
Specially  engineered  landfill,  (e.g.,  placement  into  lined  discrete  cells  which  are  capped  and  isolated  from  one  another  and  the
environment, etc.)
Release into a water body except seas/oceans
Release into seas/oceans including sea-bed insertion
Biological treatment not specified elsewhere in this list which results in final compounds or mixtures which are discarded by means
of any of the operations in this list
Physico- chemical treatment not specified elsewhere in this list which results in final compounds or mixtures which are discarded by
means of any of the operations in this list (e.g., evaporation, drying, calcination, etc.)
Incineration on land
Incineration at sea
Permanent storage, (e.g., emplacement of containers in a mine, etc.)
Blending or mixing prior to submission to any of the operations in this list
Repackaging prior to submission to any of the operations in this list
Storage pending any of the operations numbered in this list

Use as a fuel (other than in direct incineration) or other means to generate energy
Solvent reclamation/regeneration
Recycling/reclamation of organic substances which are not used as solvents
Recycling/reclamation of metals and metal compounds
Recycling/reclamation of other inorganic materials
Regeneration of acids or bases
Recovery of components used for pollution abatement
Recovery of components from catalysts
Used oil re-refining or other reuses of previously used oil
Land treatment resulting in benefit to agriculture or ecological improvement
Uses of residual materials obtained from any of the operations numbered R1-R10
Exchange of wastes for submission to any of the operations numbered R1-R11
Accumulation of material intended for any operation in this list.

D10
D11
D12
D13
D14
D15
RECOVERY OPERATIONS (Block 11)
R1
R2
R3
R4
R5
R6
R7
R8
R9
R10
R11
R12
R13
PACKAGING TYPES (Block 7)
1.  Drum
2.  Wooden barrel
3. 
Jerrican
4.  Box
5.  Bag
6.  Composite packaging
7.  Pressure receptacle
8.  Bulk
9.  Other (specify)
MEANS OF TRANSPORT (Block 8)
R = Road
T = Train/Rail
S = Sea
A = Air
W = Inland Waterways
PHYSICAL CHARACTERISTICS (Block 13)
1.  Powdery/powder
2.  Solid
3.  Viscous/paste
4.  Sludgy
5.  Liquid
6.  Gaseous
7.  Other (specify)

H code

Characteristics

H CODE AND UN CLASS (Block 14)
UN
Class
1
3
4.1
4.2
4.3

H1
H3
H4.1
H4.2
H4.3

Explosive
Flammable liquids
Flammable solids
Substances or wastes liable to spontaneous combustion
Substances  or  wastes  which,  in  contact  with  water,  emit
flammable gases
Oxidizing
Organic peroxides
Poisonous (acute)
Infectious substances
Corrosives
Liberation of toxic gases in contact with air or water
Toxic (delayed or chronic)
Ecotoxic
Capable, by any  means,  after  disposal of  yielding  another
material,  e.  g.,  leachate,  which  possesses  any  of  the
characteristics listed above

5.1
5.2
6.1
6.2
8
9
9
9
9

H5.1
H5.2
H6.1
H6.2
H8
H10
H11
H12
H13

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

101

ANNEX IB

102

Movement Document for Transboundary Movements of Waste

EU

/

2. Serial/total number of shipments:
4.  Importer  -  Consignee  Registration
N°:
Name:
Address:

Contact person:
Tel:
Email:
6 Actual date of shipment:

Fax:

Fax:

litre:

Number of packages:

Yes: (cid:1)

No: (cid:1)

1. Corresponding to Notification N°:
3.  Exporter 
Registration N°:
Name:
Address:

-  Notifier

Contact person:
Tel:
Email:
5. Actual quantity:
7. Packaging
Special handling requirements: (2)
8.(a) 1st Carrier (3):
Registration N°:
Name:
Address:

kg:
Type(s) (1):

Tel:
Fax:
Email:

8.(b) 2nd Carrier:
Registration N°:
Name:
Address:

Tel:
Fax:
Email:

8.(c) Last Carrier:
Registration N°:
Name:
Address:

Tel:
Fax:
Email:

More than 3 carriers (2) (cid:1)

- - - - - - - To be completed by carrier’s representativ - - - - - - -

Means of transport (1):
Date of transfer:
Signature:

9. Waste generator(s) (4;5;6):
Registration N°:
Name:
Address:

Means of transport (1):
Date of transfer:
Signature:

Means of transport (1):
Date of transfer:
Signature:

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

Contact person:
Tel:
Email:
Site of generation (2):
10. Disposal facility
Registration N°:
Name:
Address:

Fax:

13.Physical characteristics (1):

(cid:1)

or Recovery facility

(cid:1)

14.Waste identification (fill in relevant codes)
(i) Basel Annex VIII (or IX if applicable):
(ii) OECD code (if different from (i)):
(iii) EC list of wastes:
(iv) National code in country of export:
(v) National code in country of import:
(vi) Other (specify):
(vii) Y-code:
(viii) H-code (1):
(ix) UN class (1):
(x) UN Number:
(xi) UN Shipping name:
(xii) Customs code(s) (HS):

Fax:

Contact person:
Tel:
Email:
Actual site of disposal/recovery (2)
11. Disposal/recovery operation(s)
D code / R code (1):
15. Exporter’s - Notifier's / Generator’s (4) declaration:
I certify that the above information is complete and correct to my best knowledge.  I also certify that legally-enforceable  written contractual obligations have
been entered into, that any applicable insurance or other financial guarantee is in force covering the transboundary movement and that all necessary consents
have been received from the competent authorities of the countries concerned.

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

Signature:

TO BE COMPLETED BY DISPOSAL / RECOVERY FACILITY

kg:

17. Shipment received at disposal facility
Date of reception:
Quantity received:
Approximate date of disposal/recovery:
Disposal/Recovery operation (1):
Date:
Name:
Signature:

(cid:1)

or recovery facility

Accepted: (cid:1)
litre:

(cid:1)
Rejected*: (cid:1)
*immediately 
competent authorities

contact

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

Signature and stamp:

(1) See list of abbreviations and codes on the next page
(2) Attach details if necessary
(3) If more than 3 carriers, attach information as required in blocks 8 (a,b,c).

(4) Required by the Basel Convention
(5) Attach list if more than one
(6) If required by national legislation

103

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

19.  COUNTRY  OF  EXPORT  -  DISPATCH  OR  CUSTOMS  OFFICE
OF EXIT
The waste described in this movement document has left the
Country on:
Signature:
Stamp:

20.COUNTRY OF IMPORT - DESTINATION OR CUSTOMS OFFICE
OF ENTRY
The waste described in this movement document has entered
The country on:
Signature:
Stamp:

21. STAMPS OF CUSTOMS OFFICES OF TRANSIT COUNTRIES
Name of country:
Entry:

Exit:

Name of country:
Entry:

Name of country:
Entry:

Exit::

Name of country:
Entry:

Exit::

Exit::

List of Abbreviations and Codes Used in the Movement Document

DISPOSAL OPERATIONS (Block 11)
D1 Deposit into or onto land, (e.g., landfill, etc.)
D2 Land treatment (e.g. biodegradation of liquid or sludgy discards in soils, etc.)
D3 Deep injection, (e.g., injection of pumpable discards into wells, salt domes or

D4

D5

naturally occurring repositories, etc.)
Surface impoundment, (e.g., placement of liquid or sludge discards into pits,
ponds or lagoons, etc.)
Specially engineered landfill, (e.g., placement into lined discrete cells which
are capped and isolated from one another and the environment)

D6 Release into a water body except seas/oceans
D7 Release into seas/oceans including sea-bed insertion
D8 Biological treatment not specified elsewhere in this list which results

D9

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

RECOVERY OPERATIONS (Block 11)
R1 Use as a fuel (other than in direct incine-ration) or

other means to generate energy
R2
Solvent reclamation/regeneration
R3 Recycling/reclamation  of  organic 
which are not used as solvents

substances

R4 Recycling/reclamation  of  metals  and  metal

compounds

R5 Recycling/reclamation of other inorganic materials
R6 Regeneration of acids or bases
R7 Recovery  of  components  used  for  pollution

abatement

R8 Recovery of components from catalysts
R9 Used  oil  re-refining  or  other  reuses  of  previously

used oil

R10 Land  treatment  resulting  in  benefit  to  agriculture

or ecological improvement

R11 Uses  of  residual  materials  obtained  from  any  of

the operations numbered R1-R10

R12 Exchange  of  wastes  for  submission  to  any  of  the

operations numbered R1-R11
R13 Accumulation  of  material 

operation in this list

intended 

for  any

H CODE AND UN CLASS (Block 14)
UN class H code Characteristics
1
3
4.1
4.2
4.3

H1
H3
H4.1
H4.2
H4.3

D10 Incineration on land
D11 Incineration at sea
D12 Permanent storage, (e.g., emplacement of containers in a mine, etc.)
D13 Blending or mixing prior to submission to any of the operations in this list
D14 Repackaging prior to submission to any of the operations in this list
D15 Storage pending any of the operations in this list
PACKAGING TYPES (Block 7)
1.  Drum
2.  Wooden barrel
3.  Jerrican
4.  Box
5.  Bag
6.  Composite packaging
7.  Pressure receptacle
8.  Bulk
9.  Other (specify)
MEANS OF TRANSPORT (Block 8)
T = Train/Rail
R = Road
S = Sea
A = Air
W = Inland Waterways
PHYSICAL CHARACTERISTICS (Block 13)
1. Powdery / powder
2. Solid
3. Viscous / paste
4. Sludgy
(specify)

H5.1
H5.2
H6.1
H6.2
H8
H10
H11
H12
H13

5.1
5.2
6.1
6.2
8
9
9
9
9

Liquid
Gaseous
Other

5.
6.
7.

Explosive
Flammable liquids
Flammable solids
Substances or wastes liable to spontaneous combustion
Substances or wastes which, in contact with water,
emit flammable gases
Oxidizing
Organic peroxides
Poisonous (acute)
Infectious substances
Corrosives
Liberation of toxic gases in contact with air or water
Toxic (delayed or chronic)
Ecotoxic
Capable, by any means, after disposal of yielding another material,
e.  g.,  leachate,  which  possesses  any  of  the  characteristics  listed
above

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

104

ANNEX II

INFORMATION AND DOCUMENTATION RELATED TO NOTIFICATION

INFORMATION TO BE INCLUDED IN OR ANNEXED TO THE NOTIFICATION DOCUMENT:

Serial number or other accepted identifier of notification document.

Notifier name, address, telephone, telefax, e-mail and contact person.

Recovery or disposal facility name, address, telephone, telefax, e-mail, technologies
employed and possible status as pre-consented in accordance with Article 15.

If  the  waste  is  destined  for  blending  or  mixing,  repackaging,  exchange,  storage  or
other  disposal  or  recovery  operations  considered  interim,  similar  information
regarding  facilities  where  the  subsequent  and  final  recovery  or  disposal  operation
takes place or may take place, shall be indicated.

If  the  recovery  or  disposal  facility  is  listed  in  Annex  I,  Category  5  of  Directive
94/61/EC on  Integrated  Pollution Prevention and  Control,  as  amended,  evidence  of
valid  permit  issued  in  accordance  with  Article  4  and  5  of  that  Directive  shall  be
provided.

Consignee name, address, telephone, telefax, e-mail.

Intended carrier(s) and/or their agents name, address, telephone, telefax and e-mail

Country of dispatch and relevant competent authority.

Countries of transit and relevant competent authorities.

Country of destination and relevant competent authority.

Single  notification or  general notification.  If  general  notification,  period  of  validity
requested.

Date(s) foreseen for commencement of the shipment(s).

Means  of  transport,  routing  (point  of  exit  and  entry  into  and  out  of  each  country
concerned,  including  customs  offices  of  exit  and  entry  into  the  Community)  and
route (route between points of exit and entry), including possible alternatives.

Evidence of registration of the carrier regarding waste transports.

Designation  of  waste  type  on  the  appropriate  list,  the  source(s),  description,
quantity(ies), composition  and any hazardous  characteristics.  In  case of  waste  from
various sources, also a detailed inventory of the waste.

Specification of the recovery or disposal operation(s) as referred to in Annex IIA and
B of Directive 75/442/EEC, as amended.

1

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.

15.

If the waste is destined for recovery:

105

(a) 

(b) 

(c) 

(d) 

The planned method of disposal for the residual waste after recovery

The amount of recovered material in relation to the residual waste and the non-
recoverable waste

The estimated value of the recovered material

The cost of recovery and the cost of disposal of the residual waste

16.

17.

18.

19.

20.

Evidence of insurance against liability for damage to third parties.

Evidence of liability insurance for the transport vehicles.

Evidence  of  a  contract  between  the  notifier  and  consignee  for  the  treatment  of  the
waste that is established and legally binding upon notification as required in Articles
5(4) and 6.

Evidence  of  a  financial  guarantee  or  equivalent  insurance  that  is  established  and
legally binding upon notification and activated when the shipment starts, as required
in Articles 5(5) and 7.

Certification by the notifier that the information is completed and correct to the best
of his knowledge.

21.

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

106

2.

1.

2.

3.

4.

5.

6.

INFORMATION TO BE INCLUDED IN OR ANNEXED TO THE MOVEMENT DOCUMENT:

Include all information listed in part 1 above plus:

Date shipment has commenced.

Carrier(s) name, address, telephone, telefax, e-mail.

Type of packaging envisaged.

Any special precautions to be taken by carrier(s).

Declaration  by  notifier  that  no  objection  has  been  lodged  by  the  competent
authorities  of  all  countries  concerned.  This  declaration  requires  signature  of  the
notifier.

Appropriate signatures for each custody transfer.

107

3.

1.

2.

3.

4.

5.

6.

7.

8.

ADDITIONAL  INFORMATION  AND  DOCUMENTATION  THAT  MAY  BE  REQUESTED  BY
THE COMPETENT AUTHORITIES:

In the case of the notifier not being the producer, the original producer(e)s identity.

the type and duration of the authorisation under which the treatment facility operates.

Information about the measures to be taken to ensure transport safety.

The  transport  distance(s)  between  notifier  and  consignee,  including  possible
alternative routes.

Chemical analysis of the composition of the waste.

Description of the production process of the waste.

Description of the treatment process of the receiving plant

Information  about  calculation  of  the  financial  guarantee  or  equivalent  insurance  as
required in Articles 5(5) and 7.    

108

ANNEX III

List of Waste Subject to the procedure of being accompanied by certain information
("green” listed waste )55

Regardless of whether or not wastes are included on this list, they may not be subject to the
control procedure of being accompanied by  certain  information  if  they  are  contaminated  by
other  materials  to  an  extent  which  (a)  increases  the  risks  associated  with  the  wastes
sufficiently  to  render  them  appropriate  for  submission  to  the  control  procedure  of  written
notification  and  consent,  when  taking  into  account  the  hazardous  characteristics  listed  in
Annex III of Council Directive 91/689/EEC, as amended56 or (b) prevents the recovery of the
wastes in an environmentally sound manner.

PART I:

Wastes listed in Annex IX of the Basel Convention57.

For the purposes of this Regulation:

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

Any reference to list A in Annex IX of the Basel Convention shall be understood as a
reference to Annex IV of this Regulation.

In  Basel  entry  B1020  the  term  “bulk  finished  form”  includes  all  metallic  non-
dispersible58 forms of the scrap listed therein.

The part of Basel entry B1100 that refers to “Slags from copper processing” etc does
not apply and (OECD) entry GB040 in Part II applies instead.

Basel  entry B1110 does not apply and (OECD) entries GC010 and GC020 in Part  II
apply instead.

Basel entry B2050 does not apply and (OECD) entry GG040 in Part II applies instead.

The reference in Basel entry B3010 to fluorinated polymer wastes shall be deemed to
include polymers and co-polymers of fluorinated ethylene (PTFE).

The following wastes will also be subject to the procedure of being accompanied by  certain
information:

PART II:

Metal and Metal-Alloy Wastes in Metallic, Non-Dispersible6 Form

GA300

ex 811220

Chromium waste and scrap

55

56

57

58

This list originates from the OECD Decision, Appendix 3.
OJ L 377, 31.12.1991, p. 20
Annex IX of the Basel Convention is listed in this Regulation in Annex V, Part 1, List B.
“Non-dispersible”  does  not  include  any  wastes  in  the  form  of  powder,  sludge,  dust  or  solid  items
containing encased hazardous waste liquids.

109

                                                
Metal Bearing Wastes Arising from Melting, Smelting and Refining of Metals

GB040

7112
262030
262090

Slags  from  precious  metals  and  copper  processing  for  further
refining

Other Wastes Containing Metals

GC010

GC020

GC030

ex 890800

GC040

GC050

ex 8701-05
ex 8709-11

Electrical assemblies consisting only of metals or alloys

scrap 

Electronic 
(e.g.  printed  circuit  boards,  electronic
components,  wire,  etc.)  and  reclaimed  electronic  components
suitable for base and precious metal recovery

Vessels  and  other  floating  structures  for  breaking  up,  properly
emptied  of  any  cargo  and  other  materials  arising  from  the
operation  of  the  vessel  which  may  have  been  classified  as  a
dangerous substance or waste59

Motor vehicle wrecks, drained of liquids

Spent Fluid Catalytic Cracking (FCC) Catalysts (e.g.:  aluminium
oxide, zeolites)

The following metal and metal alloy wastes in metallic dispersible form:

GC090

GC100

GC110

GC120

GC130

GC140

Molybdenum

Tungsten

Tantalum

Titanium

Niobium

Rhenium

Glass Waste in Non-dispersible Form

GE020

ex 7001
ex 701939

Glass Fibre Waste

Ceramic Wastes in Non-Dispersible Form

GF010

Ceramic  wastes  which  have  been  fired  after  shaping,  including
ceramic vessels (before and/or after use)

59

The  term  “properly  emptied”  is  understood  as  presuming  full  compliance  with  internationally
recognised rules and guidelines on ship recycling.

110

                                                
Other Wastes Containing Principally Inorganic Constituents, Which May Contain Metals and
Organic Materials

GG030

ex 2621

Bottom ash and slag tap from coal fired power plants

GG040

ex 2621

Coal fired power plants fly ash

GG160

Bituminous materials  (asphalt  waste)  from  road  construction  and
maintenance, not containing tar

Solid Plastic Wastes

GH013

391530
ex 390410-40

Polymers of vinyl chloride

Textile Wastes

GJ140

ex 6310

Waste textile floor coverings, carpets

Wastes Arising from Agro-Food Industries

GM140

ex 1500

Waste  edible  fats  and  oils  of  animal  or  vegetable  origin  (e.g.
frying oils)

Wastes Arising from Tanning and Fellmongery Operations and Leather Use

GN010

ex 050200 Waste of pigs’, hogs’ or boars’ bristles and hair or of badger hair

and other brush making hair

GN020

ex 050300

Horsehair waste, whether or not put up as a layer with or without
supporting material

GN030

ex 050590 Waste  of  skins  and  other  parts  of  birds,  with  their  feathers  or
down,  of  feathers  and  parts  of  feathers  (whether  or  not  with
trimmed  edges)  and  down,  not  further  worked  than  cleaned,
disinfected or treated for preservation

111

ANNEX IV

List of Waste Subject To the procedure of written notification and consent
(“amber” listed waste)60

PART I:

Wastes listed in Annexes II and VIII of the Basel Convention61.

For the purposes of this Regulation:

(a) 

(b) 

(c) 

(d) 

Any reference to list B in Annex VIII of the Basel Convention shall be understood as a
reference to Annex III of this Regulation.

In  Basel  entry  A1010,  the  term  “excluding  such  wastes  specifically  listed  on  List  B
(Annex IX)” is a reference both to Basel entry B1020 and the note on B1020 in Annex
III to this Regulation, Part I (b).

Basel entries A1180 and A2060 do not apply and OECD entries GC010, GC020 and
GG040 in Annex III, Part II apply instead when appropriate.

Basel  entry  A4050  includes  spent  potlinings  from  aluminium  smelting  because  they
contain Y33 inorganic cyanides. If the cyanides have been destroyed, spent potlinings
are  assigned  to  Part  II  entry  AB120  because  they  contain  Y32,  inorganic  fluorine
compounds excluding calcium fluoride.

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

PART II:

Metal Bearing Wastes

AA010

261900

Dross,  scalings  and  other  wastes  from  the  manufacture  of  iron
and steel62

AA060

AA190

262050

Vanadium ashes and residues

810420

ex 8/10430

Magnesium  waste  and  scrap  that  is  flammable,  pyrophoric  or
emits,  upon  contact  with  water,  flammable  gases  in  dangerous
quantities

Wastes  Containing  Principally  Inorganic  Constituents,  Which  May  Contain  Metals  and
Organic Materials

AB030

Wastes  from  non-cyanide  based  systems  which  arise  from
surface treatment of metals

60

61

62

This list originates from the OECD Decision, Appendix 4.
Annex VIII of the Basel Convention is listed in this Regulation in Annex V, Part 1, List A.
This listing includes  wastes in the  form of ash, residue, slag,  dross,  skimming,  scaling,  dust,  powder,
sludge and cake, unless a material is expressly listed elsewhere.

112

                                                
AB070

AB120

AB130

Sands used in foundry operations

ex 281290
ex 3824

Inorganic halide compounds, not elsewhere specified or included

Used blasting grit

AB150

ex 382490

Unrefined calcium sulphite and calcium sulphate from flue gas
desulphurisation (FGD)

Wastes  Containing  Principally  Organic  Constituents,  Which  May  Contain  Metals  and
Inorganic Materials

AC020

Bituminous materials (asphalt waste) not elsewhere specified or
included

AC060

ex 381900

Hydraulic fluids

AC070

ex 381900

Brake fluids

AC080

ex 382000

Antifreeze fluids

AC150

AC160

Chlorofluorocarbons

Halons

AC170

ex 440310

Treated cork and wood wastes

AC250

Surface active agents (surfactants)

AC260

ex 3101

Liquid pig manure; faeces

AC270

Sewage sludge

Wastes Which May Contain either Inorganic or Organic Constituents

AD090

AD100

ex 382490 Wastes  from  production,  formulation  and  use  of  reprographic
and  photographic  chemicals  and  materials  not  elsewhere
specified or included

Wastes  from  non-cyanide  based  systems  which  arise  from
surface treatment of plastics

AD120

ex 391400

Ion exchange resins

ex 3915

AD150

Naturally  occurring  organic  material  used  as  a  filter  medium
(such as bio-filters)

113

Wastes Containing Principally Inorganic Constituents, Which May Contain Metals and
Organic Materials

RB020

ex 6815

Ceramic based fibres of physico-chemical characteristics similar
to those of asbestos

114

ANNEX IVA

Waste listed in Annex III but subject to the procedure of written notification and
consent (Article 3(3))

115

1.

2.

3.

4.

ANNEX V

WASTE SUBJECT TO THE EXPORT BAN IN ARTICLE 37

INTRODUCTORY NOTES

Annex  V  shall  apply  without  prejudice  to  Directive  75/442/EEC,  as  amended  by
Directive 91/156/EEC and Directive 91/689/EEC.

This Annex consists of three parts, whereby parts 2 and 3 only apply when part 1 is
not  of  application.  Consequently,  to  determine  if  a  specific  waste  is  covered  by
Annex V of this Regulation, one has to first check whether the waste features in part
1 of Annex V, if this is not the case whether it features in part 2, and if this is not the
case whether it features in part 3.

Part  1  is  divided  into  two  sub-sections:  List  A  enumerating  wastes  which  are
classified  as  hazardous  for  the  purposes  of  the  Basel  Convention  and  therefore  are
covered by the export ban and List B enumerating wastes which are not covered by
the export ban.

Thus, if a waste features in part 1, one has to check if it is enumerated in List A or in
List B. Only if a waste does not feature in either List A or List B of part 1, one has to
check if it features among the hazardous waste of part 2 or in part 3 and if this is the
case it is covered by the export ban.

Member States may make provisions, in exceptional cases, to determine, on the basis
of  documentary  evidence  provided  in  an  appropriate  way  by  the  holder,  that  a
specific hazardous waste on this Annex is excluded from the export ban referred to in
Article  37  of  this  Regulation  if  it  does  not  display  any  of  the  properties  listed  in
Annex III to Directive  91/689/EEC, taking  into account, as regards  H3 to  H8,  H10
and  H11  of  the  said  Annex,  the  limit  values  laid  down  in  Commission  Decision
2000/532/EC as amended.

In  such  a  case,  the  Member  State  concerned  shall  inform  the  envisaged  importing
country  prior  to  taking  a  decision.  Member  States  shall  notify  such  cases  to  the
Commission before the end of each calendar year. The Commission shall forward the
information to all Member States and to the Secretariat of the Basel Convention. On
the  basis  of  the  information  provided,  the  Commission  may  make  comments  and,
where appropriate, submit proposals to the Committee established pursuant to Article
18 of Directive 75/442/EEC with a view to adapting Annex V of this Regulation.

The fact that a waste is not listed as hazardous in this Annex, or that it is listed in part
1, list B, does not preclude, in exceptional cases, characterisation of such a waste as
hazardous  and  therefore  subject  to  the  export  ban  referred  to  in  Article  37  of  this
Regulation  if  it  displays  any  of  the  properties  listed  in  Annex  III  to  Directive
91/689/EEC,  taking  into  account,  as  regards  H3  to  H8,  H10  and  H11  of  the  said
Annex,  the  limit  values  laid  down  in  Commission  Decision  2000/532/EC,  as
amended,  as  provided  for  in  Article  1(4),  second  indent,  of  Directive  91/689/EEC
and in the Header of Annex III to this Regulation.

116

In  such  a  case,  the  Member  State  concerned  shall  inform  the  envisaged  importing
country  prior  to  taking  a  decision.  Member  States  shall  notify  such  cases  to  the
Commission before the end of each calendar year. The Commission shall forward the
information to all Member States and to the Secretariat of the Basel Convention. On
the  basis  of  the  information  provided,  the  Commission  may  make  comments  and,
where appropriate, submit proposals to the Committee established pursuant to Article
18 of Directive 75/442/EEC with a view to adapting Annex V of this Regulation.

117

PART 1

List A (Annex VIII to the Basel Convention)

A1

Metal and metal bearing wastes

A1010 Metal wastes and waste consisting of alloys of any of the following:

– 

– 

– 

– 

– 

Antimony

Arsenic

Beryllium

Cadmium

Lead

–  Mercury

– 

– 

– 

Selenium

Tellurium

Thallium

but excluding such wastes specifically listed on list B.

A1020 Waste  having  as  constituents  or  contaminants,  excluding  metal  waste  in  massive

form, any of the following:

– 

– 

– 

– 

– 

– 

Antimony; antimony compounds

Beryllium; beryllium compounds

Cadmium; cadmium compounds

Lead; lead compounds

Selenium; selenium compounds

Tellurium; tellurium compounds

A1030 Wastes having as constituents or contaminants any of the following:

– 

Arsenic; arsenic compounds

–  Mercury; mercury compounds

– 

Thallium; thallium compounds

A1040 Wastes having as constituents any of the following:

–  Metal carbonyls

118

– 

Hexavalent chromium compounds

A1050 Galvanic sludges

A1060 Waste liquors from the pickling of metals

A1070 Leaching residues from zinc processing, dust and sludges such as jarosite, hematite,

etc.

A1080 Waste  zinc  residues  not  included  on  list  B,  containing  lead  and  cadmium  in

concentrations sufficient to exhibit Annex III characteristics

A1090 Ashes from the incineration of insulated copper wire

A1100 Dusts and residues from gas cleaning systems of copper smelters

A1110 Spent  electrolytic  solutions  from  copper  electrorefining  and  electrowinning

operations

A1120 Waste  sludges,  excluding  anode  slimes,  from  electrolyte  purification  systems  in

copper electrorefining and electrowinning operations

A1130 Spent etching solutions containing dissolved copper

A1140 Waste cupric chloride and copper cyanide catalysts

A1150 Precious metal ash from incineration of printed circuit boards not included on list B63

A1160 Waste lead-acid batteries, whole or crushed

A1170 Unsorted waste batteries excluding mixtures of only list B batteries. Waste batteries
not specified on list B containing Annex 1 constituents to  an extent  to  render  them
hazardous.

A1180 Waste electrical and electronic assemblies or scrap64 containing components such as
accumulators  and  other  batteries  included  on  list  A,  mercury-switches,  glass  from
cathode-ray  tubes  and  other  activated  glass  and  PCB-capacitors,  or  contaminated
with Annex I constituents (e.g. cadmium, mercury, lead, polychlorinated biphenyl) to
an extent that they possess any of the characteristics contained in Annex III (note the
related entry on list B, B1110)65

A2

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

A2010 Glass waste from cathode-ray tubes and other activated glasses

A2020 Waste inorganic fluorine compounds in the form of liquids or sludges but excluding

such wastes specified on list B

63

64

65

Note that mirror entry on list B (B1160) does not specify exceptions.
This entry does not include scrap assemblies from electric power generation.
PCBs are at a contration level of 50 mg/kg or more.

119

                                                
A2030 Waste catalysts but excluding such wastes specified on list B

A2040 Waste gypsum  arising  from  chemical  industry  processes,  when  containing  Annex  I
constituents to the extent that it exhibits an Annex III hazardous characteristic (note
the related entry on list B, B2080)

A2050 Waste asbestos (dusts and fibres)

A2060 Coal-fired  power  plant  fly-ash  containing  Annex  I  substances  in  concentrations
sufficient to exhibit Annex III characteristics (note the related entry on list B, B2050)

A3

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

A3010 Waste from the production or processing of petroleum coke and bitumen

A3020 Waste mineral oils unfit for their originally intended use

A3030 Wastes  that  contain,  consist  of  or  are  contaminated  with  leaded  anti-knock

compound sludges

A3040 Waste thermal (heat transfer) fluids

A3050 Wastes  from  production,  formulation  and  use  of  resins,  latex,  plasticizers,
glues/adhesives excluding such wastes specified on list B (note the related entry on
list B, B4020)

A3060 Waste nitrocellulose

A3070 Waste phenols, phenol compounds including chlorophenol in the form of liquids or

sludges

A3080 Waste ethers not including those specified on list B

A3090 Waste  leather  dust,  ash,  sludges  and  flours  when  containing  hexavalent  chromium

compounds or biocides (note the related entry on list B, B3100)

A3100 Waste paring and other waste of leather or of composition leather not suitable for the
manufacture  of  leather  articles  containing  hexavalent  chromium  compounds  or
biocides (note the related entry on list B, B3090)

A3110 Fellmongery  wastes  containing  hexavalent  chromium  compounds  or  biocides  or

infectious substances (note the related entry on list B, B3110)

A3120 Fluff - light fraction from shredding

A3130 Waste organic phosphorous compounds

A3140 Waste non-halogenated organic solvents but excluding such wastes specified on list

B

A3150 Waste halogenated organic solvents

120

A3160 Waste  halogenated  or  unhalogenated  non-aqueous  distillation  residues  arising  from

organic solvent recovery operations

A3170 Wastes  arising  from  the  production  of  aliphatic  halogenated  hydrocarbons  (such  as
chloromethane,  dichloro-ethane,  vinyl  chloride,  vinylidene  chloride,  allyl  chloride
and epichlorhydrin)

A3180 Wastes,  substances  and  articles  containing,  consisting  of  or  contaminated  with
polychlorinated  biphenyl  (PCB),  polychlorinated  terphenyl  (PCT),  polychlorinated
naphthalene (PCN) or polybrominated biphenyl (PBB), or any other polybrominated
analogues of these compounds, at a contration level of 50 mg/kg or more66

A3190 Waste  tarry  residues  (excluding  asphalt  cements)  arising  from  refining,  distillation

and any pyrolitic treatment of organic materials

A4

Wastes which may contain either inorganic or organic constituents

A4010 Wastes  from  the  production,  preparation  and  use  of  pharmaceutical  products  but

excluding such wastes specified on list B

A4020 Clinical  and  related  wastes;  that  is  wastes  arising  from  medical,  nursing,  dental,
veterinary, or similar practices, and wastes  generated  in  hospitals  or  other  facilities
during the investigation or treatment of patients, or research projects

A4030 Wastes 

from 

and
phytopharmaceuticals,  including  waste  pesticides  and  herbicides  which  are  off-
specification, out-dated 67, or unfit for their originally intended use

and  use  of  biocides 

the  production, 

formulation 

A4040 Wastes from the manufacture, formulation and use of wood-preserving chemicals 68

A4050 Wastes that contain, consist of or are contaminated with any of the following:

– 

Inorganic  cyanides,  excepting  precious-metal-bearing  residues  in  solid  form
containing traces of inorganic cyanides

– 

Organic cyanides

A4060 Waste oils/water, hydrocarbons/water mixtures, emulsions

A4070 Wastes  from  the  production,  formulation  and  use  of  inks,  dyes,  pigments,  paints,
lacquers, varnish excluding any such waste specified on list B (note the related entry
on list B, B4010)

A4080 Wastes of an explosive nature (but excluding such wastes specified on list B)

A4090 Waste acidic or basic solutions, other than those specified in the corresponding entry

on list B (note the related entry on list B, B2120)

66

67

68

The 50 mg/kg level is considered to be an internationally practical level for all wastes. However, many
individual countries have established lower regulatory levels (e.g. 20 mg/kg) for specific wastes.
”Out-dated” means unused within the period recommended by the manufacturer.
This entry does not include wood treated with wood-preserving chemicals.

121

                                                
A4100 Wastes from industrial pollution control devices for cleaning of industrial off-gases

but excluding such wastes specified on list B

A4110 Wastes that contain, consist of or are contaminated with any of the following:

– 

– 

any congenor of polychlorinated dibenzo-furan

any congenor of polychlorinated dibenzo-dioxin

A4120 Wastes that contain, consist of or are contaminated with peroxides

A4130 Waste  packages  and  containers  containing  Annex  I  substances  in  concentrations

sufficient to exhibit Annex III hazard characteristics

A4140 Waste  consisting  of  or  containing  off-specification  or  out-dated69  chemicals

corresponding to Annex I categories and exhibiting Annex III hazard characteristics

A4150 Waste  chemical  substances  arising  from  research  and  development  or  teaching
activities which are not identified and/or are new and whose effects on human health
and/or the environment are not known

A4160 Spent activated carbon not included on list B (note the related entry on list B, B2060)

69

“Out-dated” means unused within the period recommended by the manufacturer.

122

                                                
List B (Annex IX to the Basel Convention)

B1

Metal and metal bearing wastes

B1010 Metal and metal-alloy wastes in metallic, non-dispersible form:

– 

– 

– 

– 

– 

– 

– 

– 

Precious metals (gold, silver, the platinum group, but not mercury)

Iron and steel scrap

Copper scrap

Nickel scrap

Aluminium scrap

Zinc scrap

Tin scrap

Tungsten scrap

–  Molybdenum scrap

– 

Tantalum scrap

–  Magnesium scrap

– 

– 

– 

– 

Cobalt scrap

Bismuth scrap

Titanium scrap

Zirconium scrap

–  Manganese scrap

– 

– 

– 

– 

– 

Germanium scrap

Vanadium scrap

Scrap of Hafnium, Indium, Niobium, Rhenium and Gallium

Thorium scrap

Rare earths scrap

B1020 Clean,  uncontaminated  metal  scrap,  including  alloys,  in  bulk  finished  form  (sheet,

plate, beams, rods, etc):

– 

– 

Antimony scrap

Beryllium scrap

123

– 

– 

– 

– 

Cadmium scrap

Lead scrap (but excluding lead-acid batteries)

Selenium scrap

Tellurium scrap

B1030 Refractory metals containing residues

B1040 Scrap assemblies from electrical power generation not contaminated with lubricating

oil, PCB or PCT to an extent to render them hazardous

B1050 Mixed non-ferrous metal, heavy fraction scrap, not containing Annex I materials in

concentrations sufficient to exhibit Annex III characteristics70

B1060 Waste Selenium and Tellurium in metallic elemental form including powder

B1070 Waste of copper and copper alloys in dispersible form, unless they contain Annex I

constituents to an extent that they exhibit Annex III characteristics

B1080 Zinc  ash  and  residues  including  zinc  alloys  residues  in  dispersible  form  unless
containing  Annex  I  constituents  in  concentration  such  as  to  exhibit  Annex  III
characteristics or exhibiting hazard characteristic H4.371

B1090 Waste  batteries  conforming  to  a  specification,  excluding  those  made  with  lead,

cadmium or mercury

B1100 Metal-bearing wastes arising from melting, smelting and refining of metals:

– 

– 

Hard zinc spelter

Zinc-containing drosses:

– 

– 

– 

– 

– 

Galvanizing slab zinc top dross (>90 % Zn)

Galvanizing slab zinc bottom dross (>92 % Zn)

Zinc die casting dross (>85 % Zn)

Hot dip galvanizers slab zinc dross (batch) (>92 % Zn)

Zinc skimmings

– 

Aluminium skimmings (or skims) excluding salt slag

70

71

Note  that  even  where  low  level  contamination  with  Annex  I  materials  initially  exists,  subsequent
processes,  including  recycling  processes,  may  result  in  separated  fractions  containing  significantly
enhanced concentrations of those Annex I materials.
The  status  of  zinc  ash  is  currently  under  review  and  there  is  a  recommendation  with  United  Nations
Conference on Trade and Development (UNCTAD) that zinc ashes should not be dangerous goods.

124

                                                
– 

Slags from copper processing for further processing or refining not containing
arsenic,  lead  or  cadmium  to  an  extent  that  they  exhibit  Annex  III  hazard
characteristics

–  Wastes  of  refractory  linings,  including  crucibles,  originating  from  copper

smelting

– 

– 

Slags from precious metals processing for further refining

Tantalum bearing tin slags with less than 0.5 % tin

B1110 Electrical and electronic assemblies:

– 

Electronic assemblies consisting only of metals or alloys

–  Waste electrical and electronic assemblies or scrap72 (including printed circuit
boards)  not  containing  components  such  as  accumulators  and  other  batteries
included  on  list  A,  mercury-switches,  glass  from  cathode-ray  tubes  and  other
activated  glass  and  PCB-capacitors,  or  not  contaminated  with  Annex  I
constituents  (e.g.  cadmium,  mercury,  lead,  polychlorinated  biphenyl)  or  from
which these have been  removed, to  an extent  that they  do  not  possess  any  of
the  characteristics  contained  in  Annex  III  (note  the  related  entry  on  list  A,
A1180)

– 

Electrical  and  electronic  assemblies  (including  printed  circuit  boards,
electronic  components  and  wires)  destined  for  direct  re-use73  and  not  for
recycling or final disposal74

B1120 Spent catalysts excluding liquids used as catalysts, containing any of:

–

Transition Metals, excluding waste
catalysts (spent catalysts, liquid
used catalysts or other catalysts)
on list A

–

Lanthanides (rare earth metals):

Scandium
Vanadium
Manganese
Cobalt
Copper
Yttrium
Niobium
Hafnium
Tungsten

Titanium
Chromium
Iron
Nickel
Zinc
Zirconium
Molybdenum
Tantalum
Rhenium

Lanthanum
Praseodymium
Samarium
Gadolinium
Dysprosium
Erbium
Ytterbium

Cerium
Neody
Europium
Terbium
Holmium
Thulium
Lutetium

72

73

74

This entry does not include scrap from electrical power generation.
Re-use can include repair, refurbishment or upgrading, but not major reassembly.
In some countries these materials destined for direct re-use are not considered wastes.

125

                                                
B1130 Cleaned spent precious-metal-bearing catalysts

B1140 Precious-metal-bearing  residues  in  solid  form  which  contain  traces  of  inorganic

cyanides

B1150 Precious metals and alloy wastes (gold, silver, the platinum group, but not mercury)

in a dispersible, non-liquid form with appropriate packaging and labeling

B1160 Precious-metal  ash  from  the  incineration  of  printed  circuit  boards  (note  the  related

entry on list A, A1150)

B1170 Precious-metal ash from the incineration of photographic film

B1180 Waste photographic film containing silver halides and metallic silver

B1190 Waste photographic paper containing silver halides and metallic silver

B1200 Granulated slag arising from the manufacture of iron and steel

B1210 Slag  arising  from  the  manufacture  of  iron  and  steel  including  slags  as  a  source  of

TiO² and Vanadium

B1220 Slag from zinc production, chemically stabilized, having a high iron content (above
20%) and processed according to industrial specifications (e.g. DIN 4301) mainly for
construction

B1230 Mill scaling arising from the manufacture of iron and steel

B1240 Copper oxide mill-scale

B2

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

B2010 Wastes from mining operations in non-dispersible form:

– 

– 

Natural graphite waste

Slate  waste,  whether  or  not  roughly  trimmed  or  merely  cut,  by  sawing  or
otherwise

–  Mica waste

– 

– 

– 

– 

Leucite, nepheline and nepheline syenite waste

Feldspar waste

Fluorspar waste

Silica wastes in solid form excluding those used in foundry operations

B2020 Glass waste in non-dispersible form:

126

– 

Cullet  and  other  waste  and  scrap  of  glass  except  for  glass  from  cathode-ray
tubes and other activated glasses

B2030 Ceramic wastes in non-dispersible form:

– 

– 

Cermet wastes and scrap (metal ceramic composites)

Ceramic based fibres not elsewhere specified or included

B2040 Other wastes containing principally inorganic constituents:

– 

Partially  refined  calcium  sulphate  produced  from  flue-gas  desulphurization
(FGD)

–  Waste  gypsum  wallboard  or  plasterboard  arising  from  the  demolition  of

buildings

– 

– 

– 

– 

– 

– 

– 

Slag from copper production, chemically stabilized, having a high iron content
(above  20%)  and  processed  according  to  industrial  specifications  (e.g.  DIN
4301 and DIN 8201) mainly for construction and abrasive applications

Sulphur in solid form

Limestone from the production of calcium cyanamide (having a pH less than 9)

Sodium, potassium, calcium chlorides

Carborundum (silicon carbide)

Broken concrete

Lithium-Tantalum and Lithium-Niobium containing glass scraps

B2050 Coal-fired power plant fly-ash, not included on list A (note the related entry on list

A, A2060)

B2060 Spent activated carbon resulting from the treatment of potable water and processes of

the food industry and vitamin production (note the related entry on list A, A4160)

B2070 Calcium fluoride sludge

B2080 Waste gypsum arising from chemical industry processes not included on list A (note

the related entry on list A, A2040)

B2090 Waste  anode  butts  from  steel  or  aluminium  production  made  of  petroleum  coke  or
bitumen  and cleaned to normal industry specifications  (excluding  anode  butts  from
chlor alkali electrolyses and from metallurgical industry)

B2100 Waste  hydrates  of  aluminium  and  waste  alumina  and  residues  from  alumina
production excluding such materials used for gas cleaning, flocculation or filtration
processes

B2110 Bauxite residue ("red mud") (pH moderated to less than 11.5)

127

B2120 Waste acidic or basic solutions with a pH greater than 2 and less than 11.5, which are
not corrosive or otherwise hazardous (note the related entry on list A, A4090)

B3

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

B3010 Solid plastic waste:

The following  plastic or mixed  plastic  materials,  provided  they  are  not  mixed  with
other wastes and are prepared to a specification:

–

Scrap plastic of non-halogenated polymers and co-polymers, including but not
limited to the following75:

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

ethylene

styrene

polypropylene

polyethylene terephthalate

acrylonitrile

butadiene

polyacetals

polyamides

polybutylene terephthalate

polycarbonates

polyethers

polyphenylene sulphides

acrylic polymers

alkanes C10-C13 (plasticiser)

polyurethane (not containing CFCs)

polysiloxanes

polymethyl methacrylate

polyvinyl alcohol

75

It is understood that such scraps are completely polymerized.

128

                                                
– 

– 

polyvinyl butyral

polyvinyl acetate

–

Cured waste resins or condensation products including the following:

– 

– 

– 

– 

– 

– 

urea formaldehyde resins

phenol formaldehyde resins

melamine formaldehyde resins

expoxy resins

alkyd resins

polyamides

–

The following fluorinated polymer wastes76:

– 

– 

– 

– 

– 

Perfluoroethylene/propylene (FEP)

Perfluoroalkoxy alkane (PFA)

Perfluoroalkoxy alkane (MFA)

Polyvinylfluoride (PVF)

Polyvinylidenefluoride (PVDF)

B3020 Paper, paperboard and paper product wastes

The following materials, provided they are not mixed with hazardous wastes:

Waste and scrap of paper or paperboard of:

– 

– 

– 

– 

unbleached paper or paperboard or of corrugated paper or paperboard

other  paper  or  paperboard,  made  mainly  of  bleached  chemical  pulp,  not
coloured in the mass

paper  or  paperboard  made  mainly  of  mechanical  pulp  (for  example,
newspapers, journals and similar printed matter)

other, including but not limited to 1) laminated paperboard; 2) unsorted scrap

B3030 Textile wastes

The  following  materials,  provided  they  are  not  mixed  with  other  wastes  and  are
prepared to a specification:

76

- Post-consumer wastes are excluded from this entry
- Wastes shall not be mixed
- Problems arising from open-burning practices to be considered

129

                                                
– 

Silk waste (including cocoons unsuitable for reeling, yarn waste and garnetted
stock)

– 

– 

not carded or combed

other

–  Waste  of  wool  or  of  fine  or  coarse  animal  hair,  including  yarn  waste  but

excluding garnetted stock

– 

– 

– 

noils of wool or of fine animal hair

other waste of wool or of fine animal hair

waste of coarse animal hair

– 

Cotton waste (including yarn waste and garnetted stock)

– 

– 

– 

yarn waste (including thread waste)

garnetted stock

other

Flax tow and waste

Tow  and  waste  (including  yarn  waste  and  garnetted  stock)  of  true  hemp
(Cannabis sativa L.)

Tow  and  waste  (including  yarn  waste  and  garnetted  stock)  of  jute  and  other
textile bast fibres (excluding flax, true hemp and ramie)

Tow  and  waste  (including  yarn  waste  and  garnetted  stock)  of  sisal  and  other
textile fibres of the genus Agave

Tow, noils and waste (including yarn waste and garnetted stock) of coconut

Tow,  noils  and  waste  (including  yarn  waste  and  garnetted  stock)  of  abaca
(Manila hemp or Musa textilis Nee)

Tow, noils and waste (including yarn waste and garnetted stock) of ramie and
other vegetable textile fibres, not elsewhere specified or included

– 

– 

– 

– 

– 

– 

– 

–  Waste (including noils, yarn waste and garnetted stock) of man-made fibres

– 

– 

of synthetic fibres

of artificial fibres

–  Worn clothing and other worn textile articles

– 

Used  rags,  scrap  twine,  cordage,  rope  and  cables  and  worn  out  articles  of
twine, cordage, rope or cables of textile

130

– 

– 

sorted

other

B3040 Rubber wastes

The following materials, provided they are not mixed with other wastes:

–  Waste and scrap of hard rubber (e.g. ebonite)

– 

Other rubber wastes (excluding such wastes specified elsewhere)

B3050 Untreated cork and wood waste:

–  Wood waste and scrap, whether or not agglomerated in logs, briquettes, pellets

or similar forms

– 

Cork waste: crushed, granulated or ground cork

B3060 Wastes arising from agro-food industries provided it is not infectious:

–  Wine lees

– 

– 

Dried and sterilized vegetable waste, residues and byproducts, whether or not
in the form of pellets, or a kind used in animal feeding, not elsewhere specified
or included

Degras: residues resulting from the treatment of  fatty substances or animal or
vegetable waxes

–  Waste of bones and horn-cores, unworked, defatted, simply prepared (but not

cut to shape), treated with acid or degelatinised

– 

– 

– 

Fish waste

Cocoa shells, husks, skins and other cocoa waste

Other  wastes  from  the  agro-food  industry  excluding  by-products  which  meet
national  and  international  requirements  and  standards  for  human  or  animal
consumption

B3070 The following wastes:

–  Waste of human hair

–  Waste straw

– 

Deactivated fungus mycelium from penicillin production to be used as animal
feed

B3080 Waste parings and scrap of rubber

131

B3090 Paring  and  other  wastes  of  leather  or  of  composition  leather  not  suitable  for  the
manufacture of leather articles, excluding leather sludges, not containing hexavalent
chromium compounds and biocides (note the related entry on list A, A3100)

B3100 Leather dust, ash, sludges or flours not containing hexavalent chromium compounds

or biocides (note the related entry on list A, A3090)

B3110 Fellmongery wastes not containing hexavalent chromium compounds or biocides or

infectious substances (note the related entry on list A, A3110)

B3120 Wastes consisting of food dyes

B3130 Waste  polymer  ethers  and  waste  non-hazardous  monomer  ethers  incapable  of

forming peroxides

B3140 Waste pneumatic tyres, excluding those destined for Annex IVA operations

B4

Wastes which may contain either inorganic or organic constituents

B4010 Wastes  consisting  mainly  of  water-based/latex  paints,  inks  and  hardened  varnishes
not containing organic solvents, heavy metals or biocides to an extent to render them
hazardous (note the related entry on list A, A4070)

B4020 Wastes  from  production,  formulation  and  use  of  resins,  latex,  plasticizers,
glues/adhesives,  not  listed  on  list  A,  free  of  solvents  and  other  contaminants  to  an
extent  that  they  do  not  exhibit  Annex  III  characteristics,  e.g.  water  based,  or  glues
based on casein starch, dextrin, cellulose ethers, polyvinyl alcohols (note the related
entry on list A, A3050)

B4030 Used single use cameras, with batteries not included on list A

132

PART 2

Wastes  listed  in  the  Annex  to  Commission  Decision  2000/532/EC,  as  amended.  Wastes
marked  with  an  asterisk  are  considered  to  be  hazardous  waste  pursuant  to  Directive
91/689/EEC on hazardous waste.77

01(cid:1)

01 01(cid:1)

01 01 01(cid:2)

01 01 02(cid:2)

01 03(cid:1)

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

FROM 

wastes from mineral excavation

wastes from mineral metalliferous excavation

wastes from mineral non-metalliferous excavation

wastes from physical and chemical processing of metalliferous minerals

01 03 04*

acid-generating tailings from processing of sulphide ore

01 03 05*

other tailings containing dangerous substances

01 03 06(cid:2)

01 03 07*

01 03 08(cid:2)

01 03 09(cid:2)

01 03 99(cid:2)

01 04(cid:2)

tailings other than those mentioned in 01 03 04 and 01 03 05

other  wastes  containing  dangerous  substances  from  physical  and  chemical
processing of metalliferous minerals

dusty and powdery wastes other than those mentioned in 01 03 07

red mud from alumina production other than the wastes mentioned in 01 03 07

wastes not otherwise specified

wastes  from  physical  and  chemical  processing  of  non-metalliferous
minerals

01 04 07*

wastes  containing  dangerous  substances  from  physical  and  chemical
processing of non-metalliferous minerals

01 04 08

waste gravel and crushed rocks other than those mentioned in 01 04 07

01 04 09

waste sand and clays

01 04 10

dusty and powdery wastes other than those mentioned in 01 04 07

01 04 11

wastes from potash and rock-salt processing other than those mentioned in 01
04 07

77

When  identifying  a  waste  in  the  list  below,  the  introduction  to  the  Annex  of  Commission  Decision
2000/532/EC as amended is relevant.

133

                                                
01 04 12

tailings  and  other  wastes  from  washing  and  cleaning  of  minerals  other  than
those mentioned in 01 04 07 and 01 04 11

01 04 13

wastes from stone cutting and sawing other than those mentioned in 01 04 07

01 04 99

wastes not otherwise specified

01 05

drilling muds and other drilling wastes

01 05 04

fresh-water drilling muds and wastes

01 05 05*

oil-containing drilling muds and wastes

01 05 06*

drilling muds and other drilling wastes containing dangerous substances

01 05 07

01 05 08

barite-containing  drilling  muds  and  wastes  other  than  those  mentioned  in  01
05 05 and 01 05 06

chloride-containing    drilling  muds  and  wastes  other  than  those  mentioned  in
01 05 05 and 01 05 06

01 05 99

wastes not otherwise specified

02

FROM 

WASTES 
HORTICULTURE,
AQUACULTURE,  FORESTRY,  HUNTING  AND  FISHING,  FOOD
PREPARATION AND PROCESSING

AGRICULTURE, 

02 01

wastes from agriculture, horticulture, aquaculture, forestry, hunting and
fishing

02 01 01

sludges from washing and cleaning

02 01 02

animal-tissue waste

02 01 03

plant-tissue waste

02 01 04

waste plastics (except packaging)

02 01 06

animal faeces, urine and manure (including spoiled straw), effluent, collected
separately and treated off-site

02 01 07

wastes from forestry

02 01 08*

agrochemical waste containing dangerous substances

02 01 09

agrochemical waste other than those mentioned in 02 01 08

02 01 10

waste metal

02 01 99

wastes not otherwise specified

134

02 02

wastes from the preparation and processing of meat, fish and other foods
of animal origin

02 02 01

sludges from washing and cleaning

02 02 02

animal-tissue waste

02 02 03

materials unsuitable for consumption or processing

02 02 04

sludges from on-site effluent treatment

02 02 99

wastes not otherwise specified

02 03

wastes  from  fruit,  vegetables,  cereals,  edible  oils,  cocoa,  coffee,  tea  and
tobacco preparation and processing; conserve production; yeast and yeast
extract production, molasses preparation and fermentation

02 03 01

sludges from washing, cleaning, peeling, centrifuging and separation

02 03 02

wastes from preserving agents

02 03 03

wastes from solvent extraction

02 03 04

materials unsuitable for consumption or processing

02 03 05

sludges from on-site effluent treatment

02 03 99

wastes not otherwise specified

02 04

wastes from sugar processing

02 04 01

soil from cleaning and washing beet

02 04 02

off-specification calcium carbonate

02 04 03

sludges from on-site effluent treatment

02 04 99

wastes not otherwise specified

02 05

wastes from the dairy products industry

02 05 01

materials unsuitable for consumption or processing

02 05 02

sludges from on-site effluent treatment

02 05 99

wastes not otherwise specified

02 06

wastes from the baking and confectionery industry

02 06 01

materials unsuitable for consumption or processing

02 06 02

wastes from preserving agents

02 06 03

sludges from on-site effluent treatment

135

02 06 99

wastes not otherwise specified

02 07

wastes  from  the  production  of  alcoholic  and  non-alcoholic  beverages
(except coffee, tea and cocoa)

02 07 01

wastes from washing, cleaning and mechanical reduction of raw materials

02 07 02

wastes from spirits distillation

02 07 03

wastes from chemical treatment

02 07 04

materials unsuitable for consumption or processing

02 07 05

sludges from on-site effluent treatment

02 07 99

wastes not otherwise specified

03

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

03 01

wastes from wood processing and the production of panels and furniture

03 01 01

waste bark and cork

03 01 04*

sawdust,  shavings,  cuttings,  wood,  particle  board  and  veneer  containing
dangerous substances

03 01 05

sawdust, shavings, cuttings, wood, particle board and veneer other than those
mentioned in 03 01 04

03 01 99

wastes not otherwise specified

03 02

wastes from wood preservation

03 02 01*

non-halogenated organic wood preservatives

03 02 02*

organochlorinated wood preservatives

03 02 03*

organometallic wood preservatives

03 02 04*

inorganic wood preservatives

03 02 05*

other wood preservatives containing dangerous substances

03 02 99

wood preservatives not otherwise specified

03 03

wastes from pulp, paper and cardboard production and processing

03 03 01

waste bark and wood

03 03 02

green liquor sludge (from recovery of cooking liquor)

136

03 03 05

de-inking sludges from paper recycling

03 03 07

mechanically separated rejects from pulping of waste paper and cardboard

03 03 08

wastes from sorting of paper and cardboard destined for recycling

03 03 09

lime mud waste

03 03 10

fibre rejects, fibre-, filler- and coating sludges from mechanical separation

03 03 11

sludges from on-site effluent treatment other than those mentioned in 03 03 10

03 03 99

wastes not otherwise specified

04

WASTES FROM THE LEATHER, FUR AND TEXTILE INDUSTRIES

04 01

wastes from the leather and fur industry

04 01 01

fleshings and lime split wastes

04 01 02

liming waste

04 01 03*

degreasing wastes containing solvents without a liquid phase

04 01 04

tanning liquor containing chromium

04 01 05

tanning liquor free of chromium

04 01 06

sludges, in particular from on-site effluent treatment containing chromium

04 01 07

sludges, in particular from on-site effluent treatment free of chromium

04 01 08

waste  tanned  leather  (blue  sheetings,  shavings,  cuttings,  buffing  dust)
containing chromium

04 01 09

wastes from dressing and finishing

04 01 99

wastes not otherwise specified

04 02

wastes from the textile industry

04 02 09

wastes from composite materials (impregnated textile, elastomer, plastomer)

04 02 10

organic matter from natural products (e.g. grease, wax)

04 02 14*

wastes from finishing containing organic solvents

04 02 15

wastes from finishing other than those mentioned in 04 02 14

04 02 16*

dyestuffs and pigments containing dangerous substances

04 02 17

dyestuffs and pigments other than those mentioned in 04 02 16

137

04 02 19*

sludges from on-site effluent treatment containing dangerous substances

04 02 20

sludges from on-site effluent treatment other than those mentioned in 04 02 19

04 02 21

wastes from unprocessed textile fibres

04 02 22

wastes from processed textile fibres

04 02 99

wastes not otherwise specified

05

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

05 01

wastes from petroleum refining

05 01 02*

desalter sludges

05 01 03*

tank bottom sludges

05 01 04*

acid alkyl sludges

05 01 05*

oil spills

05 01 06*

oily sludges from maintenance operations of the plant or equipment

05 01 07*

acid tars

05 01 08*

other tars

05 01 09*

sludges from on-site effluent treatment containing dangerous substances

05 01 10

sludges from on-site effluent treatment other than those mentioned in 05 01 09

05 01 11*

wastes from cleaning of fuels with bases

05 01 12*

oil containing acids

05 01 13

boiler feedwater sludges

05 01 14

wastes from cooling columns

05 01 15*

spent filter clays

05 01 16

sulphur-containing wastes from petroleum desulphurisation

05 01 17

Bitumen

05 01 99

wastes not otherwise specified

05 06

wastes from the pyrolytic treatment of coal

05 06 01*

acid tars

138

05 06 03*

other tars

05 06 04

waste from cooling columns

05 06 99

wastes not otherwise specified

05 07

wastes from natural gas purification and transportation

05 07 01*

wastes containing mercury

05 07 02

wastes containing sulphur

05 07 99

wastes not otherwise specified

06

WASTES FROM INORGANIC CHEMICAL PROCESSES

06 01

wastes  from  the  manufacture,  formulation,  supply  and  use  (MFSU)  of
acids

06 01 01*

sulphuric acid and sulphurous acid

06 01 02*

hydrochloric acid

06 01 03*

hydrofluoric acid

06 01 04*

phosphoric and phosphorous acid

06 01 05*

nitric acid and nitrous acid

06 01 06*

other acids

06 01 99

wastes not otherwise specified

06 02

wastes from the MFSU of bases

06 02 01*

calcium hydroxide

06 02 03*

ammonium hydroxide

06 02 04*

sodium and potassium hydroxide

06 02 05*

other bases

06 02 99

wastes not otherwise specified

06 03

wastes from the MFSU of salts and their solutions and metallic oxides

06 03 11*

solid salts and solutions containing cyanides

06 03 13*

solid salts and solutions containing heavy metals

06 03 14

solid salts and solutions other than those mentioned in 06 03 11 and 06 03 13

139

06 03 15*

metallic oxides containing heavy metals

06 03 16

metallic oxides other than those mentioned in 06 03 15

06 03 99

wastes not otherwise specified

06 04

metal-containing wastes other than those mentioned in 06 03

06 04 03*

wastes containing arsenic

06 04 04*

wastes containing mercury

06 04 05*

wastes containing other heavy metals

06 04 99

wastes not otherwise specified

06 05

sludges from on-site effluent treatment

06 05 02*

sludges from on-site effluent treatment containing dangerous substances

06 05 03

sludges from on-site effluent treatment other than those mentioned in 06 05 02

06 06

wastes from the MFSU of sulphur chemicals, sulphur chemical processes
and desulphurisation processes

06 06 02*

wastes containing dangerous sulphides

06 06 03

wastes containing sulphides other than those mentioned in 06 06 02

06 06 99

wastes not otherwise specified

06 07

wastes from the MFSU of halogens and halogen chemical processes

06 07 01*

wastes containing asbestos from electrolysis

06 07 02*

activated carbon from chlorine production

06 07 03*

barium sulphate sludge containing mercury

06 07 04*

solutions and acids, e.g. contact acid

06 07 99

wastes not otherwise specified

06 08

wastes from the MFSU of silicon and silicon derivatives

06 08 02*

wastes containing dangerous chlorosilanes

06 08 99

wastes not otherwise specified

06 09

wastes  from  the  MSFU  of  phosphorous  chemicals  and  phosphorous
chemical processes

06 09 02

phosphorous slag

140

06 09 03*

calcium-based  reaction  wastes  containing  or  contaminated  with  dangerous
substances

06 09 04

calcium-based reaction wastes other than those mentioned in 06 09 03

06 09 99

wastes not otherwise specified

06 10

wastes from the MFSU of nitrogen chemicals, nitrogen chemical processes
and fertiliser manufacture

06 10 02*

wastes containing dangerous substances

06 10 99

wastes not otherwise specified

06 11

wastes from the manufacture of inorganic pigments and opacificiers

06 11 01

calcium-based reaction wastes from titanium dioxide production

06 11 99

wastes not otherwise specified

06 13

wastes from inorganic chemical processes not otherwise specified

06 13 01*

inorganic  plant  protection  products,  wood-preserving  agents  and  other
biocides.

06 13 02*

spent activated carbon (except 06 07 02)

06 13 03

carbon black

06 13 04*

wastes from asbestos processing

06 13 05*

Soot

06 13 99

wastes not otherwise specified

07

WASTES FROM ORGANIC CHEMICAL PROCESSES

07 01

wastes  from  the  manufacture,  formulation,  supply  and  use  (MFSU)  of
basic organic chemicals

07 01 01*

aqueous washing liquids and mother liquors

07 01 03*

organic halogenated solvents, washing liquids and mother liquors

07 01 04*

other organic solvents, washing liquids and mother liquors

07 01 07*

halogenated still bottoms and reaction residues

07 01 08*

other still bottoms and reaction residues

07 01 09*

halogenated filter cakes and spent absorbents

141

07 01 10*

other filter cakes and spent absorbents

07 01 11*

sludges from on-site effluent treatment containing dangerous substances

07 01 12

sludges from on-site effluent treatment other than those mentioned in 07 01 11

07 01 99

wastes not otherwise specified

07 02

wastes from the MFSU of plastics, synthetic rubber and man-made fibres

07 02 01*

aqueous washing liquids and mother liquors

07 02 03*

organic halogenated solvents, washing liquids and mother liquors

07 02 04*

other organic solvents, washing liquids and mother liquors

07 02 07*

halogenated still bottoms and reaction residues

07 02 08*

other still bottoms and reaction residues

07 02 09*

halogenated filter cakes and spent absorbents

07 02 10*

other filter cakes and spent absorbents

07 02 11*

sludges from on-site effluent treatment containing dangerous substances

07 02 12

sludges from on-site effluent treatment other than those mentioned in 07 02 11

07 02 13

waste plastic

07 02 14*

wastes from additives containing dangerous substances

07 02 15

wastes from additives other than those mentioned in 07 02 14

07 02 16*

wastes containing dangerous silicones

07 02 17

waste containing silicones other than those mentioned in 07 02 16

07 02 99

wastes not otherwise specified

07 03

wastes from the MFSU of organic dyes and pigments (except 06 11)

07 03 01*

aqueous washing liquids and mother liquors

07 03 03*

organic halogenated solvents, washing liquids and mother liquors

07 03 04*

other organic solvents, washing liquids and mother liquors

07 03 07*

halogenated still bottoms and reaction residues

07 03 08*

other still bottoms and reaction residues

07 03 09*

halogenated filter cakes and spent absorbents

142

07 03 10*

other filter cakes and spent absorbents

07 03 11*

sludges from on-site effluent treatment containing dangerous substances

07 03 12

sludges from on-site effluent treatment other than those mentioned in 07 03 11

07 03 99

wastes not otherwise specified

07 04

Wastes  from  the  MFSU of  organic  plant  protection products (except
02 01 08 and 02 01 09), wood preserving agents (except 03 02) and other
biocides

07 04 01*

aqueous washing liquids and mother liquors

07 04 03*

organic halogenated solvents, washing liquids and mother liquors

07 04 04*

other organic solvents, washing liquids and mother liquors

07 04 07*

halogenated still bottoms and reaction residues

07 04 08*

other still bottoms and reaction residues

07 04 09*

halogenated filter cakes and spent absorbents

07 04 10*

other filter cakes and spent absorbents

07 04 11*

sludges from on-site effluent treatment containing dangerous substances

07 04 12

sludges from on-site effluent treatment other than those mentioned in 07 04 11

07 04 13*

solid wastes containing dangerous substances

07 04 99

wastes not otherwise specified

07 05

wastes from the MFSU of pharmaceuticals

07 05 01*

aqueous washing liquids and mother liquors

07 05 03*

organic halogenated solvents, washing liquids and mother liquors

07 05 04*

other organic solvents, washing liquids and mother liquors

07 05 07*

halogenated still bottoms and reaction residues

07 05 08*

other still bottoms and reaction residues

07 05 09*

halogenated filter cakes and spent absorbents

07 05 10*

other filter cakes and spent absorbents

07 05 11*

sludges from on-site effluent treatment containing dangerous substances

07 05 12

sludges from on-site effluent treatment other than those mentioned in 07 05 11

143

07 05 13*

solid wastes containing dangerous substances

07 05 14

solid wastes other than those mentioned in 07 05 13

07 05 99

wastes not otherwise specified

07 06

wastes from the MFSU of fats, grease, soaps, detergents, disinfectants and
cosmetics

07 06 01*

aqueous washing liquids and mother liquors

07 06 03*

organic halogenated solvents, washing liquids and mother liquors

07 06 04*

other organic solvents, washing liquids and mother liquors

07 06 07*

halogenated still bottoms and reaction residues

07 06 08*

other still bottoms and reaction residues

07 06 09*

halogenated filter cakes and spent absorbents

07 06 10*

other filter cakes and spent absorbents

07 06 11*

sludges from on-site effluent treatment containing dangerous substances

07 06 12

sludges from on-site effluent treatment other than those mentioned in 07 06 11

07 06 99

wastes not otherwise specified

07 07

wastes  from  the  MFSU  of  fine  chemicals  and  chemical  products  not
otherwise specified

07 07 01*

aqueous washing liquids and mother liquors

07 07 03*

organic halogenated solvents, washing liquids and mother liquors

07 07 04*

other organic solvents, washing liquids and mother liquors

07 07 07*

halogenated still bottoms and reaction residues

07 07 08*

other still bottoms and reaction residues

07 07 09*

halogenated filter cakes and spent absorbents

07 07 10*

other filter cakes and spent absorbents

07 07 11*

sludges from on-site effluent treatment containing dangerous substances

07 07 12

sludges from on-site effluent treatment other than those mentioned in 07 07 11

07 07 99

wastes not otherwise specified

144

08

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

08 01

wastes from MFSU and removal of paint and varnish

08 01 11*

waste  paint  and  varnish  containing  organic  solvents  or  other  dangerous
substances

08 01 12

waste paint and varnish other than those mentioned in 08 01 11

08 01 13*

sludges from paint or varnish  containing organic solvents or other dangerous
substances

08 01 14

sludges from paint or varnish other than those mentioned in 08 01 13

08 01 15*

aqueous  sludges  containing  paint  or  varnish  containing  organic  solvents  or
other dangerous substances

08 01 16

aqueous sludges containing paint or varnish other than those mentioned in 08
01 15

08 01 17*

wastes  from  paint  or  varnish  removal  containing  organic  solvents  or  other
dangerous substances

08 01 18

wastes from paint or varnish removal other than those mentioned in 08 01 17

08 01 19*

aqueous  suspensions  containing  paint  or  varnish  containing  organic  solvents
or other dangerous substances

08 01 20

aqueous suspensions containing paint or varnish other than those mentioned in
08 01 19

08 01 21*

waste paint or varnish remover

08 01 99

wastes not otherwise specified

08 02

wastes from MFSU of other coatings (including ceramic materials)

08 02 01

waste coating powders

08 02 02

aqueous sludges containing ceramic materials

08 02 03

aqueous suspensions containing ceramic materials

08 02 99

wastes not otherwise specified

08 03

wastes from MFSU of printing inks

08 03 07

aqueous sludges containing ink

145

08 03 08

aqueous liquid waste containing ink

08 03 12*

waste ink containing dangerous substances

08 03 13

waste ink other than those mentioned in 08 03 12

08 03 14*

ink sludges containing dangerous substances

08 03 15

ink sludges other than those mentioned in 08 03 14

08 03 16*

waste etching solutions

08 03 17*

waste printing toner containing dangerous substances

08 03 18

waste printing toner other than those mentioned in 08 03 17

08 03 19*

disperse oil

08 03 99

wastes not otherwise specified

08 04

wastes  from  MFSU  of  adhesives  and  sealants  (including  waterproofing
products)

08 04 09*

waste  adhesives  and  sealants  containing  organic  solvents  or  other  dangerous
substances

08 04 10

waste adhesives and sealants other than those mentioned in 08 04 09

08 04 11*

adhesive  and  sealant  sludges  containing  organic  solvents  or  other  dangerous
substances

08 04 12

adhesive and sealant sludges other than those mentioned in 08 04 11

08 04 13*

aqueous sludges containing adhesives or sealants containing organic solvents
or other dangerous substances

08 04 14

aqueous sludges containing adhesives or sealants other than those mentioned
in 08 04 13

08 04 15*

aqueous  liquid  waste  containing  adhesives  or  sealants  containing  organic
solvents or other dangerous substances

08 04 16

aqueous  liquid  waste  containing  adhesives  or  sealants  other  than  those
mentioned in 08 04 15

08 04 17*

rosin oil

08 04 99

wastes not otherwise specified

08 05

wastes not otherwise specified in 08

08 05 01*

waste isocyanates

146

09

WASTES FROM THE PHOTOGRAPHIC INDUSTRY

09 01

wastes from the photographic industry

09 01 01*

water-based developer and activator solutions

09 01 02*

water-based offset plate developer solutions

09 01 03*

solvent-based developer solutions

09 01 04*

fixer solutions

09 01 05*

bleach solutions and bleach fixer solutions

09 01 06*

wastes containing silver from on-site treatment of photographic wastes

09 01 07

photographic film and paper containing silver or silver compounds

09 01 08

photographic film and paper free of silver or silver compounds

09 01 10

single-use cameras without batteries

09 01 11*

single-use cameras containing batteries included in 16 06 01, 16 06 02 or 16
06 03

09 01 12

single-use cameras containing batteries other than those mentioned in 09 01 11

09 01 13*

aqueous  liquid  waste  from  on-site  reclamation  of  silver  other  than  those
mentioned in 09 01 06

09 01 99

wastes not otherwise specified

10

WASTES FROM THERMAL PROCESSES

10 01

wastes from power stations and other combustion plants (except 19)

10 01 01

bottom ash, slag and boiler dust (excluding boiler dust mentioned in 10 01 04)

10 01 02

coal fly ash

10 01 03

fly ash from peat and untreated wood

10 01 04*

oil fly ash and -boiler dust

10 01 05

calcium-based reaction wastes from flue-gas desulphurisation in solid form

10 01 07

calcium-based reaction wastes from flue-gas desulphurisation in sludge form

10 01 09*

sulphuric acid

147

10 01 13*

fly ash from emulsified hydrocarbons used as fuel

10 01 14*

bottom  ash,  slag  and  boiler  dust  from  co-incineration  containing  dangerous
substances

10 01 15

bottom  ash,  slag  and  boiler  dust  from  co-incineration  other  than  those
mentioned in 10 01 14

10 01 16*

fly ash from co-incineration containing dangerous substances

10 01 17

fly ash from co-incineration other than those mentioned in 10 01 16

10 01 18*

wastes from gas cleaning containing dangerous substances

10 01 19

wastes  from  gas  cleaning  other  than  those  mentioned  in  10  01  05,  10  01  07
and 10 01 18

10 01 20*

sludges from on-site effluent treatment containing dangerous substances

10 01 21

sludges from on-site effluent treatment other than those mentioned in 10 01 20

10 01 22*

aqueous sludges from boiler cleansing containing dangerous substances

10 01 23

aqueous sludges from boiler cleansing other than those mentioned in 10 01 22

10 01 24

sands from fluidised beds

10 01 25

wastes from fuel storage and preparation of coal-fired power plants

10 01 26

wastes from cooling-water treatment

10 01 99

wastes not otherwise specified

10 02

wastes from the iron and steel industry

10 02 01

wastes from the processing of slag

10 02 02

unprocessed slag

10 02 07*

solid wastes from gas treatment containing dangerous substances

10 02 08

solid wastes from gas treatment other than those mentioned in 10 02 07

10 02 10

mill scales

10 02 11*

wastes from cooling-water treatment containing oil

10 02 12

wastes from cooling-water treatment other than those mentioned in 10 02 11

10 02 13*

sludges and filter cakes from gas treatment containing dangerous substances

10 02 14

sludges  and  filter  cakes  from  gas treatment other than those mentioned in
10 02 13

148

10 02 15

other sludges and filter cakes

10 02 99

wastes not otherwise specified

10 03

wastes from aluminium thermal metallurgy

10 03 02

anode scraps

10 03 04*

primary production slags

10 03 05

waste alumina

10 03 08*

salt slags from secondary production

10 03 09*

black drosses from secondary production

10 03 15*

skimmings  that  are  flammable  or  emit,  upon  contact  with  water,  flammable
gases in dangerous quantities

10 03 16

skimmings other than those mentioned in 10 03 15

10 03 17*

tar-containing wastes from anode manufacture

10 03 18

carbon-containing wastes from anode manufacture other than those mentioned
in 10 03 17

10 03 19*

flue-gas dust containing dangerous substances

10 03 20

flue-gas dust other than those mentioned in 10 03 19

10 03 21*

other  particulates  and  dust  (including  ball-mill  dust)  containing  dangerous
substances

10 03 22

other  particulates  and  dust  (including  ball-mill  dust)  other  than  those
mentioned in 10 03 21

10 03 23*

solid wastes from gas treatment containing dangerous substances

10 03 24

solid wastes from gas treatment other than those mentioned in 10 03 23

10 03 25*

sludges and filter cakes from gas treatment containing dangerous substances

10 03 26

Sludges  and filter  cakes  from  gas  treatment other than those mentioned in
10 03 25

10 03 27*

wastes from cooling-water treatment containing oil

10 03 28

wastes from cooling-water treatment other than those mentioned in 10 03 27

10 03 29*

wastes  from  treatment  of  salt  slags  and  black  drosses  containing  dangerous
substances

10 03 30

wastes  from  treatment  of  salt  slags  and  black  drosses  other  than  those

149

mentioned in 10 03 29

10 03 99

wastes not otherwise specified

10 04

wastes from lead thermal metallurgy

10 04 01*

slags from primary and secondary production

10 04 02*

dross and skimmings from primary and secondary production

10 04 03*

calcium arsenate

10 04 04*

flue-gas dust

10 04 05*

other particulates and dust

10 04 06*

solid wastes from gas treatment

10 04 07*

sludges and filter cakes from gas treatment

10 04 09*

wastes from cooling-water treatment containing oil

10 04 10

wastes from cooling-water treatment other than those mentioned in 10 04 09

10 04 99

wastes not otherwise specified

10 05

wastes from zinc thermal metallurgy

10 05 01

slags from primary and secondary production

10 05 03*

flue-gas dust

10 05 04

other particulates and dust

10 05 05*

solid waste from gas treatment

10 05 06*

sludges and filter cakes from gas treatment

10 05 08*

wastes from cooling-water treatment containing oil

10 05 09

wastes from cooling-water treatment other than those mentioned in 10 05 08

10 05 10*

dross  and  skimmings  that  are  flammable  or  emit,  upon  contact  with  water,
flammable gases in dangerous quantities

10 05 11

dross and skimmings other than those mentioned in 10 05 10

10 05 99

wastes not otherwise specified

10 06

wastes from copper thermal metallurgy

10 06 01

slags from primary and secondary production

10 06 02

dross and skimmings from primary and secondary production

150

10 06 03*

flue-gas dust

10 06 04

other particulates and dust

10 06 06*

solid wastes from gas treatment

10 06 07*

sludges and filter cakes from gas treatment

10 06 09*

wastes from cooling-water treatment containing oil

10 06 10

wastes from cooling-water treatment other than those mentioned in 10 06 09

10 06 99

wastes not otherwise specified

10 07

wastes from silver, gold and platinum thermal metallurgy

10 07 01

slags from primary and secondary production

10 07 02

dross and skimmings from primary and secondary production

10 07 03

solid wastes from gas treatment

10 07 04

other particulates and dust

10 07 05

sludges and filter cakes from gas treatment

10 07 07*

wastes from cooling-water treatment containing oil

10 07 08

wastes from cooling-water treatment other than those mentioned in 10 07 07

10 07 99

wastes not otherwise specified

10 08

wastes from other non-ferrous thermal metallurgy

10 08 04

particulates and dust

10 08 08*

salt slag from primary and secondary production

10 08 09

other slags

10 08 10*

dross  and  skimmings  that  are  flammable  or  emit,  upon  contact  with  water,
flammable gases in dangerous quantities

10 08 11

dross and skimmings other than those mentioned in 10 08 10

10 08 12*

tar-containing wastes from anode manufacture

10 08 13

carbon-containing wastes from anode manufacture other than those mentioned
in 10 08 12

10 08 14

anode scrap

10 08 15*

flue-gas dust containing dangerous substances

151

10 08 16

flue-gas dust other than those mentioned in 10 08 15

10 08 17*

sludges  and  filter  cakes  from  flue-gas  treatment  containing  dangerous
substances

10 08 18

sludges and filter cakes from flue-gas treatment other than those mentioned in
10 08 17

10 08 19*

wastes from cooling-water treatment containing oil

10 08 20

wastes from cooling-water treatment other than those mentioned in 10 08 19

10 08 99

wastes not otherwise specified

10 09

wastes from casting of ferrous pieces

10 09 03

furnace slag

10 09 05*

casting  cores  and  moulds  which  have  not  undergone  pouring  containing
dangerous substances

10 09 06

casting cores and moulds which have not undergone pouring other than those
mentioned in 10 09 05

10 09 07*

casting cores and moulds which have undergone pouring containing dangerous
substances

10 09 08

casting  cores  and  moulds  which  have  undergone  pouring  other  than  those
mentioned in 10 09 07

10 09 09*

flue-gas dust containing dangerous substances

10 09 10

flue-gas dust other than those mentioned in 10 09 09

10 09 11*

other particulates containing dangerous substances

10 09 12

other particulates other than those mentioned in 10 09 11

10 09 13*

waste binders containing dangerous substances

10 09 14

waste binders other than those mentioned in 10 09 13

10 09 15*

waste crack-indicating agent containing dangerous substances

10 09 16

waste crack-indicating agent other than those mentioned in 10 09 15

10 09 99

wastes not otherwise specified

10 10

wastes from casting of non-ferrous pieces

10 10 03

furnace slag

10 10 05*

casting  cores  and  moulds  which  have  not  undergone  pouring  containing

152

dangerous substances

10 10 06

casting cores and moulds which have not undergone pouring other than those
mentioned in 10 10 05

10 10 07*

casting cores and moulds which have undergone pouring containing dangerous
substances

10 10 08

casting  cores  and  moulds  which  have  undergone  pouring  other  than  those
mentioned in 10 10 07

10 10 09*

flue-gas dust containing dangerous substances

10 10 10

flue-gas dust other than those mentioned in 10 10 09

10 10 11*

other particulates containing dangerous substances

10 10 12

other particulates other than those mentioned in 10 10 11

10 10 13*

waste binders containing dangerous substances

10 10 14

waste binders other than those mentioned in 10 10 13

10 10 15*

waste crack-indicating agent containing dangerous substances

10 10 16

waste crack-indicating agent other than those mentioned in 10 10 15

10 10 99

wastes not otherwise specified

10 11

wastes from manufacture of glass and glass products

10 11 03

waste glass-based fibrous materials

10 11 05

particulates and dust

10 11 09*

waste  preparation  mixture  before  thermal  processing  containing  dangerous
substances

10 11 10

waste  preparation  mixture  before  thermal  processing  other  than  those
mentioned in 10 11 09

10 11 11*

waste glass in small particles and glass powder containing heavy metals (e.g.
from cathode ray tubes)

10 11 12

waste glass other than those mentioned in 10 11 11

10 11 13*

glass-polishing and -grinding sludge containing dangerous substances

10 11 14

glass-polishing and -grinding sludge other than those mentioned in 10 11 13

10 11 15*

solid wastes from flue-gas treatment containing dangerous substances

10 11 16

solid wastes from flue-gas treatment other than those mentioned in 10 11 15

153

10 11 17*

sludges  and  filter  cakes  from  flue-gas  treatment  containing  dangerous
substances

10 11 18

sludges and filter cakes from flue-gas treatment other than those mentioned in
10 11 17

10 11 19*

solid wastes from on-site effluent treatment containing dangerous substances

10 11 20

solid wastes from on-site effluent treatment other than those mentioned in 10
11 19

10 11 99

wastes not otherwise specified

10 12

wastes from manufacture of ceramic goods, bricks, tiles and construction
products

10 12 01

waste preparation mixture before thermal processing

10 12 03

particulates and dust

10 12 05

sludges and filter cakes from gas treatment

10 12 06

discarded molds

10 12 08

waste  ceramics,  bricks,  tiles  and  construction  products  (after  thermal
processing)

10 12 09*

solid wastes from gas treatment containing dangerous substances

10 12 10

solid wastes from gas treatment other than those mentioned in 10 12 09

10 12 11*

wastes from glazing containing heavy metals

10 12 12

wastes from glazing other than those mentioned in 10 12 11

10 12 13

sludge from on-site effluent treatment

10 12 99

wastes not otherwise specified

10 13

wastes  from  manufacture  of  cement,  lime  and  plaster  and  articles  and
products made from them

10 13 01

waste preparation mixture before thermal processing

10 13 04

wastes from calcination and hydration of lime

10 13 06

particulates and dust (except 10 13 12 and 10 13 13)

10 13 07

sludges and filter cakes from gas treatment

10 13 09*

wastes from asbestos-cement manufacture containing asbestos

10 13 10

wastes from asbestos-cement manufacture other than those mentioned in 10 13
09

154

10 13 11

wastes from cement-based composite materials other than those mentioned in
10 13 09 and 10 13 10

10 13 12*

solid wastes from gas treatment containing dangerous substances

10 13 13

solid wastes from gas treatment other than those mentioned in 10 13 12

10 13 14

waste concrete and concrete sludge

10 13 99

wastes not otherwise specified

10 14

waste from crematoria

10 14 01*

waste from gas cleaning containing mercury

11

11 01

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

wastes from chemical surface treatment and coating of metals and other
materials  (eg.  galvanic  processes,  zinc  coating  processes,  pickling
processes, etching, phosphatiing, alkaline degreasing, anodising)

11 01 05*

pickling acids

11 01 06*

acids not otherwise specified

11 01 07*

pickling bases

11 01 08*

phosphatising sludges

11 01 09*

sludges and filter cakes containing dangerous substances

11 01 10

sludges and filter cakes other than those mentioned in 11 01 09

11 01 11*

aqueous rinsing liquids containing dangerous substances

11 01 12

aqueous rinsing liquids other than those mentioned in 11 01 11

11 01 13*

degreasing wastes containing dangerous substances

11 01 14

degreasing wastes other than those mentioned in 11 01 13

11 01 15*

eluate  and  sludges  from  membrane  systems  or  ion  exchange  systems
containing dangerous substances

11 01 16*

saturated or spent ion exchange resins

11 01 98*

other wastes containing dangerous substances

11 01 99

wastes not otherwise specified

155

11 02

wastes from non-ferrous hydrometallurgical processes

11 02 02*

sludges from zinc hydrometallurgy (incl. Jarosite, goethite)

11 02 03

wastes from the production of anodes for aqueous electrolytical processes

11 02 05*

wastes  from  copper  hydrometallurgical  processes  containing  dangerous
substances

11 02 06

wastes from copper hydrometallurgical processes other than those mentioned
in 11 02 05

11 02 07*

other wastes containing dangerous substances

11 02 99

wastes not otherwise specified

11 03

sludges and solids from tempering processes

11 03 01*

wastes containing cyanide

11 03 02*

other wastes

11 05

wastes from hot galvanising processes

11 05 01

hard zinc

11 05 02

zinc ash

11 05 03*

solid wastes from gas treatment

11 05 04*

spent flux

11 05 99

wastes not otherwise specified

12

12 01

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

wastes  from  shaping  and  physical  and  mechanical  surface  treatment  of
metals and plastics

12 01 01

ferrous metal filings and turnings

12 01 02

ferrous metal dust and particles

12 01 03

non-ferrous metal filings and turnings

12 01 04

non-ferrous metal dust and particles

12 01 05

plastics shavings and turnings

12 01 06*

mineral-based  machining  oils  containing  halogens  (except  emulsions  and
solutions)

156

12 01 07*

mineral-based  machining  oils  free  of  halogens  (except  emulsions  and
solutions)

12 01 08*

machining emulsions and solutions containing halogens

12 01 09*

machining emulsions and solutions free of halogens

12 01 10*

synthetic machining oils

12 01 12*

spent waxes and fats

12 01 13

welding wastes

12 01 14*

machining sludges containing dangerous substances

12 01 15

machining sludges other than those mentioned in 12 01 14

12 01 16*

waste blasting material containing dangerous substances

12 01 17

waste blasting material other than those mentioned in 12 01 16

12 01 18*

metal sludge (grinding, honing and lapping sludge) containing oil

12 01 19*

readily biodegradable machining oil

12 01 20*

spent grinding bodies and grinding materials containing dangerous substances

12 01 21

spent grinding bodies and grinding materials other than those mentioned in 12
01 20

12 01 99

wastes not otherwise specified

12 03

wastes from water and steam degreasing processes (except 11)

12 03 01*

aqueous washing liquids

12 03 02*

steam degreasing wastes

13

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

13 01

waste hydraulic oils

13 01 01*

hydraulic oils, containing PCBs78

13 01 04*

chlorinated emulsions

13 01 05*

non-chlorinated emulsions

78

For the purpose of this list of wastes, PCBs will be defined as in Directive 96/59/EC

157

                                                
13 01 09*

mineral-based chlorinated hydraulic oils

13 01 10*

mineral based non-chlorinated hydraulic oils

13 01 11*

synthetic hydraulic oils

13 01 12*

readily biodegradable hydraulic oils

13 01 13*

other hydraulic oils

13 02

waste engine, gear and lubricating oils

13 02 04*

mineral-based chlorinated engine, gear and lubricating oils

13 02 05*

mineral-based non-chlorinated engine, gear and lubricating oils

13 02 06*

synthetic engine, gear and lubricating oils

13 02 07*

readily biodegradable engine, gear and lubricating oils

13 02 08*

other engine, gear and lubricating oils

13 03

waste insulating and heat transmission oils

13 03 01*

insulating or heat transmission oils containing PCBs

13 03 06*

mineral-based  chlorinated  insulating  and  heat  transmission  oils  other  than
those mentioned in 13 03 01

13 03 07*

mineral-based non-chlorinated insulating and heat transmission oils

13 03 08*

synthetic insulating and heat transmission oils

13 03 09*

readily biodegradable insulating and heat transmission oils

13 03 10*

other insulating and heat transmission oils

13 04

bilge oils

13 04 01*

bilge oils from inland navigation

13 04 02*

bilge oils from jetty sewers

13 04 03*

bilge oils from other navigation

13 05

oil/water separator contents

13 05 01*

solids from grit chambers and oil/water separators

13 05 02*

sludges from oil/water separators

13 05 03*

interceptor sludges

13 05 06*

oil from oil/water separators

158

13 05 07*

oily water from oil/water separators

13 05 08*

mixtures of wastes from grit chambers and oil/water separators

13 07

wastes of liquid fuels

13 07 01*

fuel oil and diesel

13 07 02*

petrol

13 07 03*

other fuels (including mixtures)

13 08

oil wastes not otherwise specified

13 08 01*

desalter sludges or emulsions

13 08 02*

other emulsions

13 08 99*

wastes not otherwise specified

14

WASTE 
PROPELLANTS (EXCEPT 07 AND 08)

ORGANIC 

SOLVENTS, 

REFRIGERANTS 

AND

14 06

waste organic solvents, refrigerants and foam/aerosol propellants

14 06 01*

chlorofluorocarbons, HCFC, HFC

14 06 02*

other halogenated solvents and solvent mixtures

14 06 03*

other solvents and solvent mixtures

14 06 04*

sludges or solid wastes containing halogenated solvents

14 06 05*

sludges or solid wastes containing other solvents

15

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

15 01

packaging (including separately collected municipal packaging waste)

15 01 01

paper and cardboard packaging

15 01 02

plastic packaging

15 01 03

wooden packaging

15 01 04

metallic packaging

15 01 05

composite packaging

159

15 01 06

mixed packaging

15 01 07

glass packaging

15 01 09

textile packaging

15 01 10*

packaging containing residues of or contaminated by dangerous substances

15 01 11*

metallic packaging containing a dangerous solid porous matrix (e.g. asbestos),
including empty pressure containers

15 02

absorbents, filter materials, wiping cloths and protective clothing

15 02 02*

absorbents,  filter  materials  (including  oil  filters  not  otherwise  specified),
wiping cloths, protective clothing contaminated by dangerous substances

15 02 03

absorbents,  filter  materials,  wiping  cloths  and  protective  clothing  other  than
those mentioned in 15 02 02

16

WASTES NOT OTHERWISE SPECIFIED IN THE LIST

16 01

end-of-life vehicles from different means of transport (including off-road
machinery)  and  wastes  from  dismantling  of  end-of-life  vehicles  and
vehicle maintenance (except 13, 14, 16 06 and 16 08)

16 01 03

end-of-life tyres

16 01 04*

end-of-life vehicles

16 01 06

end-of-life  vehicles,  containing  neither 
components

liquids  nor  other  hazardous

16 01 07*

oil filters

16 01 08*

components containing mercury

16 01 09*

components containing PCBs

16 01 10*

explosive components (e.g. air bags)

16 01 11*

brake pads containing asbestos

16 01 12

brake pads other than those mentioned in 16 01 11

16 01 13*

brake fluids

16 01 14*

antifreeze fluids containing dangerous substances

16 01 15

antifreeze fluids other than those mentioned in 16 01 14

16 01 16

tanks for liquefied gas

160

16 01 17

ferrous metal

16 01 18

non-ferrous metal

16 01 19

Plastic

16 01 20

Glass

16 01 21*

hazardous components other than those mentioned in 16 01 07 to 16 01 11 and
16 01 13 and 16 01 14

16 01 22

components not otherwise specified

16 01 99

wastes not otherwise specified

16 02

wastes from electrical and electronic equipment

16 02 09*

transformers and capacitors containing PCBs

16 02 10*

discarded  equipment  containing  or  contaminated  by  PCBs  other  than  those
mentioned in 16 02 09

16 02 11*

discarded equipment containing chlorofluorocarbons, HCFC, HFC

16 02 12*

discarded equipment containing free asbestos

16 02 13*

discarded  equipment  containing  hazardous  components79  other  than  those
mentioned in 16 02 09 to 16 02 12

16 02 14

discarded equipment other than those mentioned in 16 02 09 to 16 02 13

16 02 15*

hazardous components removed from discarded equipment

16 02 16

components removed from discarded equipment other than those mentioned in
16 02 15

16 03

off-specification batches and unused products

16 03 03*

inorganic wastes containing dangerous substances

16 03 04

inorganic wastes other than those mentioned in 16 03 03

16 03 05*

organic wastes containing dangerous substances

16 03 06

organic wastes other than those mentioned in 16 03 05

16 04

waste explosives

16 04 01*

waste ammunition

79

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

161

                                                
16 04 02*

fireworks wastes

16 04 03*

other waste explosives

16 05

gases in pressure containers and discarded chemicals

16 05 04*

in  pressure  containers  (including  halons)  containing  dangerous

gases 
substances

16 05 05

gases in pressure containers other than those mentioned in 16 05 04

16 05 06*

laboratory  chemicals  consisting  of  or  containing  dangerous  substances
including mixtures of laboratory chemicals

16 05 07*

discarded 
substances

inorganic  chemicals  consisting  of  or  containing  dangerous

16 05 08*

discarded organic chemicals consisting of or containing dangerous substances

16 05 09

discarded chemicals other than those mentioned in 16 05 06, 16 05 07 or 16 05
08

16 06

batteries and accumulators

16 06 01*

lead batteries

16 06 02*

Ni-Cd batteries

16 06 03*

mercury- containing batteries

16 06 04

alkaline batteries (except 16 06 03)

16 06 05

other batteries and accumulators

16 06 06*

separately collected electrolyte from batteries and accumulators

16 07

wastes from transport  tank,  storage  tank  and  barrel  cleaning (except  05
and 13)

16 07 08*

wastes containing oil

16 07 09*

wastes containing other dangerous substances

16 07 99

wastes not otherwise specified

16 08

spent catalysts

16 08 01

spent  catalysts  containing  gold,  silver,  rhenium,  rhodium,  palladium,  iridium
or platinum (except 16 08 07)

162

16 08 02*

spent  catalysts  containing  dangerous 
transition metal compounds

transition  metals80  or  dangerous

16 08 03

spent catalysts containing transition metals or transition metal compounds not
otherwise specified

16 08 04

spent fluid catalytic cracking catalysts (except 16 08 07)

16 08 05*

spent catalysts containing phosphoric acid

16 08 06*

spent liquids used as catalysts

16 08 07*

spent catalysts contaminated with dangerous substances

16 09

oxidising substances

16 09 01*

permanganates, e.g. potassium permanganate

16 09 02*

chromates, e.g. potassium chromate, potassium or sodium dichromate

16 09 03*

peroxides, e.g. hydrogen peroxide

16 09 04*

oxidising substances, not otherwise specified

16 10

aqueous liquid wastes destined for off-site treatment

16 10 01*

aqueous liquid wastes containing dangerous substances

16 10 02

aqueous liquid wastes other than those mentioned in 16 10 01

16 10 03*

aqueous concentrates containing dangerous substances

16 10 04

aqueous concentrates other than those mentioned in 16 10 03

16 11

waste linings and refractories

16 11 01*

carbon-based linings and refractories from metallurgical processes containing
dangerous substances

16 11 02

carbon-based linings and refractories from metallurgical processes others than
those mentioned in 16 11 01

16 11 03*

other  linings  and  refractories  from  metallurgical  processes  containing
dangerous substances

16 11 04

other  linings  and  refractories  from  metallurgical  processes  other  than  those
mentioned in 16 11 03

80

For the purpose of this entry, transition metals are: Scandium, Vanadium, Manganese, Cobalt, Copper,
Yttrium,  Niobium,  Hafnium,  Tungsten,  Titanium,  Chromium,  Iron,  Nickel,  Zinc,  Zirconium,
Molybdenum  and  Tantalum.  These  metals  or  their  compounds  are  dangerous  if  they  are  classified  as
dangerous substances. The classification  of  dangerous  substances  shall  determine  which  among  those
transition metals and which transition metal compounds are hazardous.

163

                                                
16 11 05*

linings  and 
dangerous substances

refractories 

from  non-metallurgical  processes  containing

16 11 06

linings  and  refractories  from  non-metallurgical  processes  others  than  those
mentioned in 16 11 05

17

CONSTRUCTION  AND  DEMOLITION  WASTES 
EXCAVATED SOIL FROM CONTAMINATED SITES)

(INCLUDING

17 01

concrete, bricks, tiles and ceramics

17 01 01

concrete

17 01 02

bricks

17 01 03

tiles and ceramics

17 01 06*

mixtures  of,  or  separate  fractions  of  concrete,  bricks,  tiles  and  ceramics
containing dangerous substances

17 01 07

mixtures of concrete, bricks, tiles and ceramics other than those mentioned in
17 01 06

17 02

wood, glass and plastic

17 02 01

wood

17 02 02

glass

17 02 03

plastic

17 02 04*

glass, plastic and wood containing or contaminated with dangerous substances

17 03

bituminous mixtures, coal tar and tarred products

17 03 01*

bituminous mixtures containing coal tar

17 03 02

bituminous mixtures other than those mentioned in 17 03 01

17 03 03*

coal tar and tarred products

17 04

metals (including their alloys)

17 04 01

copper, bronze, brass

17 04 02

aluminium

17 04 03

17 04 04

lead

zinc

17 04 05

iron and steel

164

17 04 06

tin

17 04 07

mixed metals

17 04 09*

metal waste contaminated with dangerous substances

17 04 10*

cables containing oil, coal tar and other dangerous substances

17 04 11

cables other than those mentioned in 17 04 10

17 05

soil  (including  excavated  soil  from  contaminated  sites),  stones  and
dredging spoil

17 05 03*

soil and stones containing dangerous substances

17 05 04

soil and stones other than those mentioned in 17 05 03

17 05 05*

dredging spoil containing dangerous substances

17 05 06

dredging spoil other than those mentioned in 17 05 05

17 05 07*

track ballast containing dangerous substances

17 05 08

track ballast other than those mentioned in 17 05 07

17 06

insulation materials and asbestos-containing construction materials

17 06 01*

insulation materials containing asbestos

17 06 03*

other insulation materials consisting of or containing dangerous substances

17 06 04

insulation materials other than those mentioned in 17 06 01 and 17 06 03

17 06 05*

construction materials containing asbestos

17 08

gypsum-based construction material

17 08 01*

gypsum-based construction materials contaminated with dangerous substances

17 08 02

gypsum-based construction materials other than those mentioned in 17 08 01

17 09

other construction and demolition wastes

17 09 01*

construction and demolition wastes containing mercury

17 09 02*

construction  and  demolition  wastes  containing  PCB  (e.g.  PCB-containing
sealants,  PCB-containing  resin-based  floorings,  PCB-containing  sealed
glazing units, PCB-containing capacitors)

17 09 03*

other construction and demolition wastes (including mixed wastes) containing
dangerous substances

165

17 09 04

mixed construction and demolition wastes other than those mentioned in 17 09
01, 17 09 02 and 17 09 03

18

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

18 01

wastes  from  natal  care,  diagnosis,  treatment  or  prevention  of  disease  in
humans

18 01 01

sharps (except 18 01 03)

18 01 02

body parts and organs including blood bags and blood preserves (except 18 01
03)

18 01 03*

wastes  whose  collection  and  disposal  is  subject  to  special  requirements  in
order to prevent infection

18 01 04

wastes whose collection and disposal is not subject to special requirements in
order  to  prevent  infection  (e.g.  dressings,  plaster  casts,  linen,  disposable
clothing, diapers)

18 01 06*

chemicals consisting of or containing dangerous substances

18 01 07

chemicals other than those mentioned in 18 01 06

18 01 08*

cytotoxic and cytostatic medicines

18 01 09

medicines other than those mentioned in 18 01 08

18 01 10*

amalgam waste from dental care

18 02

wastes  from  research,  diagnosis,  treatment  or  prevention  of  disease
involving animals

18 02 01

sharps (except 18 02 02)

18 02 02*

wastes  whose  collection  and  disposal  is  subject  to  special  requirements  in
order to prevent infection

18 02 03

wastes whose collection and disposal is not subject to special requirements in
order to prevent infection

18 02 05*

chemicals consisting of or containing dangerous substances

18 02 06

chemicals other than those mentioned in 18 02 05

18 02 07*

cytotoxic and cytostatic medicines

18 02 08

medicines other than those mentioned in 18 02 07

166

19

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

19 01

wastes from incineration or pyrolysis of waste

19 01 02

ferrous materials removed from bottom ash

19 01 05*

filter cake from gas treatment

19 01 06*

aqueous liquid wastes from gas treatment and other aqueous liquid wastes

19 01 07*

solid wastes from gas treatment

19 01 10*

spent activated carbon from flue-gas treatment

19 01 11*

bottom ash and slag containing dangerous substances

19 01 12

bottom ash and slag other than those mentioned in 19 01 11

19 01 13*

fly ash containing dangerous substances

19 01 14

fly ash other than those mentioned in 19 01 13

19 01 15*

boiler dust containing dangerous substances

19 01 16

boiler dust other than those mentioned in 19 01 15

19 01 17*

pyrolysis wastes containing dangerous substances

19 01 18

pyrolysis wastes other than those mentioned in 19 01 17

19 01 19

sands from fluidised beds

19 01 99

wastes not otherwise specified

19 02

wastes 
dechromatation, decyanidation, neutralisation)

from  physico/chemical 

treatments  of  waste 

(including

19 02 03

premixed wastes composed only of non hazardous wastes

19 02 04*

premixed wastes composed of at least one hazardous waste

19 02 05*

sludges from physico/chemical treatment containing dangerous substances

19 02 06

sludges  from  physico/chemical  treatment  other  than  those  mentioned in
19 02 05

19 02 07*

oil and concentrates from separation

19 02 08*

liquid combustible wastes containing dangerous substances

167

19 02 09*

solid combustible wastes containing dangerous substances

19 02 10

combustible wastes other than those mentioned in 19 02 08 and 19 02 09

19 02 11*

other wastes containing dangerous substances

19 02 99

wastes not otherwise specified

19 03

stabilised/solidified wastes81

19 03 04*

wastes marked as hazardous, partly82stabilised

19 03 05

stabilised wastes other than those mentioned in 19 03 04

19 03 06*

wastes marked as hazardous, solidified

19 03 07

solidified wastes other than those mentioned in 19 03 06

19 04

vitrified waste and wastes from vitrification

19 04 01

vitrified waste

19 04 02*

fly ash and other flue-gas treatment wastes

19 04 03*

non-vitrified solid phase

19 04 04

aqueous liquid wastes from vitrified waste tempering

19 05

wastes from aerobic treatment of solid wastes

19 05 01

non-composted fraction of municipal and similar wastes

19 05 02

non-composted fraction of animal and vegetable waste

19 05 03

off-specification compost

19 05 99

wastes not otherwise specified

19 06

wastes from anaerobic treatment of waste

19 06 03

liquor from anaerobic treatment of municipal waste

19 06 04

digestate from anaerobic treatment of municipal waste

19 06 05

liquor from anaerobic treatment of animal and vegetable waste

81

82

Stabilisation  processes  change  the  dangerousness  of  the  constituents  in  the  waste  and  thus  transform
hazardous  waste  into  non  hazardous  waste.  Solidification  processes  only  change  the  physical  state  of
the  waste  (e.g.  liquid  into  solid)  by  using  additives  without  changing  the  chemical  properties  of  the
waste.
A waste is considered as partly stabilised if after the stalibisation process dangerous constituents which
have  not  been  changed  completely  into  non  dangerous  constituents  could  be  released  into  the
environment in short, middle or long term.

168

                                                
19 06 06

digestate from anaerobic treatment of animal and vegetable waste

19 06 99

wastes not otherwise specified

19 07

landfill leachate

19 07 02*

landfill leachate containing dangerous substances

19 07 03

landfill leachate other than those mentioned in 19 07 02

19 08

wastes from waste water treatment plants not otherwise specified

19 08 01

Screenings

19 08 02

waste from desanding

19 08 05

sludges from treatment of urban waste water

19 08 06*

saturated or spent ion exchange resins

19 08 07*

solutions and sludges from regeneration of ion exchangers

19 08 08*

membrane system waste containing heavy metals

19 08 09

grease and oil mixture from oil/water separation containing only edible oil and
fats

19 08 10*

grease and oil mixture from oil/water separation other than those mentioned in
19 08 09

19 08 11*

sludges  containing  dangerous  substances  from  biological  treatment  of
industrial waste water

19 08 12

sludges  from  biological  treatment  of  industrial  waste  water  other  than  those
mentioned in 19 08 11

19 08 13*

sludges  containing  dangerous  substances  from  other  treatment  of  industrial
waste water

19 08 14

sludges  from  other  treatment  of  industrial  waste  water  other  than  those
mentioned in 19 08 13

19 08 99

wastes not otherwise specified

19 09

wastes from the preparation of water intended for human consumption or
water for industrial use

19 09 01

solid waste from primary filtration and screenings

19 09 02

sludges from water clarification

19 09 03

sludges from decarbonation

169

19 09 04

spent activated carbon

19 09 05

saturated or spent ion exchange resins

19 09 06

solutions and sludges from regeneration of ion exchangers

19 09 99

wastes not otherwise specified

19 10

wastes from shredding of metal-containing wastes

19 10 01

iron and steel waste

19 10 02

non-ferrous waste

19 10 03*

fluff-light fraction and dust containing dangerous substances

19 10 04

fluff-light fraction and dust other than those mentioned in 19 10 03

19 10 05*

other fractions containing dangerous substances

19 10 06

other fractions other than those mentioned in 19 10 05

19 11

wastes from oil regeneration

19 11 01*

spent filter clays

19 11 02*

acid tars

19 11 03*

aqueous liquid wastes

19 11 04*

wastes from cleaning of fuel with bases

19 11 05*

sludges from on-site effluent treatment containing dangerous substances

19 11 06

sludges from on-site effluent treatment other than those mentioned in 19 11 05

19 11 07*

wastes from flue-gas cleaning

19 11 99

wastes not otherwise specified

19 12

wastes  from  the  mechanical  treatment  of  waste  (e.g.  sorting,  crushing,
compacting, pelletising) not otherwise specified

19 12 01

paper and cardboard

19 12 02

ferrous metal

19 12 03

non-ferrous metal

19 12 04

plastic and rubber

19 12 05

Glass

19 12 06*

wood containing dangerous substances

170

19 12 07

wood other than that mentioned in 19 12 06

19 12 08

Textiles

19 12 09

minerals (e.g. sand, stones)

19 12 10

combustible waste (refuse derived fuel)

19 12 11*

other  wastes  (including  mixtures  of  materials)  from  mechanical  treatment  of
waste containing dangerous substances

19 12 12

other  wastes  (including  mixtures  of  materials)  from  mechanical  treatment  of
wastes other than those mentioned in 19 12 11

19 13

wastes from soil and groundwater remediation

19 13 01*

solid wastes from soil remediation containing dangerous substances

19 13 02

solid wastes from soil remediation other than those mentioned in 19 13 01

19 13 03*

sludges from soil remediation containing dangerous substances

19 13 04

sludges from soil remediation other than those mentioned in 19 13 03

19 13 05*

sludges from groundwater remediation containing dangerous substances

19 13 06

sludges from groundwater remediation other than those mentioned in 19 13 05

19 13 07*

aqueous 
remediation containing dangerous substances

liquid  wastes  and  aqueous  concentrates 

from  groundwater

19 13 08

aqueous 
remediation other than those mentioned in 19 13 07

liquid  wastes  and  aqueous  concentrates 

from  groundwater

20

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

20 01

separately collected fractions (except 15 01)

20 01 01

paper and cardboard

20 01 02

Glass

20 01 08

biodegradable kitchen and canteen waste

20 01 10

Clothes

20 01 11

Textiles

20 01 13*

Solvents

171

20 01 14*

Acids

20 01 15*

Alkalines

20 01 17*

Photochemicals

20 01 19*

Pesticides

20 01 21*

fluorescent tubes and other mercury-containing waste

20 01 23*

discarded equipment containing chlorofluorocarbons

20 01 25

edible oil and fat

20 01 26*

oil and fat other than those mentioned in 20 01 25

20 01 27*

paint, inks, adhesives and resins containing dangerous substances

20 01 28

paint, inks, adhesives and resins other than those mentioned in 20 01 27

20 01 29*

detergents containing dangerous substances

20 01 30

detergents other than those mentioned in 20 01 29

20 01 31*

cytotoxic and cytostatic medicines

20 01 32

medicines other than those mentioned in 20 01 31

20 01 33*

batteries  and  accumulators  included  in  16  06  01,  16  06  02  or  16  06  03  and
unsorted batteries and accumulators containing these batteries

20 01 34

batteries and accumulators other than those mentioned in 20 01 33

20 01 35*

Discarded  electrical and electronic equipment other than those mentioned in
20 01 21 and 20 01 23 containing hazardous components83

20 01 36

discarded  electrical    and  electronic  equipment  other  than  those  mentioned  in
20 01 21, 20 01 23 and 20 01 35

20 01 37*

wood containing dangerous substances

20 01 38

wood other than that mentioned in 20 01 37

20 01 39

Plastics

20 01 40

Metals

20 01 41

wastes from chimney sweeping

83

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

172

                                                
20 01 99

other fractions not otherwise specified

20 02

garden and park wastes (including cemetery waste)

20 02 01

biodegradable waste

20 02 02

soil and stones

20 02 03

other non-biodegradable wastes

20 03

other municipal wastes

20 03 01

mixed municipal waste

20 03 02

waste from markets

20 03 03

street-cleaning residues

20 03 04

septic tank sludge

20 03 06

waste from sewage cleaning

20 03 07

bulky waste

20 03 99

municipal wastes not otherwise specified

173

PART 3

List A (Annex II to the Basel Convention)

Waste from Appendix 4, Part I of Decision C(2001)107 of the OECD Council on the Revision
of  Decision  C(92)39/FINAL  on  the  Control  of  Transboundary  Movements  of  Wastes
Destined for Recovery Operations.

Y46 Waste collected from households

Y47 Residues arising from the incineration of household wastes

List B

Waste  from  Appendix  4,  Part  II  of  Decision  C(2001)107  of  the  OECD  Council  on  the
Revision  of  Decision  C(92)39/FINAL  on  the  Control  of  Transboundary  Movements  of
Wastes Destined for Recovery Operations. The wastes numbered AB 130, AC 250, AC 260
and  AC  270  have  been  deleted  since  they  have  been  considered,  in  accordance  with  the
procedure  laid  down  in  Article  18  of  Directive  75/442/EEC,  to  be  non-hazardous  and
therefore not subject to the export ban laid down in Article 37.

Metal Bearing Wastes

AA 010

261900

Dross, scalings and other wastes from the manufacture of iron and
steel84

AA 060

AA 190

262050

Vanadium ashes and residues

810420
ex 810430

Magnesium waste and scrap that is flammable, pyrophoric or
emits, upon contact with water, flammable gases in dangerous
quantities

Wastes  Containing  Principally  Inorganic  Constituents,  Which  May  Contain  Metals  and
Organic Materials

AB 030

AB 070

AB 120

ex 281290
ex 3824

Wastes from non-cyanide based systems which arise from surface
treatment of metals

Sands used in foundry operations

Inorganic halide compounds, not elsewhere specified or included

AB 150

ex 382490 Unrefined  calcium  sulphite  and  calcium  sulphate  from  flue  gas

desulphurisation (FGD)

84

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

174

                                                
Wastes  Containing  Principally  Organic  Constituents,  Which  May  Contain  Metals  and
Inorganic Materials

AC 020

Bituminous  materials  (asphalt  waste)  not  elsewhere  specified  or
included

AC 060

ex 381900 Hydraulic fluids

AC 070

ex 381900 Brake fluids

AC 080

ex 382000 Antifreeze fluids

AC 150

AC 160

Chlorofluorocarbons

Halons

AC 170

ex 440310 Treated cork and wood wastes

Wastes Which May Contain either Inorganic or Organic Constituents

AD 090

AD 100

AD 120

AD 150

ex 382490 Wastes from production, formulation and use of reprographic and
photographic  chemicals  and  materials  not  elsewhere  specified  or
included

Wastes from non-cyanide based systems which arise from surface
treatment of plastics

ex 391400
ex 3915

Ion exchange resins

Naturally occurring organic material used as a filter medium (such
as bio-filters)

Wastes  Containing  Principally  Inorganic  Constituents,  Which  May  Contain  Metals  and
Organic Materials

RB 020

ex 6815

Ceramic  based  fibres  of  physico-chemical  characteristics  similar
to those of asbestos

175

ANNEX VI

Form for pre-consented facilities (Article 15)

Competent
authority

Consignee

Waste types

Period of validity

Total pre-
authorised
quantity

Name and no. of the recovery
facility

Address

Recovery method (+
R code))

OECD

Beginning End

(ton)

176

ANNEX VII

INFORMATION ACCOMPANYING SHIPMENTS OF WASTE
 LISTED IN ANNEX III AND DESTINED FOR RECOVERY (ARTICLE 19)

Producer(s), new producer or collector (name, address, tel., fax and e-mail):

Contact person:

Person who arranges the shipment (name, address, tel., fax and e-mail):

Contact person:

Consignee (name, address, tel., fax and e-mail):

Contact person:

Holder(s) (name, address, tel., fax and e-mail):

Contact person:

Usual  commercial  description  of  the
waste:

OECD classification :

Quantity (kg / litres):

EWL code:

Recovery operation (or disposal if relevant):

Carrier(s) (name, address, tel., fax, e-mail and contact person):

Modes of transport:

Countries of dispatch/transit/destination :

Transit

Dispatch

Destination

Enclosure:
Evidence of contract between the person who arranges the shipment and the consignee:

Date of commencement of shipment:

Signature before commencement of shipment:
Producer, new producer or collector (date)

Person who arranges the
shipment (date)

Signature upon receipt of the waste:
Holder(s) (date)

Consignee (date):

177

ANNEX VIII

Chemicals listed in Annex A, B and C of the Stockholm Convention

Aldrin

Chlordane

Dieldrin

Endrin

Heptachlor

CAS N° 309-00-2

CAS N° 57-74-9

CAS N° 60-57-1

CAS N° 72-20-8

CAS N° 76-44-8

Hexachlorobenzene (HCB)

CAS N° 118-74-1

CAS N° 2385-85-5

CAS N° 8001-35-2

CAS N° 50-29-3

Mirex

Toxaphene

DDT (1,1,1-trichloro-2,2-bis(4-
chlorophenyl)ethane)

Polychlorinated Biphenyls (PCB)

Polychlorinated dibenzo-p-dioxins (PCDD)

Polychlorinated dibenzofurans (PCDF)

(PCBs,  dioxins  and  furans  do  not  have  a  CAS  number  because  they  are  « families »  of
molecules.  There  209  different  types  of  PCBs  and  around  175  Dioxins  and  around  100
Furans).

178

ANNEX IX

Guidelines on Environmentally sound management (Article 42)

I.

1.

2.

3.

GUIDELINES  ADOPTED  BY  THE  CONFERENCE  OF  THE  PARTIES  TO  THE
BASLE CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS
OF HAZARDOUS WASTE AND THEIR DISPOSAL, AS AMENDED:

Technical  Guidelines  on  the  Environmentally  Sound  Management  of
Biomedical and Health Care Wastes (Y1; Y3)85.

Technical Guidelines on the Environmentally Sound Management of Waste
Lead Acid Batteries86.

Technical Guidelines on the Environmentally Sound Management of the Full
and Partial Dismantling of Ships87.

85

86

87

Adopted  by  the  6th  Conference  of  the  Parties  to  the  Basle  Convention  on  the  Control  of
Transboundary Movements of Hazardous Waste and Their Disposal, 9-13 December 2002.
Adopted  by  the  6th  Conference  of  the  Parties  to  the  Basle  Convention  on  the  Control  of
Transboundary Movements of Hazardous Waste and Their Disposal, 9-13 December 2002.
Adopted  by  the  6th  Conference  of  the  Parties  to  the  Basle  Convention  on  the  Control  of
Transboundary Movements of Hazardous Waste and Their Disposal, 9-13 December 2002.

179

                                                
ANNEX X

Additional Questionnaire for Member States Reporting Obligation Pursuant to
Article 54(2)

Art. 12(1)(a)

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

In order to implement  the  principles  of  proximity,  priority for  recovery  and  self-sufficiency  at
Community and national levels in accordance with Directive 75/442/EEC

Has this provision been applied?

Yes

No

(please tick (cid:1) as appropriate)

If yes, please provide details on the measures taken:

------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------

Additional remarks:

------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------

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

In order to implement  the  principles  of  proximity,  priority for  recovery  and  self-sufficiency  at
Community and national levels in accordance with Directive 75/442/EEC

Has this provision been applied?

Yes

No

(please tick (cid:1) as appropriate)

If yes, please provide details on the measures taken:

------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------

Additional remarks:

------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------

180

Art. 12(3)

Information  on  exceptions  to  the  Implementation  of  the  Principle  of  Proximity,  Priority  for
recovery and Self-sufficiency

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

Have you asked any Member State to apply this exception?

Yes

No

(please tick (cid:1) as appropriate)

If yes, please complete Table 1 and give details below on any bilateral solution found pursuant to
article 12(3).

------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------

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

No

(please tick (cid:1) as appropriate)

If yes, please complete Table 1 and give details below on any bilateral solution found pursuant to
article 12(3).

------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------

Art. 12(1)(e)

Information on objections to planned shipments

On the basis of them not been in accordance with Directive 75/442/EEC.

Has this provision been applied?

Yes

No

(please tick (cid:1) as appropriate)

If yes, please complete Table 2.

Art. 15

Information  on  decisions  by  Competent  Authorities  having  jurisdiction  over  specific  recovery
facilities  not  to  raise  objections  concerning  shipments  of  certain  types  of  waste  to  a  specific
recovery facility

Has there been any case?

Yes

No

(please tick (cid:1) as appropriate)

If yes, please complete Table 3.

181

Art. 34

Information on the Member States’ system for the supervision and control of shipments of waste
within their territory

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

Yes

No

(please tick (cid:1) as appropriate)

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

Yes

No

(please tick (cid:1) as appropriate)

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

-----------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------

Art.  26  and
53(1)

Information on illegal shipments of waste

Has there been any case?

Yes

No

(please tick (cid:1) as appropriate)

If yes, please complete Table 4.

Please,  provide  information  on  how  illegal  shipments  of  waste  is  prohibited  and  punished  under
national legislation.

-----------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------

Art. 7

Information  on  financial  guarantees  or  equivalent  insurance  covering  costs  for  shipment  of
waste covered by this Regulation, including cases referred in Articles 24 and 26, and for disposal
or recovery

Please, provide details on the national system established pursuant to this article.

-----------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------

182

Art. 56

Information  on  the  customs  posts  designated  by
Member States for shipments of waste in and out of the
Community

Please complete Table 5

Note for completion of the Tables:

D and R codes are those referred to in Annexes IIA and IIB to Directive 75/442/EEC,
as amended.

Waste  codes are those  referred to in  Annexes III, IV  and  IVA  of  this  Regulation,  as
amended.

183

Table 1

INFORMATION ON EXCEPTIONS TO THE IMPLEMENTATION OF THE PRINCIPLE OF PROXIMITY, PRIORITY FOR RECOVERY
AND SELF-SUFFICIENCY (Article 12(3))

Waste Code

Amount

(metric
tonnes)

Country of Import (I)/

Disposal Operation

Country of Origin(O)

(Final disposal)

Referral of the Matter to the
Commission

(Yes/No)

D Code

184

Table 2

OBJECTIONS TO PLANNED SHIPMENTS (Article 12(1)(e)

Waste Code

Amount
of Waste

(metric
tonnes)

Country of Transit(T)/

Country of Origin (O)

REASONS FOR THE
OBJECTION

(please tick √ as appropriate)

INSTALLATION

(Final disposal)

Art.
12(1)(e)
(I)

Art.
12(1)(e)
(ii)

Art.
12(1)(e)
(iii)

Name
(in case of
Art.12(1)(e)(ii))

Disposal
Operation
D Code

185

Table 3

INFORMATION ON DECISIONS BY COMPETENT AUTHORITIES HAVING JURISDICTION OVER SPECIFIC RECOVERY FACILITIES
NOT TO RAISE OBJECTIONS CONCERNING SHIPMENTS OF CERTAIN TYPES OF WASTE TO A SPECIFIC RECOVERY FACILITY
(ARTICLE 15)

Competent Authority

Name

Address

Recovery Facility

Operations leading to
recovery

R Code

Waste types involved (Code)

Period Covered

Revocation

Technologies Employed

From

To

(date)

186

INFORMATION ON ILLEGAL SHIPMENTS OF WASTE (Articles 26 and 53(1)

Table 4

Waste types involved

Amount

(Code)

(metric
tonnes)

Country of Import
(I)/

Country of Origin
(O)

Identification of the reason for illegality

Responsible for illegality

(possible reference to violated Articles)

(please tick √ as appropriate)

Notifier

Consignee

Other

Measures
taken

including
possible
sanctions

187

Table 5

INFORMATION ON THE CUSTOMS POSTS DESIGNATED BY MEMBER STATES FOR SHIPMENTS OF WASTE IN AND OUT OF THE
COMMUNITY (Article 56)

Post

Location

Import/Export Countries Controlled

Customs Post

188