Article 1 Subject matter
This Regulation lays down measures to protect the environment and human health and to contribute to climate neutrality and to achieving a circular economy and zero pollution by preventing or reducing the adverse impacts which can result from shipments of waste and from the treatment of the waste at its destination. It establishes procedures and control regimes for shipments of waste, depending on the origin, destination and route of the shipment, the type of waste and the type of treatment to be applied to the waste at its destination.
Article 2 Scope
1. This Regulation applies to: (a) shipments of waste between Member States, with or without transit through third countries; (b) shipments of waste imported into the Union from third countries; (c) shipments of waste exported from the Union to third countries; (d) shipments of waste in transit through the Union on the way to or from third countries. 2. This Regulation does not apply to: (a) waste, including waste water and residues, generated by the normal operation of ships and offshore platforms until that waste is offloaded for the purposes of recovery or disposal, provided that the waste is subject to the requirements of Directive (EU) 2019/883 of the European Parliament and of the Council ( 33 ) , the International Convention for the Prevention of Pollution from Ships, the International Convention for the Control and Management of Ships’ Ballast Water and Sediments or other relevant binding international instruments; (b) waste generated on board vehicles, trains, aeroplanes and ships, until that waste is offloaded for the purposes of recovery or disposal; (c) shipments of radioactive waste as defined in Article 5 of Council Directive 2006/117/Euratom ( 34 ) ; (d) shipments of animal by-products and derived products as defined in Article 3, points (1) and (2), of Regulation (EC) No 1069/2009, respectively, except animal by-products or derived products mixed or contaminated with any waste listed as hazardous in the list of waste referred to in Article 7 of Directive 2008/98/EC; (e) shipments of waste waters which are covered by Council Directive 91/271/EEC ( 35 ) or other relevant Union legislation; (f) shipments of substances that are destined for use as feed materials as defined in Article 3(2)point, of Regulation (EC) No 767/2009 of the European Parliament and of the Council ( 36 ) and that do not consist of or contain animal by-products; (g) shipments of waste from the Antarctic into the Union in accordance with the requirements of the Protocol on Environmental Protection to the Antarctic Treaty ( 37 ) ; (h) shipments of carbon dioxide for the purposes of geological storage in accordance with Directive 2009/31/EC of the European Parliament and of the Council ( 38 ) ; (i) ships flying the flag of a Member State falling within the scope of Regulation (EU) No 1257/2013, with the exception of ships: (i) which are considered as hazardous waste, that are located in an area under the national jurisdiction of a Member State and that are exported from the Union for recovery, to which only Articles 39, 48, 49 and Title VII of this Regulation shall apply; or (ii) which are considered as waste, that are located in an area under the national jurisdiction of a Member State and that are destined for disposal. 3. For imports of waste generated by armed forces or relief organisations during situations of crisis, or during peacemaking or peacekeeping operations, where such waste is shipped by the armed forces or relief organisations concerned or on their behalf, directly or indirectly, to the country of destination, only Article 51(6) and (7) and Article 53(5) shall apply. 4. For shipments of waste from the Antarctic to third countries which transit through the Union, Articles 39 and 59 shall apply. 5. For transport of waste exclusively within a Member State, only Article 36 shall apply.
Article 3 Definitions
For the purposes of this Regulation, the following definitions apply: (1) ‘mixture of wastes’ means waste that results from an intentional or unintentional mixing of two or more different wastes which are: (a) listed in different entries in Annexes III, IIIA, IIIB and IV, or, where applicable, in different indents or sub-indents of such entries; or (b) not classified under one single entry in Annex III, IIIA, IIIB or IV; Waste shipped in a single shipment of wastes, consisting of two or more wastes, where each waste is separated, is not a mixture of wastes; (2) ‘interim disposal’ means any disposal operations listed under D8, D9, D13, D14 or D15 in Annex I to Directive 2008/98/EC; (3) ‘interim recovery’ means any recovery operations listed under R12 or R13 in Annex II to Directive 2008/98/EC; (4) ‘environmentally sound management’ means taking all practicable steps to ensure that waste is managed in a manner that will protect human health, the climate and the environment against adverse effects which can result from such waste; (5) ‘consignee’ means any natural or legal person under the national jurisdiction of the country of destination to whom or to which the waste is shipped for recovery or disposal; (6) ‘notifier’ means: (a) in the case of a shipment originating from a Member State, any of the following natural or legal persons under the national jurisdiction of that Member State, who carries out or plans to carry out a shipment of waste as referred to in Article 4(1), (2) or (3), or who has or plans to have such a shipment carried out, to whom the duty to notify is assigned: (i) the original waste producer; (ii) the new waste producer who carries out operations prior to shipment resulting in a change in the nature or composition of the waste; (iii) a collector who, from various small quantities of the same type of waste collected from a variety of sources, has assembled the shipment which is to start from a single notified location; (iv) a dealer or a broker acting on behalf of any of the persons referred to in point (i), (ii) or (iii); or (v) where all of the persons referred to in points (i) to (iv) are unknown or insolvent, the waste holder; (b) in the case of an import into or transit through the Union of waste that does not originate in a Member State, any of the following natural or legal persons under the national jurisdiction of the country of dispatch who carries out or plans to carry out a shipment or who has or plans to have a shipment carried out: (i) the person designated by the law of the country of dispatch; (ii) in the absence of a person designated by the law of the country of dispatch, the waste holder at the time the export took place; (7) ‘person who arranges the shipment’ means any of the following natural or legal persons under the national jurisdiction of the country of dispatch, who carries out or plans to carry out a shipment as referred to in Article 4(4) or (5), or who has or plans to have such a shipment carried out: (i) the original waste producer; (ii) the new waste producer who carries out operations prior to shipment resulting in a change in the nature or composition of the waste; (iii) a collector who, from various small quantities of the same type of waste collected from a variety of sources, has assembled the shipment which is to start from a single location; (iv) a dealer or a broker acting on behalf of any of the persons referred to in points (i), (ii) or (iii); or (v) where all of the persons referred to in points (i) to (iv) are unknown or insolvent, the waste holder; (8) ‘collector’ means any natural or legal person carrying out waste collection as defined in Article 3, point (10), of Directive 2008/98/EC; (9) ‘competent authority’ means: (a) in the case of a Member State, the body designated by the Member State concerned pursuant to Article 75; (b) in the case of a third country that is a Party to the Basel Convention of 22 March 1989 on the control of transboundary movements of hazardous wastes and their disposal (‘the Basel Convention’), the body designated by that country as the competent authority for the purposes of the Basel Convention in accordance with Article 5 thereof; (c) in the case of any country not referred to in either point (a) or point (b), the body that has been designated as the competent authority by the country or region concerned or, in the absence of such designation, the regulatory authority for the country or region, as appropriate, which has jurisdiction over a shipment; (10) ‘competent authority of dispatch’ means the competent authority for the area from which the shipment is initiated or from which it is planned that the shipment will be initiated; (11) ‘competent authority of destination’ means the competent authority for the area to which the shipment is carried out or is planned to be carried out or in which waste is loaded prior to recovery or disposal in an area not under the national jurisdiction of any country; (12) ‘competent authority of transit’ means the competent authority for any country, other than the country of the competent authority of dispatch and the competent authority of destination, through which the shipment is carried out or is planned to be carried out; (13) ‘country of dispatch’ means any country from which a shipment is initiated or is planned to be initiated; (14) ‘country of destination’ means any country to which a shipment is carried out or is planned to be carried out for recovery or disposal therein, or for the purpose of loading prior to recovery or disposal in an area not under the national jurisdiction of any country; (15) ‘country of transit’ means any country, other than the country of dispatch or destination, through which a shipment is carried out or is planned to be carried out; (16) ‘area under the national jurisdiction of a country’ means any land or marine area within which a state exercises administrative and regulatory responsibility in accordance with international law as regards the protection of human health or the environment; (17) ‘overseas countries and territories’ means the overseas countries and territories listed in Annex II to the TFEU; (18) ‘customs office of export’ means a customs office of export as defined in Article 1, point (16), of Commission Delegated Regulation (EU) 2015/2446 ( 39 ) ; (19) ‘customs office of exit’ means a customs office of exit as determined in accordance with Article 329 of Commission Implementing Regulation (EU) 2015/2447 ( 40 ) ; (20) ‘customs office of entry’ means the customs office of first entry as defined in Article 1, point (15), of Delegated Regulation (EU) 2015/2446; (21) ‘import’ means any entry of waste into the Union but excludes transit through the Union; (22) ‘export’ means any exit of waste from the Union but excludes transit through the Union; (23) ‘transit’ means a shipment through one or more countries other than the country of dispatch or destination; (24) ‘transport of waste’ means the carriage of waste by road, rail, air, sea or inland waterways; (25) ‘shipment’ means a transport of waste destined for recovery or disposal from the location from which the transport starts until the receipt of the waste by the facility that carries out the disposal or recovery in the country of destination and which is carried out or planned to be carried out: (a) between a country and another country; (b) between a country and an overseas country or territory or other area under that country’s protection; (c) between a country and any geographic area which is not part of any country under international law; (d) between a country and the Antarctic; (e) from one country through any of the areas referred to in points (a) to (d); (f) within a country through any of the areas referred to in points (a) to (d) and which originates in and ends in that same country; or (g) from a geographic area not under the national jurisdiction of any country, to a country; (26) ‘illegal shipment’ means any shipment carried out: (a) without notification to the competent authorities concerned pursuant to this Regulation; (b) without the consent of the competent authorities concerned pursuant to this Regulation; (c) with consent obtained from the competent authorities concerned pursuant to this Regulation through falsification, misrepresentation or fraud; (d) in a way which is not in accordance with the information contained in the notification document or contained in or to be provided in the movement document, except in case of minor clerical errors in the notification or the movement document; (e) in a way which results in recovery or disposal in contravention of Union or international law; (f) contrary to Article 4(1), Article 4(3), or Article 37, 39, 40, 45, 46, 48, 49, 50 or 52; (g) in a way which, in relation to shipments of waste as referred to in Article 4(4) and (5), is not in accordance with the requirements referred to in Article 18, paragraphs 2, 4, 6 and 10, or with the information contained or to be provided in the Annex VII document, except in case of minor clerical errors in the Annex VII document; (27) ‘inspection’ means any action undertaken by an authority to check compliance with the requirements set out in this Regulation; (28) ‘waste hierarchy’ means the waste hierarchy referred to in Article 4 of Directive 2008/98/EC; (29) ‘routing’ means the point of exit from and the point of entry into each country concerned, including customs offices of entry, exit and export; (30) ‘route’ means the itinerary between the location where the shipment starts in the country of dispatch, via the point of exit from and the point of entry into each country concerned, to the treatment facility in the country of destination. In addition, the definitions of ‘waste’, ‘hazardous waste’, ‘waste producer’, ‘waste holder’, ‘dealer’, ‘broker’, ‘waste management’, ‘re-use’, ‘treatment’, ‘recovery’, ‘preparing for re-use’, ‘recycling’ and ‘disposal’, laid down in Article 3, points (1), (2), (5) to (9), (13) to (15), (16), (17) and (19) of Directive 2008/98/EC, respectively, shall apply.
Article 4 Overall procedural framework
1. Shipments of all wastes destined for disposal shall be prohibited, except if consent is obtained in accordance with Article 11. In order to obtain consent in accordance with Article 11 for a shipment destined for disposal, the procedure of prior written notification and consent, laid down in Chapter 1, shall apply. 2. Shipments of the following wastes destined for recovery shall be subject to the procedure of prior written notification and consent, laid down in Chapter 1: (a) wastes listed in Annex IV; (b) wastes not classified under one single entry in either Annex III, Annex IIIB or Annex IV; (c) mixtures of wastes, unless listed in Annex IIIA; (d) waste classified as hazardous in the list of waste established pursuant to Article 7 of Directive 2008/98/EC; (e) wastes listed in Annex III or Annex IIIB and mixtures of wastes listed in Annex IIIA contaminated by other materials to an extent which: (i) increases the risks associated with the wastes sufficiently to render them appropriate for submission to the procedure of prior written notification and consent, when taking into account the list of waste referred to in Article 7 of Directive 2008/98/EC as well as the hazardous properties listed in Annex III to that Directive; or (ii) prevents the recovery of the wastes in an environmentally sound manner; (f) wastes or mixtures of wastes containing or contaminated with persistent organic pollutants (POPs) within the meaning of Regulation (EU) 2019/1021 in quantities meeting or exceeding a concentration limit indicated in Annex IV to that Regulation, which are not classified as hazardous waste. 3. Paragraph 2 shall apply to shipments of mixed municipal waste collected from private households, from other waste producers or from both, as well as to mixed municipal waste which has been subject to a waste treatment operation that has not substantially altered its properties, including refuse-derived fuels processed from mixed municipal waste, where such waste is destined for recovery operations. Shipments of such waste destined for disposal shall be prohibited. 4. Shipments of the following wastes destined for recovery shall be subject to the general information requirements laid down in Article 18, if the quantity of waste shipped exceeds 20 kg: (a) wastes listed in Annex III or Annex IIIB; (b) mixtures of wastes, provided that the composition of the mixtures does not impair their environmentally sound recovery and provided that such mixtures are listed in Annex IIIA. 5. By way of derogation from Article 4(1) and (2), shipments of waste explicitly destined for laboratory analysis or experimental treatment trials to assess either the physical or chemical characteristics of the waste or to determine its suitability for recovery or disposal shall be subject to the general information requirements laid down in Article 18 where all of the following conditions are fulfilled: (a) the quantity of waste does not exceed the quantity reasonably needed to perform the analysis or trial in each particular case, but not more than 250 kg or any larger quantity agreed on a case-by-case basis by the competent authorities of dispatch and destination and the person who arranges the shipment; (b) in the event a quantity higher than 250 kg is requested by the person who arranges the shipment, that person shall provide the information contained in Annex VII, to the extent possible, to the competent authorities of dispatch and destination together with the reasoned explanation why such a larger quantity is needed to perform the analysis or trial.
Article 5 Notification
1. Where a notifier intends to ship waste referred to in Article 4(1), (2) or (3), the notifier shall submit a prior written notification (‘notification’) to all competent authorities concerned. A notifier referred to in Article 3, point (6)(a)(ii), (iii) or (iv), may only submit a notification where the notifier has obtained a permit or is registered in accordance with Chapter IV of Directive 2008/98/EC. Where a notifier submits a general notification for several shipments as referred to in Article 13, the notifier shall also comply with the requirements laid down in that Article. Where a shipment is destined for a pre-consented facility pursuant to Article 14, the procedural requirements in paragraphs 12, 14, 15 and 16 of that Article shall apply. Where a shipment is destined for interim recovery or interim disposal, Article 15 shall also apply. 2. The notification shall include the following documents: (a) the notification document set out in Annex IA (‘the notification document’); (b) the movement document set out in Annex IB (‘the movement document’). The notifier shall provide the information indicated in the notification document and, where relevant, the information indicated in the movement document. When the notifier is not the original waste producer as referred to in Article 3, point (6)(a)(i), the notifier shall ensure that the original waste producer or one of the persons indicated in Article 3, point (6)(a)(ii), (iii) or (v), where practicable, also signs the notification document. A dealer or broker shall ensure they have a written authorisation from one of the persons referred to in Article 3, point (6)(a)(i), (ii) or (iii), to act on their behalf, and that such written authorisation is included in the notification. 3. The notification document or annex thereto shall contain the information and documentation listed in Part 1 of Annex II. The movement document or annex thereto shall contain the information and documentation referred to in Part 2 of Annex II, to the extent possible at the time of notification. 4. Where requested by any of the competent authorities concerned, the notifier shall provide the information and documentation required under paragraph 3 and the additional information and documentation set out in Part 3 of Annex II to all competent authorities concerned. The competent authority which made the request shall inform the other competent authorities concerned of that request. 5. A notification shall be considered properly carried out once the competent authority of dispatch is satisfied that the notification document and movement document have been completed in accordance with paragraphs 3 and 4. 6. A notification shall be considered properly completed once all the competent authorities concerned are satisfied that the notification document and movement document have been completed in accordance with paragraphs 3 and 4 or once all information and documentation requested by them in accordance with paragraph 4 have been received. 7. The notifier shall provide a copy of the contract concluded in accordance with Article 6 and a declaration certifying its existence in accordance with Annex IA to the competent authorities concerned at the time of notification. 8. The notifier shall provide a declaration that a financial guarantee or equivalent insurance has been established in accordance with Article 7 by completing the appropriate part of the notification document. The financial guarantee or equivalent insurance as referred to in Article 7 or, if the competent authorities concerned so allow, a declaration certifying its existence in accordance with the form set out in Annex IA shall be provided to the competent authorities concerned as part of the notification document at the time of notification. By way of derogation from the second subparagraph, the documentation referred to in that subparagraph may, where the competent authorities concerned so allow, be provided after the notification is submitted, at the latest at the time of completion of the movement document in accordance with Article 16(2). 9. The notification shall cover the shipment from the location from which the shipment starts and cover any interim or non-interim recovery or interim or non-interim disposal. Where subsequent interim or non-interim recovery or subsequent interim or non-interim disposal is carried out in a country other than the first country of destination, the non-interim recovery or non-interim disposal and the location of that recovery or disposal shall be indicated in the notification and Article 15(7) applies. 10. Only one waste identification code as mentioned in Annex III, Annex IIIA, Annex IIIB or Annex IV shall be specified in the notification document and the movement document. In cases where wastes are not classified under one single entry in either Annex III, Annex IIIB or Annex IV, only one waste identification code from the list of waste referred to in Article 7 of Directive 2008/98/EC shall be specified in the notification document and the movement document, except for: (a) wastes not classified under one single entry in either Annex III, Annex IIIB or Annex IV which can be specified using more than one waste identification code from the list of waste referred to in Article 7 of Directive 2008/98/EC, where all waste covered by the notification has essentially similar physical and chemical characteristics, but is not a mixture of wastes; or (b) mixtures of wastes not classified under one single entry in either Annex III, Annex IIIA, Annex IIIB or Annex IV, for which the waste identification code from the list of waste referred to in Article 7 of Directive 2008/98/EC and the waste identification code from either Annex III, IIIB or IV for each fraction of the waste shall be specified in order of importance in the notification document and the movement document, or where those identification codes are not available for all fractions, the waste identification code from the list of waste referred to in Article 7 of Directive 2008/98/EC for the mixture as well as for each fraction of the waste shall be specified in order of importance in the notification document and the movement document. 11. Wastes or mixtures of wastes specified in accordance with paragraph 10of this Article may be further specified by providing the relevant waste identification codes from the list of waste referred to in Article 7 of Directive 2008/98/EC and other relevant identification codes.
Article 6 Contract
1. Shipments of waste for which a notification is required shall be subject to the requirement of the conclusion of a contract between the notifier and the consignee for the recovery or disposal of the waste. If the consignee is not the operator of the facility for the recovery or disposal of the notified waste, the contract shall also be signed by the operator of the facility. 2. The contract referred to in paragraph 1 shall be concluded and effective at the time of notification and shall remain effective for the duration of the shipment until a certificate is issued in accordance with Article 15(5), Article 16(6), or, where appropriate, Article 15(4). The contract shall be consistent with the corresponding notification document and the movement document and at least contain information on the notifier, the consignee and the facility, the identity of the persons representing each party, the notification number, the designation and composition of the waste, the waste identification codes, the quantity of waste covered by the contract, the recovery or disposal operation and the period of validity of the contract. 3. The contract shall include obligations: (a) on the notifier to take the waste back or, where applicable, ensure its recovery or disposal in an alternative way, in accordance with Article 22 and Article 25(2) or (3), if the shipment, or the recovery or disposal, has not been completed as intended or if the shipment is an illegal shipment; (b) on the consignee to recover or dispose of the waste in accordance with Article 25(8), if the shipment is an illegal shipment; (c) on the facility where the waste is recovered or disposed of, to provide, in accordance with Article 16(6), a certificate that the waste has been recovered or disposed of, in accordance with the consents given for that notification, the conditions attached to those consents and this Regulation. 4. Where the waste is destined for interim recovery or interim disposal, the contract shall include the following additional obligations: (a) on the facility to provide, in accordance with Article 15(4), and, where appropriate, Article 15(5), the certificate or certificates from the facility or facilities carrying out the non-interim recovery or non-interim disposal operation or operations, that all waste received in accordance with the consents given for that notification, the conditions attached to those consents and with this Regulation, has been recovered or disposed of, specifying, where possible, the quantity and type of waste covered by each certificate; (b) on the consignee to submit, where applicable, a notification to the initial competent authority of the initial country of dispatch in accordance with Article 15(8). 5. Where the waste is shipped between two establishments under the control of the same legal entity, the contract referred to in paragraph 1 may be replaced by a declaration by that legal entity. That declaration shall cover the obligations referred to in paragraph 3.
Article 7 Financial guarantee or equivalent insurance
1. Shipments for which a notification is required shall be subject to the requirement of a financial guarantee or equivalent insurance, covering all of the following: (a) costs of transport of waste; (b) costs of recovery or disposal, including any necessary interim operation; (c) costs of storage for 90 days. 2. The financial guarantee or equivalent insurance shall cover costs arising in the context of all the following cases: (a) where a shipment, or the recovery or disposal, cannot be completed as intended, as referred to in Article 22; (b) where a shipment, or the recovery or disposal, is illegal, as referred to in Article 25. 3. The financial guarantee or equivalent insurance shall be established by the notifier or by another natural or legal person on behalf of the notifier and shall be effective at the time of notification or, if the competent authority which approves the financial guarantee or equivalent insurance so allows, at the latest at the time of completion of the movement document in accordance with Article 16(2). The financial guarantee or equivalent insurance shall apply to the shipment at the latest from when the shipment starts. 4. The competent authority of dispatch shall approve the financial guarantee or equivalent insurance, including the form, wording and amount of the cover. 5. The financial guarantee or equivalent insurance shall be valid for and cover the shipment and completion of recovery or disposal. The financial guarantee or equivalent insurance shall be released when the competent authority that has approved it has received the certificate referred to in Article 16(6) or, where appropriate, the certificate referred to in Article 15(5) as regards interim recovery or interim disposal. 6. By way of derogation from paragraph 5, where the waste is destined for interim recovery or interim disposal and subsequent recovery or subsequent disposal is carried out in the country of destination, the competent authorities of dispatch and destination may agree that the financial guarantee or equivalent insurance is to be released once the competent authority concerned has received the certificate referred to in Article 15(4). In that case, the competent authority which decides to release the financial guarantee or equivalent insurance shall immediately inform the other competent authorities concerned of its decision, and any subsequent shipment to a recovery or disposal facility shall be covered by a new financial guarantee or equivalent insurance unless the competent authority of destination is satisfied that such a financial guarantee or equivalent insurance is not required. In those circumstances, the competent authority of destination shall be responsible for obligations arising in the case of take-back where the shipment or the subsequent recovery or subsequent disposal cannot be completed as intended, as referred to in Article 22, or in the case of an illegal shipment, as referred to in Article 25. 7. The competent authority within the Union which has approved the financial guarantee or equivalent insurance shall have access to that guarantee or insurance and shall make use of the funding, including for the purpose of payments to other authorities concerned, in order to meet the obligations arising under Articles 24 and 26. 8. In the case of a general notification pursuant to Article 13, a financial guarantee or equivalent insurance covering parts of the general notification may be established, instead of one covering the entire general notification. In such cases, the financial guarantee or equivalent insurance shall apply to the parts of the notified shipment which it covers at the latest at the time of completion of the movement document in accordance with Article 16(2). 9. The financial guarantee or equivalent insurance referred to in paragraph 8 of this Article shall be released when the competent authority that approved it receives the certificate referred to in Article 16(6) or, where relevant, in Article 15(5), as regards interim recovery or interim disposal for the waste. Paragraph 6 of this Article shall apply mutatis mutandis . 10. The Commission shall assess the feasibility of establishing a simple, risk-based and harmonised calculation method for determining the amount of financial guarantees or equivalent insurances and, if appropriate, adopt an implementing act to establish such a simple, risk-based and harmonised calculation method. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 81(2). In carrying out the assessment referred to in the first subparagraph the Commission shall take into account, inter alia, the relevant rules of the Member States relating to the calculation of the financial guarantee or equivalent insurance as referred to in this Article.
Article 8 Requests for information and documentation by the competent authorities concerned
1. If the notification is considered not to be properly carried out as referred to in Article 5(5), the competent authority of dispatch shall request information and documentation from the notifier in accordance with Article 5(3) and, where applicable, with Article 5(4). 2. The request for information and documentation referred to in paragraph 1 shall be submitted to the notifier as soon as possible, but no later than 10 working days after submission of the notification. 3. The notifier shall provide the information and documentation referred to in paragraph 1 as soon as possible, and no later than 10 working days after the request by the competent authority of dispatch. If requested by the notifier, the competent authority of dispatch may extend that deadline by a reasonable time if the notifier provides a reasoned explanation why such an extension is necessary to be able to provide the requested information and documentation. 4. Where, after the expiry of the deadline referred to in paragraph 3, the competent authority of dispatch still considers that the notification has not been properly carried out as referred to in Article 5(5), or additional information and documentation as referred to in Article 5(4) is still required, it may as soon as possible, and no later than seven working days after the expiry of the deadline referred to in paragraph 3, make up to two more requests for information and documentation from the notifier in accordance with paragraph 2. Paragraph 3 shall apply to any such request mutatis mutandis . 5. The competent authority of dispatch may decide that the notification is not valid and is not to be further processed, if the information and documentation provided is not sufficient or where no information has been provided by the notifier, within the deadline referred to in paragraph 3, or where a first request pursuant to paragraph 4 was made, within the deadline referred to in that paragraph. The competent authority of dispatch shall decide that the notification is not valid and is not to be processed further, if the information and documentation provided upon the final request made in accordance with paragraph 4, is not sufficient or where no information has been provided by the notifier, within the deadline referred to in paragraph 4. The competent authority of dispatch shall inform the notifier and the other competent authorities concerned of its decision pursuant to this paragraph as soon as possible, but no later than seven working days after the expiry of the deadline referred to in paragraph 3, or, where applicable, paragraph 4. 6. Where the competent authority of dispatch considers that the notification has been properly carried out as referred to in Article 5(5), it shall, as soon as possible, but no later than 10 working days after submission of the properly carried out notification, or within seven working days of the expiry of the deadline referred to in paragraph 3, or, where applicable, paragraph 4, inform the notifier and other competent authorities concerned thereof. 7. Where the competent authority of destination or any competent authority of transit considers that information and documentation in accordance with Article 5(3) or additional information and documentation as referred to in Article 5(4) is required, it shall, as soon as possible, but no later than 10 working days after receipt of the information as referred to in paragraph 6, request that information and documentation from the notifier and inform the other competent authorities of that request. 8. The notifier shall provide the information and documentation referred to in paragraph 7, as soon as possible, but no later than 10 working days after the request by the competent authority concerned. If requested by the notifier, the competent authority concerned may extend the deadline referred to in the first subparagraph by a reasonable time, if the notifier provides a reasoned explanation why that such an extension is necessary to be able to provide the requested information and documentation. 9. Where the competent authority of destination or any competent authority of transit considers that information and documentation pursuant to Article 5(3) or additional information and documentation pursuant to in Article 5(4) is still required, the competent authority concerned may as soon as possible, but no later than seven working days after the expiry of the deadline referred to in paragraph 8, make up to two more requests for information and documentation from the notifier in accordance with paragraph 7. Paragraph 8 shall apply to any such request mutatis mutandis . 10. The competent authority of destination or any competent authority of transit may decide that the notification is not valid and is not to be further processed if the information and documentation provided is not sufficient or where no information has been provided by the notifier within the deadline referred to in paragraph 8 or, where a first request pursuant to paragraph 9 was made, within the deadline referred to in that paragraph. The competent authority of destination or any competent authority of transit shall decide that the notification is not valid and is not processed further if the information and documentation provided upon the final request made in accordance with paragraph 8, is not sufficient or where no information has been provided by the notifier within the deadline referred to in paragraph 8. The competent authority of destination or any competent authority of transit shall inform the notifier and the other competent authorities concerned of its decision pursuant to this paragraph, as soon as possible, but no later than seven working days after the expiry of the deadline referred to in paragraph 8, or, where applicable, paragraph 9. 11. The competent authority of destination or any competent authority of transit shall inform the notifier and the other competent authorities concerned that it is satisfied with the properly carried out notification as soon as possible, but no later than three working days after receipt of the information as referred to in paragraph 6 or that it is satisfied with the information and documentation as soon as possible, but no later than three working days after the requested information and documentation have been provided by the notifier pursuant to paragraph 8 and, where relevant, paragraph 9. 12. Where the notification has been properly completed, as referred to in Article 5(6), taking into account the information referred to in paragraph 11, the competent authority of destination shall immediately inform the notifier and the competent authority of dispatch and any competent authority of transit concerned. 13. Where, within 30 working days of the day after the submission of the notification or of the information and documentation having been provided in accordance with paragraph 3 or 4 the competent authority of dispatch has not acted in accordance with paragraph 1, 5 or6, it shall provide the notifier with a reasoned explanation upon request. Where, within 30 working days of the expiry of the deadline referred to in paragraph 7, or of information and documentation having been provided in accordance with paragraph 8 or 9, the competent authority of destination or any competent authority of transit has not acted in accordance with paragraph 7 or paragraph 9, 10, 11 or 12, it shall provide the notifier with a reasoned explanation upon request.
Article 9 Consent by the competent authorities and time periods for shipment, recovery or disposal
1. The competent authorities of destination, dispatch and transit shall take, within 30 days of the date on which the notifier has been informed in accordance with Article 8(12) that the notification has been properly completed, one of the following decisions, which shall be duly reasoned, as regards the shipment: (a) to consent without conditions; (b) to consent with conditions in accordance with Article 10; (c) to raise an objection in accordance with Article 12; (d) not to consent, where the conditions referred to in Article 11 are not fulfilled. By way of derogation from the first subparagraph, the competent authority of dispatch may take a decision in accordance with the first subparagraph, point (c) or (d), after having received the notification and before having considered it properly carried out, if it is evident that the conditions in Article 11 have not been fulfilled or that there are grounds for objection in accordance with Article 12. By way of derogation from the first subparagraph, a competent authority concerned may take a decision in accordance with the first subparagraph, point (c) or (d), before the date on which the notifier has been informed in accordance with Article 8(12), once the notification has been properly carried out, as referred to in Article 5(5). Tacit consent by the competent authorities of transit may be assumed if no objection is lodged within the 30-day time limit referred to in the first subparagraph. 2. The competent authorities of dispatch, destination, and, where appropriate, transit, shall inform the notifier of their decision and the reasons therefor within the 30-day time limit referred to in paragraph 1, first subparagraph, and inform the other competent authorities concerned of that decision. The competent authority shall immediately inform the notifier and the other competent authorities concerned of decisions taken in accordance with paragraph 1, second and third subparagraphs. Tacit consents referred to in the paragraph 1, fourth subparagraph, shall be valid for the period indicated in the written consent given in accordance with the first subparagraph by the competent authority of destination. Where, within 30 days of the date on which the notifier, the competent authority of dispatch or a competent authority of transit concerned has been informed in accordance with Article 8(12), any of the competent authorities concerned has not taken a decision in accordance with paragraph 1, first subparagraph, it shall provide the notifier with a reasoned explanation upon request. 3. If a notifier submits a notification in accordance with Article 5 and, where relevant, with Article 13, to ship, compared to a consented notification, the same type of waste from the same location in the country of dispatch to the same consignee and the same facility and whereby the countries of transit, if any, are the same, the competent authorities concerned shall take into consideration any information previously submitted in accordance with Article 5(2), (3) and (4) or Article 13(2) and (3) and shall take a decision in accordance with paragraph 1 of this Article as soon as possible. 4. A written consent to a shipment shall expire on the earliest date at the end of validity periods as indicated by the competent authorities concerned. It shall not cover a period of more than one year. 5. The shipment shall take place only after fulfilment of the requirements set out in Article 16(1) and (2) and during the period of validity of the tacit or written consent of all competent authorities concerned in accordance with paragraph 4 of this Article. The waste shall have been received by the facility for recovery or disposal before the end of the period of validity of the tacit or written consent of all competent authorities concerned. 6. The recovery or disposal of waste in relation to a shipment shall be completed no later than one year after the receipt of the waste by the facility that recovers or disposes of the waste, unless a shorter period is indicated by the competent authorities concerned in their decision. 7. The competent authorities concerned shall withdraw their tacit or written consent, at the request of the notifier or where they have knowledge of any of the following: (a) the composition of the waste is not as notified; (b) the conditions imposed on the shipment are not respected; (c) the waste is not recovered or disposed of in compliance with the permit of the facility that carries out the recovery or disposal; (d) the waste is to be, or has been, shipped, recovered or disposed of in a way that is not in accordance with the information supplied in, or annexed to, the notification and movement documents; (e) the termination of the financial guarantee; (f) the termination of the contract. 8. The competent authority concerned shall inform the notifier, the other competent authorities concerned and the consignee of any withdrawal of consent, including the reason for such withdrawal. 9. Where consent by any of the competent authorities concerned is withdrawn in accordance with paragraph 7 of this Article, the shipment or the treatment of the waste shall, where applicable, not be allowed to continue and Article 22 or 25 shall apply, as relevant.
Article 10 Conditions to consent to a shipment
1. The competent authorities of dispatch, destination and transit may, within the 30-day time limit referred to in Article 9(1), lay down conditions for their consent to a notified shipment. Such conditions shall be duly reasoned and may be based on one or more of the conditions listed in Article 11 or of the grounds listed in Article 12. 2. The competent authorities of dispatch, destination and transit may also, within the 30-day time limit referred to in Article 9(1), lay down conditions in respect of the transport of waste within their national jurisdiction. Such transport conditions shall not be more stringent than those laid down in respect of the transport of waste occurring wholly within their national jurisdiction and shall take due account of existing agreements, in particular relevant international agreements. 3. The competent authorities of dispatch, destination and transit may also, within the 30-day time limit referred to in Article 9(1), lay down a condition that their consent is to be considered withdrawn if the financial guarantee or equivalent insurance is not applicable at the latest at the time of completion of the movement document pursuant to Article 16(2), as required by Article 7(3). 4. Conditions shall be specified in, or annexed to, the notification document by the competent authority that lays them down. 5. The competent authority of destination may also, within the 30-day time limit referred to in Article 9(1), lay down a condition that the facility which receives the waste shall keep a regular record of inputs, outputs and/or balances for wastes and the related recovery operations or disposal operations as specified in the notification, and for the period of validity of the notification. Such records shall be signed by a person legally responsible for the facility and shall be submitted to the competent authority of destination within one month of completion of the notified recovery operation or disposal operation.
Article 11 Conditions for shipments of waste destined for disposal
1. Where a notification is submitted regarding a shipment destined for disposal in accordance with Article 5, the competent authorities of dispatch and of destination shall not give their consent to that shipment, within the 30-day limit referred to in Article 9(1), unless all the following conditions are fulfilled: (a) the notifier demonstrates that: (i) the waste cannot be recovered in a technically feasible and economically viable manner, or must be disposed of due to legal obligations under Union or international law; (ii) the waste cannot be disposed of in a technically feasible and economically viable manner in the country where it was generated; (iii) the planned shipment or disposal is in accordance with the waste hierarchy and the principles of proximity and self-sufficiency as laid down in Directive 2008/98/EC and the related waste is managed in environmentally sound manner in accordance with Article 59; (b) the competent authorities concerned do not have information that the notifier or the consignee has been convicted of carrying out an illegal shipment or any other illegal act in relation to environmental or human health protection in the 5 years prior to the submission of the notification; (c) the competent authorities concerned do not have information that the notifier or the facility has in the 5 years prior to the submission of the notification, repeatedly failed to comply with Articles 15 and 16 in connection with past shipments; (d) the Member State of destination has not exercised its right pursuant to Article 4(1) of the Basel Convention to prohibit the import of hazardous waste or of waste listed in Annex II to that Convention; (e) the planned shipment and disposal is in accordance with national legislation relating to environmental protection, public order, public safety or health protection in the Member State where the competent authority is located; (f) the planned shipment or disposal does not conflict with obligations resulting from international conventions concluded by the Member State or States concerned or the Union; (g) the waste will be treated in accordance with legally binding environmental protection standards in relation to disposal under Union law or established in waste management plans drawn up pursuant to Article 28 of Directive 2008/98/EC, and, if the facility is covered by Directive 2010/75/EU, it shall apply best available techniques as defined in Article 3(10) of that Directive in compliance with the permit of the facility; (h) the waste is neither mixed municipal waste collected from private households or from other waste producers or both, nor mixed municipal waste which has been subject to a waste treatment operation that has not substantially altered its properties. 2. By derogation from paragraph 1, point (a), where the notifier demonstrates that the waste concerned is produced in a Member State of dispatch in such a small quantity overall per year that the provision of new specialised disposal facilities within that Member State would not be economically viable, the conditions set out in paragraph 1, points (a)(ii) and (iii), shall not apply. 3. Where a competent authority of transit gives consent to a shipment in accordance with Article 9(1) only the conditions set out in paragraph 1, points (b), (c), (e) and (f), of this Article shall be considered. 4. Information on consents given by competent authorities in accordance with paragraph 1 shall be referred to in the report in accordance with Article 73. The Commission shall inform all Member States of such consents taken in the previous calendar year. 5. By 21 May 2027, the Commission shall adopt an implementing act establishing detailed criteria for the uniform application of the conditions laid down in paragraph 1, point (a), to specify how the technical feasibility and economic viability referred to in points (a)(i) and (ii) of that paragraph are to be demonstrated by notifiers and assessed by competent authorities. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 81(2).
Article 12 Objections to shipments of waste destined for recovery
1. Where a notification is submitted regarding a shipment of waste destined for recovery in accordance with Article 5, the competent authorities of destination and dispatch may, within the 30-day time limit referred to in Article 9(1), raise reasoned objections based on one or more of the following grounds: (a) the shipment or recovery would not be in accordance with Directive 2008/98/EC; (b) the waste concerned will not be treated in accordance with waste management plans or waste prevention programmes drawn up by the countries of dispatch or destination, respectively, pursuant to Articles 28 and 29 of Directive 2008/98/EC; (c) the shipment or recovery would not be in accordance with national legislation relating to environmental protection, public order, public safety or health protection concerning actions taking place in the country of the objecting competent authority; (d) the shipment or recovery would not be in accordance with national legislation in the country of dispatch relating to the recovery of waste and to the recovery or disposal of residual waste generated through the recovery of the waste concerned, including where the shipment would concern waste destined for recovery in a facility which has lower treatment standards for the particular waste than those of the country of dispatch, respecting the need to ensure the proper functioning of the internal market, unless: (i) there is corresponding Union legislation, in particular related to waste, and requirements that are at least as stringent as those laid down in such Union legislation have been introduced in national law implementing such Union legislation; (ii) the recovery and the recovery or disposal of residual waste generated through the recovery of the waste concerned in the country of destination is carried out under conditions that are considered equivalent to those prescribed in the national legislation of the country of dispatch; (iii) the national legislation in the country of dispatch, other than that covered by point (i), has not been notified in accordance with Directive (EU) 2015/1535 of the European Parliament and of the Council ( 41 ) , where required by that Directive; (e) limiting incoming shipments of waste destined for recovery operations other than recycling and preparing for re-use is necessary for a Member State in order to protect its waste management network, where it is expected, based on available information, that such shipments would result in domestic waste having to be disposed of or treated in a way that is not consistent with its waste management plans; (f) the competent authorities concerned do not have information that the notifier or the consignee has been convicted of carrying out an illegal shipment or any other illegal act in relation to environmental or human health protection in the 5 years prior to the submission of the notification; (g) the competent authorities concerned do not have information that the notifier or the facility has, in the 5 years prior to the submission of the notification, repeatedly failed to comply with Articles 15 and 16 in connection with past shipments; (h) the shipment or recovery conflicts with obligations resulting from international conventions concluded by the Member State or States concerned or by the Union; (i) 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 of the waste do not justify the recovery, having regard to economic or environmental considerations; (j) the waste is destined for disposal and not for recovery; (k) the waste will not be treated in accordance with legally binding environmental protection standards in relation to recovery operations, or with recovery or recycling obligations established in Union legislative acts, or the waste will be treated in a facility which is covered by Directive 2010/75/EU but which does not apply the best available techniques as defined in Article 3(10) of that Directive. 2. The competent authorities of transit may, within the 30-day time limit referred to in paragraph 1, raise reasoned objections to the shipment of waste destined for recovery. Any such objection shall be based only on the grounds set out in paragraph 1, points (c), (f), (g) and (h). 3. Where, within the 30-day time limit referred to in paragraph 1, the competent authorities consider that the problems which gave rise to their objections have been resolved, they shall immediately inform the notifier thereof. 4. Where the problems giving rise to the objections are not resolved within the 30-day time limit referred to in paragraph 1, the notification of the shipment of waste destined for recovery shall cease to be valid. In cases where the notifier still intends to carry out the shipment, a new notification shall be submitted, unless all the competent authorities concerned and the notifier agree otherwise. 5. Objections raised by competent authorities on the grounds set out in paragraph 1, points (d) and (e), of this Article and the reasons for those objections shall be communicated to the Commission in accordance with Article 73. 6. In accordance with Article 9(2), the competent authorities shall inform the notifier of the reasons for their objections to a shipment. 7. The Member States of dispatch shall inform the Commission and the other Member States of the national legislation on which objections raised by competent authorities in accordance with paragraph 1, point (d), may be based, and shall state to which waste and recovery operations as well as the recovery or disposal operations of residual waste generated through the recovery of the waste concerned those objections apply, before such national legislation is invoked as grounds for reasoned objections. The Member States of destination shall inform the Commission and the other Member States of decisions or national legislation on which objections raised by competent authorities in accordance with paragraph 1, point (e), may be based and shall state to which waste and recovery operations those objections apply, before such decisions or national legislation is invoked as grounds for reasoned objections.
Article 13 General notification
1. The notifier may submit a general notification covering several shipments where all the following requirements are fulfilled: (a) the waste contained in the different shipments, as identified in accordance with Article 5(10), has essentially similar physical and chemical characteristics; (b) the waste contained in the different shipments is shipped to the same consignee and the same facility; (c) the countries of transit, if any, are the same, the routing of the different shipments is indicated in or annexed to the notification document and the location from which the shipment starts is the same. 2. The notifier may indicate in an annex attached to the notification document one or more possible alternative routings. The movement document completed in accordance with Article 16(2) shall provide information on the routing indicated in the notification document that is to be followed, as well as on any alternative routings to be followed in case of unforeseen circumstances and indicated in the notification document. 3. The competent authorities concerned may make their agreement to the use of a general notification subject to the subsequent provision of additional information and documentation, in accordance with Article 5(3) to (6).
Article 14 Pre-consented recovery facilities
1. A legal or natural person owning or exercising control over a recovery facility may submit a request for that facility to be pre-consented to the competent authority which has jurisdiction over the facility, as designated pursuant to Article 75. Facilities that only carry out operation R13 shall not be eligible to submit a request as referred to in the first subparagraph. 2. The request referred to in paragraph 1 shall include the following information: (a) the name, registration number and address of the recovery facility; (b) copies of permits issued to the recovery facility to carry out waste treatment pursuant to Article 23 of Directive 2008/98/EC, as well as, where relevant, standards or certifications with which the facility complies; (c) a description of the technology employed to ensure the environmentally sound recovery of waste in the recovery facility, for which the pre-consent is requested, including technology designed to save energy or limit the emission of greenhouse gases linked to the activities of the facility; (d) the R-code or codes as referred to in Annex II of Directive 2008/98/EC for the recovery operation or operations for which the pre-consent is requested; (e) the designation and composition of the waste, the physical characteristics and the waste identification code or codes for the wastes for which the pre-consent is requested, as listed in Annex IV to this Regulation or in the list of waste referred to in Article 7 of Directive 2008/98/EC; (f) the total quantity of each type of waste for which the pre-consent is requested, compared to the treatment capacity for which the facility is permitted to carry out waste treatment pursuant to Article 23 of Directive 2008/98/EC; (g) the quantity of residual waste generated through the recovery of the waste in relation to the quantity of recovered material, and the planned method of recovery or disposal for the residual waste; (h) records of the activities of the facility linked to waste recovery, covering in particular the quantity and types of waste treated in the last three years, where relevant; (i) evidence or an attestation that the legal or natural person owning or exercising control over the facility has not been convicted of having carried out an illegal shipment or any other illegal act in relation to waste management in the 5 years prior to the request, in particular with regard to the protection of the environment or human health. 3. The Commission is empowered to adopt delegated acts in accordance with Article 80 to amend paragraph 2 of this Article as regards the information to be included in the request. 4. The procedure referred to in paragraphs 5 to 10 of this Article shall apply to pre-consent a facility for which a request was submitted in accordance with paragraph 1. 5. The competent authority shall, within 55 days after the date of receipt of a request submitted pursuant to paragraph 1 and containing the information as referred to in paragraph 2, assess the request and decide whether to approve it. 6. Where the legal or natural person referred to in paragraph 1 has provided all the information referred to in paragraph 2, the competent authority shall approve the request and issue a pre-consent for the facility concerned. The pre-consent may contain conditions relating to the duration of the pre-consent, the types and quantities of waste covered by the pre-consent, the technology used or other conditions necessary to ensure that the waste is managed in an environmentally sound manner. 7. By way of derogation from paragraph 6, the competent authority may refuse to approve the request for pre-consent if it is not satisfied that issuing the pre-consent will ensure that the waste will be managed in accordance with the waste hierarchy and other requirements laid down in Directive 2008/98/EC or, where relevant, that best available techniques will be applied in accordance with conclusions established under Directive 2010/75/EU. 8. The decision to approve or refuse the request for pre-consent shall be communicated to the legal or natural person that submitted the request as soon as it is taken by the competent authority and shall be duly reasoned. 9. The pre-consent of a recovery facility shall be valid for 10 years, unless stated otherwise in the decision to approve the request for pre-consent. During that period the competent authority shall conduct at least one inspection in accordance with Article 60. Additional inspections shall be conducted if needed on the basis of the risk-based assessment approach as referred to in Article 62. 10. A pre-consent of a recovery facility may be revoked at any time by the competent authority, if information becomes available which shows that the information provided in accordance with paragraph 2 is false or that the conditions in paragraph 6 are no longer fulfilled. A decision to revoke a pre-consent shall be duly reasoned and communicated to the facility concerned. 11. The legal or natural person referred to in paragraph 1 shall immediately inform the competent authority concerned of any change in the information submitted in accordance with paragraph 2. The competent authority concerned shall duly assess those changes and, if necessary, update or revoke the pre-consent. 12. In the case of a general notification submitted in accordance with Article 13 relating to shipments destined to a pre-consented facility, the period of validity of the consent referred to in Article 9(4) shall be extended to three years. By way of derogation from the first subparagraph, the competent authorities concerned may decide, in duly justified cases, to extend the period of validity for a period shorter than 3 years. 13. The competent authorities that have issued a pre-consent to a facility in accordance with this Article shall, using the form set out in Annex VI, inform the Commission and, where appropriate, the OECD Secretariat of the following: (a) the name, registration number and address of the recovery facility; (b) a description of the technology employed, and the R-code or codes as referred to in Annex II to Directive 2008/98/EC; (c) the waste identification code or codes for the wastes to which the pre-consent applies; (d) the total pre-consented quantity; (e) the period of validity of the pre-consent; (f) any change in the pre-consent; (g) any change in the information notified; (h) any revocation of the pre-consent. 14. By way of derogation from Articles 9, 10 and 12, the consent given in accordance with Article 9(1), the conditions imposed in accordance with Article 10 or the objections raised in accordance with Article 12 by all the competent authorities concerned with respect of a notification for a shipment destined for a pre-consented facility shall be subject to a time limit of seven working days after the date on which the notifier has been informed in accordance with Article 8(12) that the notification has been properly completed. 15. If one or more competent authorities wish to request additional information in accordance with Article 8(2), (4), (7) or (9), in relation to a notification for shipments to a pre-consented facility, the periods mentioned in those paragraphs, as well as in Article 8(3) and (8), shall be shortened to: (a) five working days for Article 8(2), (3), (7) and (8); and (b) three working days for Article 8(4) and (9). 16. Notwithstanding paragraph 14, a competent authority concerned may decide that more time is needed in order to receive further information or documentation from the notifier. In such cases, that competent authority shall, within seven working days of the date on which the notifier has been informed in accordance with Article 8(12) that the notification has been properly completed, inform the notifier and the other competent authorities concerned. The total time needed to take one of the decisions as referred to in Article 9(1) shall not exceed 30 days from the date on which the notifier has been informed in accordance with Article 8(12) that the notification has been properly completed.
Article 15 Additional provisions regarding interim recovery and interim disposal
1. Where a shipment is destined for interim recovery or interim disposal, all the facilities where subsequent interim or non-interim recovery or subsequent interim or non-interim disposal is envisaged shall also be indicated in the notification document in addition to the initial interim recovery or interim disposal. 2. The competent authorities of dispatch and destination shall only give their consent to a shipment of waste destined for an interim recovery operation or interim disposal operation if they consider that the conditions in Article 11 are fulfilled or they have no reason to raise an objection, in accordance with Article 12, concerning the shipment or shipments to the facilities carrying out any subsequent interim or non-interim recovery or subsequent interim or non-interim disposal. 3. Within two working days of the receipt of the waste by the facility which carries out the interim recovery operation or interim disposal operation, that facility shall provide confirmation to the notifier and the competent authorities concerned that the waste has been received. That confirmation shall be supplied in or annexed to the movement document. 4. As soon as possible, but no later than 30 days after completion of the interim recovery operation or interim disposal operation, and no later than one year, or the shorter period referred to in Article 9(6), after the receipt of the waste, the facility carrying out that operation shall, under its responsibility, provide a certificate to the notifier and the competent authorities concerned that the operation has been completed. That certificate shall be supplied in or annexed to the movement document. 5. When a recovery or disposal facility which carries out an interim recovery operation or interim disposal operation delivers the waste for any subsequent interim or non-interim recovery operation or subsequent interim or non-interim disposal operation to a facility located in the country of destination, it shall obtain as soon as possible and no later than one year, or the shorter period referred to in Article 9(6), after delivery of the waste a certificate from that facility that the subsequent interim or non-interim recovery and interim or non-interim disposal operation has been completed. The facility carrying out an interim recovery operation or interim disposal operation as referred to in paragraph 3 shall promptly transmit, the relevant certificates to the notifier and the competent authorities concerned, identifying the shipments to which the certificates pertain. 6. In order to ensure the consistency of the content of the certificate in the first subparagraph of paragraph 5 throughout the Union, the Commission shall, in good time before adopting the implementing act pursuant to Article 27(5), and at the latest by 21 May 2025, adopt a delegated act supplementing this Article establishing the information to be provided in such a certificate. That delegated act shall be adopted in accordance with Article 80. 7. Where a delivery as referred to in paragraph 5 of this Article is made to a facility located in the initial country of dispatch or in another Member State and it concerns shipments of waste as referred to in Article 4(1), (2) or (3), a new notification shall be required in accordance with this Regulation. 8. Where a delivery as referred to in paragraph 5 of this Article is made to a facility in a third country and it concerns shipments as referred to in Article 4(1), (2) or (3), a new notification shall be required in accordance with this Regulation and the provisions concerning the competent authorities concerned shall also apply to the initial competent authority of the initial country of dispatch.
Article 16 Requirements following consent to a shipment
1. After the competent authorities concerned have given consent to a notified shipment, all undertakings involved shall complete the movement document, or, in the case of a general notification, the movement documents at the points indicated. They shall ensure that the information in the movement document is made electronically available via a system referred to in Article 27, including during the time of transport of waste, to the other natural and legal persons involved in the shipment, the competent authorities concerned and the authorities involved in inspections. 2. Once the notifier has received written consent from the competent authorities of dispatch, destination and transit, or may assume tacit consent by the competent authority of transit, the notifier shall provide the actual date of shipment and complete the movement document to the extent possible, in accordance with the instructions for completing the notification and movement documents in Annex IA and IB in accordance with Annex IC, and submit it to the competent authorities concerned and to the other natural and legal persons involved in the shipment, at least two working days before the shipment starts. However, information on the actual quantity of the waste, carrier or carriers and, where applicable, container identification number may be submitted at the latest before the start of the shipment. 3. The notifier shall ensure that, in addition to making the movement document available in accordance with paragraph 1, the notification document containing the consents of and the conditions imposed by the competent authorities concerned is made electronically available, including during the transport of waste, to the competent authorities concerned and to the authorities involved in inspections. 4. Where the documents referred to in paragraphs 1 and 3 cannot be made available online during the transport of waste, the notifier and the carrier or carriers shall ensure that the documents are available by other means in the transport vehicle. In such cases, the notifier shall ensure that any changes or additions to the documents during the transport of waste are submitted via a system referred to in Article 27. 5. The facility shall, within two working days of receipt of the waste, provide confirmation to the notifier and the competent authorities concerned that the waste has been received. That confirmation shall be supplied in, or annexed to, the movement document. 6. The facility carrying out a non-interim recovery operation or non-interim disposal operation shall, as soon as possible and no later than 30 days after completion of that operation, and no later than one year, or the shorter period referred to in Article 9(6), after receipt of the waste, under its responsibility, provide a certificate that the non-interim recovery or non-interim disposal has been completed. 7. The certificate referred to in paragraph 6, shall be submitted to the notifier and the competent authorities concerned.
Article 17 Changes after consent
1. If any essential change is made to the details or conditions of the consent, the notifier shall inform the competent authorities concerned and the consignee immediately and, where possible, before a shipment starts. Essential changes shall be deemed to be, inter alia, changes compared to those indicated in the notification in the quantity of waste, in the routing, including possible alternative routings, the date or dates of shipment or the carrier or carriers, or changes to the duration of the shipment, due to unforeseen circumstances occurring after the start of the shipment, leading to a shipment exceeding its period of validity. 2. In the case of an essential change as referred to in paragraph 1, a new notification shall be submitted, unless all the competent authorities concerned consider that no new notification is required and inform the notifier thereof. The competent authorities shall inform the notifier as soon as possible but no later than five working days after receipt of the information pursuant to paragraph 1. A planned shipment shall not take place until the notifier has been informed by the competent authorities concerned. Where a shipment has already started, the notifier shall ensure that the consignment is halted as soon as practicable until the notifier is informed by the competent authorities concerned whether a new notification is required. 3. Where essential changes referred to in paragraph 1 involve competent authorities other than those concerned in the original notification, a new notification shall be submitted.
Article 18 General information requirements
1. Shipments of waste referred to in Article 4(4) and (5) shall be subject to the general information requirements set out in paragraphs 2 to 10 of this Article. 2. A shipment referred to in paragraph 1 may only be arranged by the person who arranges the shipment referred to in Article 3, points (7)(ii), (iii) and (iv), when that person has obtained a permit or is registered in accordance with Chapter IV of Directive 2008/98/EC. 3. The person who arranges the shipment shall only ship waste to a waste recovery facility which has obtained a permit or registration in accordance with Chapter IV of Directive 2008/98/EC. The facility shall present the permit or proof of registration to the person who arranges the shipment before the shipment occurs. 4. All undertakings involved in the shipment shall complete the form set out in Annex VII with the relevant information at the points indicated and ensure that the information is made electronically available in accordance with Article 27, including during the transport of waste, to the other persons involved in the shipment, the competent authorities concerned and the authorities involved in inspections. Where the person who arranges the shipment is not the original waste producer referred to in Article 3, point (7)(i), the person who arranges the shipment shall ensure that the original waste producer or one of the persons indicated in Article 3, point (7)(ii), (iii) or (v), where practicable, also signs the Annex VII document. 5. The person who arranges the shipment shall complete the form set out in Annex VII with the relevant information to the extent possible, no later than two working days before the shipment starts. However, information on the actual quantity of the waste, the carrier or carriers and, where applicable, the container identification number may be submitted at the latest before the start of the shipment. 6. Where the information referred to in paragraphs 4 and 5 cannot be made available online during the transport of waste, the person who arranges the shipment and the carrier or carriers shall ensure that the information is available by other means in the transport vehicle, provided that the information is consistent with the information made available electronically in accordance with paragraphs 4 and 5. In such cases, the person who arranges the shipment shall ensure that any changes or additions to the documents during the transport of waste are submitted via a system referred to in Article 27. 7. Where a shipment is destined for interim recovery, the facility where the interim or non-interim recovery directly following the initial interim recovery is envisaged, and the R-codes of those operations, shall also be indicated in the Annex VII document in addition to the initial interim recovery, as well as, where practicable, the facilities where subsequent interim or non-interim recovery is envisaged and the R-codes of the related recovery operations. 8. The recovery facility or the laboratory shall, within two working days of receipt of the waste, provide confirmation to the person who arranges the shipment that the waste has been received by completing the relevant information contained in Annex VII. Where the recovery facility or the laboratory has no access to a system as referred to in Article 27, it shall provide the confirmation via the person who arranges the shipment. 9. The recovery facility shall, as soon as possible and no later than 30 days after completion of the recovery operation, and no later than one year after receipt of the waste, under its responsibility, provide a certificate, that the recovery has been completed by completing the relevant information contained in Annex VII. Where the recovery facility has no access to a system referred to in Article 27, it shall provide the certificate via the person who arranges the shipment. 10. All shipments of waste referred to in Article 4(4) and (5) shall be subject to the requirement of the conclusion of a contract between the person who arranges the shipment and the consignee for the recovery of the waste. If the consignee is not the operator of the facility, the contract shall also be signed by the operator of the facility. The contract referred to in the first subparagraph shall be concluded and effective at the latest by the time the Annex VII document is completed in accordance with paragraph 5 and shall remain effective for the duration of the shipment until a certificate is issued in accordance with paragraph 9. The contract shall be consistent with the corresponding Annex VII documents and at least contain information on the person who arranges the shipment, the consignee and the facility, the identity of the persons representing each party, the description of the waste, the waste identification codes, the quantity of waste covered by the contract, the recovery operation and the period of validity of the contract. The contract shall include an obligation that where the shipment of waste or its recovery cannot be completed as intended or where it has been effected as an illegal shipment, the person who arranges the shipment or, where that person is not in a position to ensure completion of the shipment of waste or its recovery, the consignee, is to take the waste back or ensure that it is recovered in an alternative way, and, if necessary, that it is stored in the meantime. 11. The person who arranges the shipment or the consignee shall provide a copy of the contract referred to in paragraph 10 and of any agreement pursuant to Article 4(5) to the authorities involved in inspections at their request. 12. The information required in Annex VII shall be available for inspection, enforcement, planning and statistical purposes by Member States and the Commission, in accordance with Article 27 and national legislation. 13. The information referred to in paragraphs 2 to 9 shall be treated as confidential where that is required by Union or national legislation. 14. Where the waste is shipped between two establishments under the control of the same legal entity, the contract referred to in paragraph 10 may be replaced by a declaration by that legal entity. That declaration shall cover mutatis mutandis the obligations referred to in paragraph 10. 15. By 21 May 2026, the Commission shall adopt a delegated act in accordance with Article 80 to supplement this Regulation by setting out instructions on how to complete the Annex VII document.
Article 19 Prohibition on mixing waste during shipment
From the start of the shipment until the receipt of the waste by a recovery or disposal facility, the waste, as specified in the notification or as referred to in Article 18, shall not be mixed with other waste or other substances or objects.
Article 20 Keeping of documents and information
1. The competent authorities, the notifier, the consignee and the facility which receives the waste shall keep in the Union all information and documents submitted or exchanged in relation to notified shipments for at least five years from the date on which a certificate has been provided in accordance with Articles 15(4) or 16(6). In the case of general notifications in accordance with Article 13, the obligation referred to in the first subparagraph shall apply from the date on which the last certificate has been provided in accordance with Articles 15(4) or 16(6). 2. Information provided pursuant to Article 18 shall be kept in the Union for at least five years from the date on which a certificate has been provided in accordance with Article 18(9), by the person who arranges the shipment, the consignee and the facility which receives the waste. 3. The competent authorities shall keep in the Union all information and documents submitted or exchanged in relation to illegal shipments for at least five years from the date on which a take-back or alternative recovery or disposal has been completed.
Article 21 Publication of information on shipments
The Commission shall publish the information on notifications of shipments and on shipments subject to the general information requirements as referred to in Annex XII via its website and update it on a monthly basis. The Commission shall for that purpose extract the relevant data from the central system as referred to in Article 27.
Article 22 Take-back when a consented shipment cannot be completed as intended
1. Where any of the competent authorities concerned becomes aware that a shipment of waste, or its recovery or disposal, to which the competent authorities concerned have given consent, cannot be completed as intended in accordance with the terms of the notification and movement documents or contract referred to Article 6, and where such shipment is not an illegal shipment, such authority shall immediately inform the competent authority of dispatch thereof. Where a recovery or disposal facility rejects a shipment received, it shall immediately inform the competent authority of destination. 2. The competent authority of dispatch shall ensure that, except in cases referred to in paragraph 3, the waste in question is taken back to its area of jurisdiction or elsewhere within the country of dispatch by the notifier, or, where relevant, by a person deemed to be the notifier in accordance with paragraph 11 or 12, in order to arrange for its disposal or recovery. Where that is impracticable, that competent authority itself or a natural or legal person on its behalf shall comply with this Article. The take-back referred to in the first subparagraph shall take place within 90 days, or such other period as may be agreed between the competent authorities concerned, after the competent authority of dispatch becomes aware or has been advised by the competent authorities of destination or transit that the consented shipment of waste or its recovery or disposal cannot be completed as intended and has been informed of the reasons therefor. Such advice may result from information submitted to the competent authorities of destination or transit, inter alia, by other competent authorities. 3. The take-back obligation set out in paragraph 2 shall not apply if the competent authorities of dispatch, transit and destination concerned are satisfied that the waste can be recovered or disposed of in an alternative way in the country of destination or elsewhere by the notifier, or, where relevant, by a person deemed to be the notifier in accordance with paragraph 11 or 12, or, if that is impracticable, by the competent authority of dispatch or by a natural or legal person on its behalf. The take-back obligation set out in paragraph 2 shall not apply if the waste shipped has, in the course of the operation at the facility concerned, been irreversibly mixed with other waste, so that its composition or nature has changed or that the waste in question can no longer be separated before a competent authority concerned has become aware of the fact that the notified shipment cannot be completed as referred to in paragraph 1. Such mixture of wastes shall be recovered or disposed of in an alternative way in accordance with the first subparagraph of this paragraph. 4. In cases of alternative arrangements as referred to in paragraph 3, the notifier, or, where relevant, the person deemed to be the notifier in accordance with paragraph 11 or 12, or, if that is impracticable, the competent authority of dispatch or the natural or legal person on its behalf, shall ensure that the waste concerned is managed in an environmentally sound manner in accordance with Article 59. 5. In cases of take-back as referred to in paragraph 2, a new notification shall be submitted, unless the competent authorities concerned agree that a duly reasoned request by the initial competent authority of dispatch is sufficient. A new notification, where appropriate, shall be submitted by the initial notifier or, where relevant, a person deemed to be the notifier in accordance with paragraph 11 or 12, or, if that is also impracticable, by the initial competent authority of dispatch or by a natural or legal person on its behalf. The competent authorities shall not oppose or object to the return of waste from a shipment that cannot be completed as intended or to the related recovery and disposal operation. 6. In cases of alternative arrangements outside the initial country of destination as referred to in paragraph 3, a new notification, where appropriate, shall be submitted by the initial notifier or, where relevant, a person deemed to be the notifier in accordance with paragraph 11 or 12 or, if that is impracticable, by the initial competent authority of dispatch or by a natural or legal person on its behalf. When such a new notification is submitted by the notifier, it shall also be submitted to the competent authority of the initial country of dispatch. 7. In cases of alternative arrangements in the initial country of destination as referred to in paragraph 3, a new notification shall not be required and a duly reasoned request shall suffice. Such a duly reasoned request, seeking agreement to the alternative arrangement, shall be submitted to the competent authorities of destination and dispatch by the initial notifier or, if that is impracticable, to the competent authority of destination by the initial competent authority of dispatch. 8. If no new notification is to be submitted in accordance with paragraph 5 or 7, a new movement document shall be completed in accordance with Article 15 or Article 16 by the initial notifier or, where relevant, a person deemed to be the notifier in accordance with paragraph 11 or 12 or, if that is impracticable, by the initial competent authority of dispatch or by a natural or legal person on its behalf. Where a new notification is submitted by the initial competent authority of dispatch in accordance with paragraph 5 or 6, a new financial guarantee or equivalent insurance shall not be required. 9. The obligation of the notifier or, where applicable, the obligation of the country of dispatch to take the waste back or arrange for alternative recovery or disposal shall end when the facility issues the certificate of non-interim recovery or non-interim disposal referred to in Article 16(6), or, where appropriate, in Article 15(5). In the case of interim recovery or interim disposal referred to in Article 7(6), the obligation of the country of dispatch shall end when the facility issues the certificate referred to in Article 15(4). Where a facility issues a certificate of recovery or disposal in such a way that it results in an illegal shipment, with the consequence that the financial guarantee is released, Article 25(8) and Article 26(2) shall apply. 10. Where waste from a shipment which cannot be completed as intended, or its recovery or disposal, is discovered within a Member State, the competent authority with jurisdiction over the area where the waste was discovered shall be responsible for ensuring that arrangements are made for the safe storage of the waste pending its return or non-interim recovery or non-interim disposal in an alternative way. 11. Where a notifier specified in Article 3, point (6)(a)(iv), fails to fulfil any of the take-back obligations set out in this Article and Article 24, the original waste producer, the new waste producer or the collector specified in Article 3, point (6)(a)(i), (ii) or (iii), respectively who authorised the dealer or broker to act on its behalf shall be deemed to be the notifier for the purposes of those take-back obligations. 12. Where a notifier specified in Article 3, point (6)(a)(i), (ii) or (iii), fails to fulfil any of the take-back obligations set out in this Article and Article 24, the waste holder specified in Article 3, point (6)(a)(v), shall be deemed to be the notifier for the purpose of those take-back obligations.
Article 23 Take-back when a shipment subject to general information requirements cannot be completed as intended
1. Where a shipment of waste referred to in Article 4(4) or (5), or its recovery, cannot be completed as intended, in accordance with the Annex VII document or the contract referred to in Article 18(10), and where such shipment is not an illegal shipment, the person who has arranged the shipment in accordance with Article 18 shall immediately inform the competent authority of dispatch thereof. In such cases, the person who arranges the shipment or the consignee, following the obligations of the contract referred to in Article 18(10), shall take the waste back to the country of dispatch or ensure its recovery in an alternative way in the country of destination or elsewhere, and ensure, if necessary, that arrangements are made for the safe storage of the waste pending its return or non-interim recovery or non-interim disposal in an alternative way. The take-back or recovery of the waste in an alternative way shall take place within 90 days, or any other period agreed between the competent authorities concerned, after the date on which the person who arranges the shipment informed the competent authority of dispatch in accordance with the first subparagraph. 2. In cases of alternative arrangements as referred to in paragraph 1, the person who arranges the shipment or the consignee, as relevant, shall ensure that the waste concerned is managed in an environmentally sound manner and in accordance with Article 59. 3. In cases of take back or alternative arrangements outside the initial country of destination, as referred to in paragraph 1, relevant information in the Annex VII document shall be completed and submitted by the person who arranged the shipment initially, in accordance with Article 18. Where the shipment for take-back or destined for alternative arrangements is subject to Article 4(1), (2) or (3), Article 22 shall apply mutatis mutandis . 4. Where the competent authority of dispatch becomes aware that a shipment of waste referred to in Article 4(4) or (5), or its recovery, has not been completed as intended and that the obligations to take the waste back or arrange for its alternative recovery in accordance with paragraph 1 have not been fulfilled, the competent authority of dispatch shall take all necessary measures to ensure that the person that has arranged the shipment takes the waste back or arranges for its recovery in an alternative way and ensures, if necessary, that arrangements are made for the safe storage of the waste pending its return or non-interim recovery or non-interim disposal in an alternative way. Where it is impracticable for the person that has arranged the shipment to fulfil the take-back obligations, those obligations shall be fulfilled by a person deemed to be the person who arranges the shipment in accordance with paragraph 5 or 6, where relevant. 5. Where the person who arranges the shipment specified in Article 3, point (7)(iv), fails to fulfil any of the take-back obligations set out in this Article or Article 24, the original waste producer, the new waste producer or the collector specified in Article 3, point (7)(i), (ii) or (iii), respectively, who authorised the dealer or broker to act on its behalf shall be deemed to be the person who arranges the shipment for the purpose of those take-back obligations. 6. Where the person who arranges the shipment specified in Article 3, point (7)(i), (ii) or (iii), fails to fulfil any of the take-back obligations set out in this Article or Article 24, the waste holder specified in Article 3, point (7)(v), shall be deemed to be the person who arranges the shipment for the purpose of those take-back obligations. 7. Where it is impracticable for the person who arranges the shipment or a person deemed responsible in accordance with paragraph 5 or 6 to fulfil the take-back obligations set out in paragraph 4, the competent authority of dispatch or a natural or legal person on its behalf shall be deemed to be responsible for the obligations under this Article.
Article 24 Costs of take-back when a shipment cannot be completed as intended
1. Costs arising from the return or recovery or disposal in an alternative way of waste from a shipment that cannot be completed as intended, including costs of transport of waste, recovery or disposal pursuant to Article 22(2) or (3), and, as of the date on which the competent authority of dispatch becomes aware that a shipment of waste or the recovery or disposal cannot be completed as intended, storage costs pursuant to Article 22(10) shall be charged in accordance with the following order to: (a) the initial notifier or, if impracticable, in accordance with point (b); (b) a natural or legal person deemed to be the notifier in accordance with Article 22(11) or (12), where relevant or, if impracticable, in accordance with point (c); (c) other natural or legal persons as appropriate; or if impracticable, in accordance with point (d); (d) the competent authority of dispatch; or, if that is also impracticable in accordance with point (e); (e) as otherwise agreed between the competent authorities concerned. 2. Before charging costs to someone other than the initial notifier, the financial guarantee or equivalent insurance referred to in Article 7 shall be used. If there is no financial guarantee or equivalent insurance or if the costs exceed the amount of the cover of the financial guarantee or equivalent insurance the costs shall be charged in accordance with the order indicated in paragraph 1. 3. This Article shall apply mutatis mutandis to costs arising from the take-back or alternative recovery of waste in accordance with Article 23. 4. This Article shall be without prejudice to Union and national law concerning liability.
Article 25 Take-back when a shipment is illegal
1. Where a competent authority discovers a shipment that it considers to be an illegal shipment, it shall immediately inform the other competent authorities concerned. 2. Where the responsibility for an illegal shipment can be imputed to the notifier, the competent authority of dispatch shall ensure that the waste is taken back by: (a) the notifier or, where relevant, by a person deemed to be the notifier in accordance with paragraph 6 or 7, in order to arrange for its disposal or recovery; or if that is impracticable, in accordance with point (c) of this paragraph; or if no notification has been submitted, in accordance with point (b) of this paragraph; (b) a person deemed to be the notifier in accordance with Article 3, point (6), or, where relevant, by a person deemed to be the notifier in accordance with paragraph 6 or 7; in order to arrange for its disposal or recovery; or if that is impracticable, in accordance with point (c) of this paragraph; (c) by the competent authority of dispatch itself or by a natural or legal person on its behalf in order to arrange for its disposal or recovery. 3. The take-back obligation set out in paragraph 2 shall not apply if the competent authorities of dispatch, transit and destination concerned and, where relevant, the notifier or person deemed to be the notifier, agree and are satisfied that the waste can be: (a) recovered or disposed of in an alternative way in the country of destination, transit or dispatch by the notifier or, where relevant, by a person deemed to be the notifier in accordance with paragraph 6 or 7, or, if that is impracticable, by competent authority of dispatch itself or by a natural or legal person on its behalf; or, if that is impracticable, in accordance with point (b); (b) recovered or disposed of in an alternative way in another country by the notifier or, where relevant, by a person deemed to be the notifier in accordance with paragraph 6 or 7, or, if that is impracticable, by the competent authority of dispatch itself or by a natural or legal person on its behalf if all the competent authorities concerned agree. In the event of export or import, recovery or disposal in an alternative way as agreed upon pursuant to the first subparagraph shall only take place if the take-back in accordance with paragraph 2 is impracticable. 4. In the case of recovery or disposal in alternative way as referred to in paragraph 3, the notifier, or, where relevant, the person deemed to be the notifier in accordance with paragraph 6 or 7, or, if that is impracticable, the competent authority of dispatch or the natural or legal person on its behalf, shall ensure that the waste concerned is managed in an environmentally sound manner in accordance with Article 59. 5. The take-back, recovery or disposal referred to in paragraphs 2 and 3 shall take place within 30 days, or such other period as may be agreed between the competent authorities concerned, following the date on which the competent authority of dispatch becomes aware of, or has been advised by the competent authorities of destination or transit of, the illegal shipment, and informed of the reasons therefor. Such advice may result from information submitted to the competent authorities of destination or transit, inter alia, by other competent authorities. In the case of take-back as referred to in the paragraph 2, points (a), (b) and (c), a new notification shall be submitted, unless the competent authorities concerned agree that a duly reasoned request by the initial competent authority of dispatch is sufficient. If a new notification is required, it shall be submitted by the person or authority determined in accordance with paragraph 2. The competent authorities shall not oppose or object to the return of waste of an illegal shipment. In the case of recovery or disposal in an alternative way as referred to in paragraph 3, carried out outside the country where the illegal shipment has been discovered, a new notification shall be submitted by the person or authority listed in that paragraph and in accordance with the order indicated in therein. The competent authorities concerned shall cooperate, as necessary, to ensure that the waste is taken back or recovered or disposed of in an alternative way as referred to in paragraphs 2 and 3. 6. Where a notifier specified in Article 3, point (6)(a)(iv), fails to fulfil any of the take-back obligations set out in this Article or Article 26, the original waste producer, the new waste producer or the collector specified in Article 3, point (6)(a)(i), (ii) or (iii), respectively, who authorised that dealer or broker to act on its behalf shall be deemed to be the notifier for the purposes of those take-back obligations. 7. Where a notifier specified in Article 3, point (6)(a)(i), (ii) or (iii), fails to fulfil any of the take back obligations set out in this Article or Article 26, the waste holder as specified in Article 3, point (6)(a)(v), shall be deemed to be the notifier for the purposes of those take-back obligations. 8. Where the responsibility for an illegal shipment can be imputed to the consignee, the competent authority of destination shall ensure that the waste is recovered or disposed of in an environmentally sound manner by: (a) the consignee; or, if that is impracticable, in accordance with point (b); (b) the competent authority itself or by a natural or legal person on its behalf. The recovery or disposal referred to in the first subparagraph shall take place within 30 days, or such other period as may be agreed between the competent authorities concerned, following the date on which the competent authority of destination becomes aware of, or has been advised by the competent authorities of dispatch or transit of, the illegal shipment and informed of the reasons therefor. Such advice may result from information submitted to the competent authorities of dispatch and transit, inter alia, by other competent authorities. The competent authorities concerned shall cooperate, as necessary, in the recovery or disposal of the waste in accordance with this paragraph. 9. If no new notification is required, a new movement document shall be completed in accordance with Articles 15 or 16 by the person responsible for take-back or, if that is impracticable, by the initial competent authority of dispatch. Where a new notification is submitted by the initial competent authority of dispatch, which carries out the take-back in accordance with paragraph 2, point (c), a new financial guarantee or equivalent insurance shall not be required. 10. In cases where responsibility for the illegal shipment cannot be imputed to either the notifier or the consignee, the competent authorities concerned shall cooperate to ensure that the waste is recovered or disposed of. 11. Where an illegal shipment is discovered after completion of an interim recovery operation or interim disposal operation as referred to in Article 7(6), the obligation of the country of dispatch to take the waste back or arrange for recovery or disposal in an alternative way shall end when the facility has issued the certificate referred to in Article 15(4). Where a facility issues a certificate of recovery or disposal in such a way that it results in an illegal shipment, with the consequence that the financial guarantee or equivalent insurance is released, paragraph 8 of this Article and Article 26(2) shall apply. 12. Where the waste from an illegal shipment is discovered within a Member State, the competent authority with jurisdiction over the area where the waste was discovered shall be responsible for ensuring that arrangements are made for the safe storage of the waste pending its return or non-interim recovery or non-interim disposal in an alternative way. 13. Articles 37, 39 and 40 and any export prohibitions contained in a delegated act as referred to in Article 45(6) shall not apply in cases where illegal shipments are returned to the country of dispatch and that country of dispatch is a country covered by the prohibitions set out in those provisions. 14. If a shipment of waste referred to in Article 4(4) or (5) is considered to be an illegal shipment, this Article shall apply mutatis mutandis to the person who arranges the shipment and to the competent authorities concerned. 15. This Article shall apply without prejudice to Union and national law on liability.
Article 26 Costs for take-back when a shipment is illegal
1. Costs arising from the take-back or recovery or disposal in an alternative way of waste from an illegal shipment, including costs for its transport of waste, recovery or disposal, pursuant to Article 25(2) or (3) and, from date on which the competent authority of dispatch becomes aware that a shipment is illegal, storage costs pursuant to Article 25(12), shall be charged to: (a) the notifier or a person deemed to be the notifier, as referred to in Article 25(2), point (a); or, if that is impracticable, in accordance with point (c); or, if no notification has been submitted, in accordance with point (b); (b) the person deemed to be the notifier, as referred to in Article 25(2), point (b), or other natural or legal persons as appropriate; or, if that is impracticable, in accordance with point (c); (c) the competent authority of dispatch. 2. Costs arising from recovery or disposal pursuant to Article 25(8), including possible transport and storage costs pursuant to Article 25(12), shall be charged to the consignee; or, if that is impracticable, to the competent authority of destination. 3. Costs arising from recovery or disposal pursuant to Article 25(10), including possible transport and storage costs pursuant to Article 25(12), shall be charged to: (a) the notifier or the person deemed to be the notifier in accordance with Article 25(2), point (b), Article 25(6) or Article 25(7), or the consignee, or both, depending upon the decision by the competent authorities concerned; or, if that is impracticable, in accordance with point (b); (b) other natural or legal persons as appropriate; or, if that is also impracticable, in accordance with point (c); (c) the competent authorities of dispatch and destination. 4. In cases where a notification has been submitted and the notifier does not fulfil its responsibilities for the costs being charged, the financial guarantee or equivalent insurance referred to in Article 7 shall be used before charging costs in accordance with paragraphs 1, 2 or 3 to someone other than the notifier or the consignee respectively. Where the costs exceed the amount of cover provided by the financial guarantee or equivalent insurance, the costs shall be charged in accordance with paragraphs 1, 2 and 3. 5. If a shipment of waste referred to in Article 4(4) or (5) is considered to be illegal, this Article shall apply mutatis mutandis to the person who arranges the shipment and to the competent authorities concerned. 6. This Article shall apply without prejudice to Union and national law concerning liability.
Article 27 Electronic submission and exchange of information
1. The following information and documents shall be submitted and exchanged by electronic means, via the hub of the central system referred to in paragraph 3 or via other available interoperable systems or software in accordance with paragraph 4: (a) for waste as referred to in Article 4(1), (2) and (3): (i) notification of a shipment pursuant to Articles 5 and 13; (ii) requests for information and documentation pursuant to Articles 5 and 8; (iii) information and documentation pursuant to Articles 5 and 8; (iv) information and decisions pursuant to Article 8; (v) decisions regarding a notified shipment and, if applicable a withdrawal of a consent pursuant to Article 9; (vi) information and conditions for a shipment pursuant to Article 10; (vii) information pursuant to Article 11; (viii) information and objections to a shipment pursuant to Article 12; (ix) information on decisions to issue pre-consents to specific recovery facilities pursuant to Article 14(8) and (10); (x) information and decisions pursuant to Article 14(12) and (15); (xi) confirmations of receipt of waste pursuant to Articles 15 and 16; (xii) certificates for recovery or disposal pursuant to Articles 15 and 16; (xiii) prior information regarding the start of a shipment pursuant to Article 16; (xiv) the documents to be made available in accordance with Article 16; (xv) information pursuant to Article 17; (b) for waste referred to in Article 4(4) and (5), information and documentation, confirmation and certificates pursuant to Article 18; (c) information and documents related to the procedure of prior written notification and consent and to the general information requirements pursuant to Articles 34 and 35 and Titles IV, V and VI, where applicable. 2. In order to keep the list of information and documentation, required under paragraph 1, up to date with any changes to the systems for the exchange and submission by electronic means, the Commission is empowered to adopt delegated acts in accordance with Article 80 to amend paragraph 1 in order to amend the list of information and documentation. 3. The Commission shall operate a central system that allows for the electronic submission and exchange of information and documents referred to in paragraph 1. That central system shall provide a hub to be used for the exchange in real time of the information and documents referred to in paragraph 1 between available systems or software for electronic data interchange. The hub referred to in the first subparagraph shall also be used for the exchange in real time of information and documents as referred to in paragraph 1 for shipments within the Union with transit via third countries, export from the Union, import into the Union and transit through the Union, where the competent authorities, customs offices of export, exit and entry, authorities involved in inspections and economic operators in third countries connect with that hub via an available system or software, in which case paragraph 4 shall apply mutatis mutandis , or via the website referred to in the third subparagraph of this paragraph. That central system shall also provide a website for preparing and processing the information and documents referred to in paragraph 1 for shipments within the Union, for shipments within the Union with transit via third countries, exporting from the Union, importing into the Union and transiting through the Union. Such website may be used by the competent authorities, authorities involved in inspections and economic operators in the Member States and in third countries that do not use systems or software for electronic data interchange, to submit and exchange directly, by electronic means, the information and documents referred to in paragraph 1. Software referred to in the first, second and third subparagraphs shall be interoperable with the central system referred to in paragraph 3, exchange information and documents via that central system in real time and be operated in accordance with the requirements and rules laid down in the implementing acts adopted by the Commission pursuant to paragraph 5. The central system shall facilitate the keeping of documents in accordance with Article 20. That central system shall also provide for its interoperability with the environment for electronic freight transport information established under Regulation (EU) 2020/1056. Within four years of the adoption of the implementing act referred to in paragraph 5, the Commission shall ensure the interconnection of that central system with the European Union Single Window Environment for Customs through the European Union Customs Single Window — Certificate Exchange System established by Regulation (EU) 2022/2399. 4. Member States may operate their own available systems or software allowing for the preparation and processing of the information and documents referred to in paragraph 1 by competent authorities, authorities involved in inspections and, where appropriate, economic operators in the Member States and for the electronic submission and exchange of information and documents referred to in paragraph 1. The Member States shall ensure that those systems and software are interoperable with the central system referred to in paragraph 3, are operated in accordance with the requirements and rules laid down in the implementing acts adopted by the Commission pursuant to paragraph 5 and allow for the exchange of information and documents via the hub of the central system in real time. The systems referred to in the first subparagraph shall facilitate the keeping of documents in accordance with Article 20. 5. At the latest by 21 May 2025, the Commission shall adopt implementing acts to establish: (a) the requirements necessary for the interoperability between the central system referred to in paragraph 3 and other systems or software referred to in paragraph 4, including a protocol for data exchange and a data model for the exchange of data referred to in Annexes IA, IB and VII, as well as the certificate referred to in Article 15; (b) any other technical and organisational requirements, including on security aspects, data governance and data confidentiality, which are necessary for the practical implementation of the electronic submission and exchange of information and documents referred to in paragraph 1, taking into account Regulation (EU) 2016/679 of the European Parliament and of the Council ( 42 ) . Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 81(2). 6. The functionality of the central system shall be reviewed by the Commission every two years. The findings of those reviews shall be communicated to the European Parliament and the Member States. The review shall take into account feedback from users, such as competent authorities and notifiers.
Article 28 Language
1. Any notification, information, documentation or other communication submitted pursuant to the provisions of this Title shall be provided in a language acceptable to the competent authorities concerned. 2. The notifier and the consignee, or, where applicable, the person who arranges the shipment, shall provide the competent authorities concerned with authorised translations of the communications referred to in paragraph 1 into a language which is acceptable to them, where they so request. 3. By 21 May 2028, the Commission shall incorporate a function into the central system referred to in Article 27(3), which provides courtesy translations of the communications referred to in paragraph 1.
Article 29 Classification issues
1. When deciding whether an object or substance resulting from a production process the primary aim of which is not the production of that object or substance shall be considered to be waste, Member States shall apply Article 5 of Directive 2008/98/EC. When deciding whether waste which has undergone a recycling or other recovery operation is to be considered to have ceased to be waste, Member States shall apply Article 6 of Directive 2008/98/EC. When deciding whether an object or substance is to be considered as a used good and not as waste, Member States shall ensure that at least the following conditions are fulfilled: (a) further use or reuse of the object or substance is certain; (b) the object or substance can fulfil its intended function without significant pre-processing; (c) where relevant, the object or substance is tested to ensure its full functionality; (d) further use is lawful, that is to say that the object or substance fulfils all relevant product, environmental and health protection requirements for the specific use and will not lead to overall adverse environmental or human health impacts; (e) the object or substance is properly preserved and protected against damage during transport, loading and unloading. The provisions in the third subparagraph shall apply without prejudice to Article 23(2) and Annex VI to Directive 2012/19/EU of the European Parliament and of the Council ( 43 ) and Article 72(2) and Annex XIV to Regulation (EU) 2023/1542 of the European Parliament and of the Council ( 44 ) . 2. If the competent authorities of dispatch and of destination cannot agree on the classification as regards the distinction between waste and non-waste, taking into account the provisions in paragraph 1, and any conditions or decisions taken at Union level or by Member States pursuant to Article 5 or 6 of Directive 2008/98/EC, the object or substance shall be treated as if it were waste for the purpose of the shipment. This shall be without prejudice to the right of the country of destination to deal with the shipped material in accordance with its national legislation, following arrival of the shipped material and where such legislation is in accordance with Union or international law. 3. The Commission may adopt implementing acts in order to establish detailed criteria for the uniform application of the conditions laid down in paragraph 1, third subparagraph, to specific substances or objects for which the distinction between used goods and waste is of particular importance for the export of waste from the Union. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 81(2). 4. If the competent authorities of dispatch and of destination cannot agree on the classification of waste destined for recovery as being listed in Annex III, Annex IIIA, Annex IIIB or Annex IV, or not listed in any of those Annexes, the shipment of that waste shall be subject to Article 4(2). 5. If the competent authorities of dispatch and of destination cannot agree on the classification of the waste treatment operation as being recovery or disposal, the provisions of this Regulation regarding disposal shall apply. 6. In order to facilitate the harmonised classification of waste listed in Annex III, Annex IIIA, Annex IIIB or Annex IV in the Union, the Commission is empowered to adopt delegated acts in accordance with Article 80 to supplement this Regulation by establishing criteria, such as contamination thresholds, on the basis of which certain wastes shall be classified in Annex III, Annex IIIA, Annex IIIB or Annex IV. 7. If the competent authorities of dispatch and destination cannot agree on the classification of the waste treatment operation as an interim or non-interim operation, the provisions of this Regulation on interim operations shall apply.
Article 30 Administrative costs
Appropriate and proportionate administrative costs for implementing the notification and supervision procedures and normal costs for appropriate analyses and inspections may be charged by the competent authorities concerned or authorities involved in inspections to the notifier and, where relevant, the person who arranges the shipment. Member States shall notify the Commission of provisions applied at national level in relation to such costs. The Commission shall make that information publicly available.
Article 31 Border-area agreements
1. In exceptional cases and where the specific geographical or demographical situation warrants such a step, Member States may conclude bilateral agreements making the notification procedure for shipments of specific flows of waste less stringent in respect of cross-border shipments to the nearest suitable facility located in the border area between the two Member States concerned. 2. Bilateral agreements as referred to in paragraph 1 may also be concluded where waste is shipped from and treated in the country of dispatch but transits through another Member State. 3. Member States may also conclude bilateral agreements as referred to in paragraph 1 with countries that are members of the EFTA (European Free Trade Association). Agreements concluded pursuant to the first subparagraph shall require that the waste be managed in the EFTA country concerned in an environmentally sound manner in accordance with Article 59. 4. Agreements concluded under this Article shall be notified to the Commission before they take effect.
Article 32 Shipments between an outermost region and the Member State of which it is part
By way of derogation from Article 9(1) and (2), for shipments between an outermost region and the Member State of which it is part, that require transit through another Member State, tacit consent by the competent authority of transit may be assumed if no objection is lodged within seven working days of the date on which the notifier is informed in accordance with Article 8(12) that the notification has been properly completed. That tacit consent shall be valid for the same period as indicated in the written consent given by the competent authority of destination in accordance with Article 9(1).
Article 33 Shipments from Faroe Islands to Denmark
Denmark may adopt a decision to treat imports of waste from the Faroe Islands into Denmark, which have not transited through any other country, under Article 36 of this Regulation. If Denmark adopts such a decision, it shall be notified to the Commission.
Article 34 Shipments of waste destined for disposal
Where a shipment is carried out within the Union and transits through one or more third countries, and the waste is destined for disposal, Articles 4 to 17 and Articles 19 to 30 shall apply mutatis mutandis , subject to the following adaptations and additional requirements: (a) Article 38(2), points (a), (c), (d) and (g) and Article 38(3), point (a), shall apply mutatis mutandis ; (b) where the third country is a Party to the Basel Convention and if the country concerned has decided not to require prior written consent and has informed the other Parties to the Basel Convention thereof in accordance with Article 6(4) of that Convention, a competent authority of transit outside the Union shall have 60 days from the date of transmission of its acknowledgement of receipt of a properly completed notification to provide tacit consent or to give a written consent with or without conditions; or (c) where the third country is not a Party to the Basel Convention, the competent authority of dispatch shall ask the competent authority of transit in that third country whether it wishes to send its written consent to the shipment within a period agreed between the competent authorities.
Article 35 Shipments of waste destined for recovery
1. Where a shipment is carried out within the Union and transits through one or more third countries to which the OECD Decision of the Council on the Control of Transboundary Movements of Wastes Destined for Recovery Operations ( 45 ) (‘the OECD Decision’), does not apply, and the waste is destined for recovery, Article 34 shall apply. 2. Where a shipment is carried out within the Union, including a shipment between localities in the same Member State, and transits through one or more third countries to which the OECD Decision applies, and the waste is destined for recovery, Articles 4 to 30 shall apply mutatis mutandis , subject to the following adaptations and additional requirements: (a) Article 51(2), points (c) and (d), shall apply mutatis mutandis ; (b) tacit consent by the competent authority of transit outside the Union may be assumed if no objection is raised and provided any conditions laid down have been met, the shipment may start 30 days after the date on which the notifier has been informed in accordance with Article 8(12) that the notification has been properly completed, as referred to in Article 9(1).
Article 36 Transport of waste exclusively within a Member State
1. Each Member State shall establish an appropriate regime for the supervision and control of the transport of waste taking place exclusively within its national jurisdiction. That regime shall take account of the need for coherence with the Union system established by Titles II and VII. 2. Member States shall inform the Commission of their regime for supervision and control of the transport of waste. The Commission shall inform the other Member States thereof.
Article 37 Prohibition of exports of waste destined for disposal
1. Exports from the Union of waste destined for disposal shall be prohibited. 2. The prohibition in paragraph 1 shall not apply to exports of waste destined for disposal to EFTA countries which are also Parties to the Basel Convention. 3. By way of derogation from paragraph 2, exports of waste destined for disposal to an EFTA country that is a Party to the Basel Convention shall be prohibited: (a) where the EFTA country prohibits imports of such waste; (b) where the conditions laid down in Article 11(1) are not fulfilled; (c) where the competent authority of dispatch has reason to believe that the waste will not be subject to environmentally sound management as referred to in Article 59 in the country of destination. 4. The prohibition set out in paragraph 1 shall not apply to waste that is subject to a take-back obligation pursuant to Article 22 or 25.
Article 38 Procedures for exports of waste destined for disposal to EFTA countries
1. Where waste is exported from the Union to an EFTA country that is a Party to the Basel Convention and destined for disposal in that country, the provisions of Title II shall apply mutatis mutandis , with the adaptations and additional provisions set out in paragraphs 2 and 3. 2. The following adaptations shall apply: (a) the notifier shall submit in accordance with Article 27 the notification and any requested additional information and documentation, and at the same time, provide such notification and additional information and documentation by post, or if appropriate, by fax or email with digital signature, to the competent authority of destination and any competent authority of transit outside the Union, unless those authorities are connected to the central system referred to in Article 27(3); where an email with digital signature is used, any stamp or signature required shall be replaced by the digital signature; (b) the notifier shall provide, annexed to the notification document, documentary evidence that an audit as referred to in Article 46(3) has been carried out in the facility to which waste is being exported, unless the exemption in Article 46(11) applies; (c) the competent authority of dispatch and any competent authority of transit in the Union shall inform the competent authority of destination and any competent authority of transit outside the Union of any request for information and documentation from its side and of their decision and conditions, if any, regarding the planned shipment, by post, or if appropriate, by fax or email with digital signature, unless those competent authorities are connected to the central system referred to in Article 27(3); (d) the information to be provided to the competent authority of destination and any competent authority of transit outside the Union pursuant to Articles 7, 8, 16 and 17 shall be provided by post, or if appropriate, by fax or email with digital signature, unless those authorities are connected to the central system referred to in Article 27(3); (e) the notifier shall ensure that the information to be provided by the facility pursuant to Article 15(3) to (5) and Article 16(5) and (6) is included in a system referred to in Article 27, unless those facilities are connected to the central system referred to in Article 27(3); (f) any competent authority of transit outside the Union shall have 60 days from the date of transmission of its acknowledgement of receipt of a properly completed notification to provide tacit consent, if the country concerned has decided not to require prior written consent and has informed the other Parties to the Basel Convention thereof in accordance with Article 6(4) of that Convention, or to give a written consent with or without conditions; (g) the competent authority of dispatch in the Union shall take the decision to consent to the shipment as referred to in Article 9 only after having received written consent from the competent authority of destination and, where appropriate, the tacit or written consent of a competent authority of transit outside the Union, and not earlier than 61 days after the date of transmission of the acknowledgement of receipt of a properly completed notification by a competent authority of transit outside the Union, unless the competent authority of dispatch has the written consent of the other competent authorities concerned, in which case it may take the decision as referred to in Article 9 before that time limit. 3. The following additional provisions shall apply: (a) any competent authority of transit in the Union shall provide an acknowledgment of receipt of a properly completed notification to the notifier and copies to the other competent authorities concerned where they have no access to a system referred to in Article 27; (b) the competent authority of dispatch and, any competent authority of transit in the Union shall inform the customs office of export and the customs office of exit of their decisions to consent to the shipment; (c) a copy of the movement document shall be provided by the carrier to the customs office of export and the customs office of exit either by post or, if appropriate, by fax or email with digital signature, or, where the customs office of export and the customs office of exit have access to it, via the central system referred to in Article 27(3); (d) as soon as the waste has left the Union, the customs office of exit shall inform the competent authority of dispatch in the Union that the waste has left the Union; (e) where, 42 days after the waste has left the Union, the competent authority of dispatch in the Union has received no information from the facility about receipt of the waste, it shall without delay inform the competent authority of destination thereof via a system referred to in Article 27 or in accordance with Article 72; (f) the contract referred to in Article 6 shall contain the following terms and conditions: (i) where a facility issues an incorrect certificate of disposal with the consequence that the financial guarantee is released, the consignee shall bear the costs arising from the duty to return the waste to the area of jurisdiction of the competent authority of dispatch and from its recovery or disposal in an alternative and environmentally sound manner; (ii) the facility shall, within three days of receipt of the waste for disposal, send signed copies of the completed movement document, except for the certificate of disposal referred to in point (iii), to the notifier and the competent authorities concerned; (iii) the facility shall, as soon as possible but no later than 30 days after completion of the disposal and in any case no later than one year after the receipt of the waste under its responsibility, certify that the disposal has been completed and shall send signed copies of the movement document containing that certification to the notifier and to the competent authorities concerned; (g) the notifier shall, within three working days of receipt of the copies referred to in point (f)(ii) and (f)(iii), make the information contained in those copies electronically available in accordance with Article 27. 4. The shipment may take place only if all the following conditions are fulfilled: (a) the notifier has received written consent from the competent authorities of dispatch, destination and, where applicable, transit outside the Union and if the conditions laid down in those consents or their annexes have been met; (b) environmentally sound management of the waste as referred to in Article 59, is ensured. 5. Where waste is exported, it shall be destined for disposal operations within a facility which, under applicable national law, is operating or is authorised to operate in the country of destination. 6. Where a customs office of export or a customs office of exit discovers an illegal shipment, it shall without delay inform the competent authority in the country of the customs office thereof. That competent authority shall: (a) without delay inform the competent authority of dispatch in the Union of the illegal shipment; (b) ensure detention of the waste until the competent authority of dispatch has decided otherwise and has communicated that decision in writing to the competent authority in the country of the customs office in which the waste is detained; and (c) without delay communicate the decision of the competent authority of dispatch referred to in point (b) to the customs office of export or the customs office of exit that discovered the illegal shipment.
Article 39 Prohibition of exports of hazardous and certain other wastes
1. Exports from the Union of the following wastes destined for recovery in countries to which the OECD Decision does not apply shall be prohibited: (a) wastes listed as hazardous in Part 1 of Annex V to this Regulation; (b) wastes listed as hazardous in the list of waste referred to in Article 7 of Directive 2008/98/EC; (c) wastes referred to in Article 4(3) and wastes listed in Part 2 of Annex V to this Regulation; (d) plastic waste classified under entry B3011; (e) wastes listed in Annex III or Annex IIIB and mixtures of wastes listed in Annex IIIA that are contaminated by other materials to an extent which increases the risks associated with the waste sufficiently to render them appropriate for submission to the procedure of prior written notification and consent, when taking into account the hazardous properties in Annex III to Directive 2008/98/EC, or prevents the recovery of the wastes in an environmentally sound manner; (f) wastes or mixtures of wastes containing or contaminated with POPs in quantities meeting or exceeding a concentration limit indicated in Annex IV to Regulation (EU) 2019/1021; (g) hazardous wastes not classified under one single entry in Annex V to this Regulation or in the list of waste referred to in Article 7 of Directive 2008/98/EC; (h) mixtures of hazardous wastes and mixtures of hazardous wastes with non-hazardous waste not classified under one single entry in Annex V to this Regulation or in the list of waste referred to in Article 7 of Directive 2008/98/EC; (i) wastes notified by the country of destination as hazardous under Article 3 of the Basel Convention; (j) wastes of which the import has been prohibited by the country of destination; (k) wastes which the competent authority of dispatch has reason to believe will not be managed in an environmentally sound manner, as referred to in Article 59, in the country of destination concerned. 2. Paragraph 1 of this Article shall not apply to waste that is subject to a take-back obligation pursuant to Article 22 or 25. 3. Member States may, in exceptional cases, provide, on the basis of documentary evidence provided by the notifier, that a specific hazardous waste listed in Annex V to this Regulation or in the list of waste referred to in Article 7 of Directive 2008/98/EC is excluded from the export prohibition referred to in paragraph 1, where it does not display any of the properties listed in Annex III to Directive 2008/98/EC, taking into account the criteria and applicable cut-off values and concentration limits for the classification of waste as hazardous as specified in that Annex. Where a hazardous property of a waste has been assessed by a test and by using the concentrations of hazardous substances as indicated in Annex III to Directive 2008/98/EC, the results of the test shall prevail. 4. The fact that waste is not listed as hazardous in Annex V or in the list of waste as referred to in Article 7 of Directive 2008/98/EC, or that it is listed in Part 1, List B of Annex V, shall not preclude, in exceptional cases, characterisation of such waste as hazardous and therefore subject to the export prohibition if it displays any of the properties listed in Annex III to Directive 2008/98/EC, taking into account the criteria and applicable cut-off values and concentration limits for the classification of waste as hazardous, specified therein. Where a hazardous property of a waste has been assessed by a test and by using the concentrations of hazardous substances as indicated in Annex III to Directive 2008/98/EC, the results of the test shall prevail. 5. In the cases referred to in paragraphs 3 and 4, the competent authority concerned shall inform the envisaged competent authority of destination prior to taking a decision to consent to planned shipments to that country. Member States shall notify such cases to the Commission before the end of each calendar year. The Commission shall forward that information to all Member States, to the Secretariat of the Basel Convention where the information refers to an entry listed in the Basel Convention and to the OECD Secretariat where the information refers to an entry listed in the OECD Decision. On the basis of the information provided, the Commission may make comments and is empowered to adopt delegated acts in accordance with Article 80 to amend Annex V.
Article 40 Prohibition of exports of non-hazardous waste
1. Exports from the Union of the following wastes destined for recovery in countries to which the OECD Decision does not apply shall be prohibited: (a) non-hazardous wastes listed in Annex III or Annex IIIB and mixtures of non-hazardous wastes listed in Annex IIIA; (b) non-hazardous wastes and mixtures of non-hazardous wastes included in the list of waste referred to in Article 7 of Directive 2008/98/EC, when not already listed in Annex III, Annex IIIA or Annex IIIB; (c) non-hazardous wastes and mixtures of non-hazardous wastes not classified under one single entry in Annex III, Annex IIIA or Annex IIIB or in the list of waste referred to in Article 7 of Directive 2008/98/EC; (d) non-hazardous wastes classified under the entry AB130, AC250, AC260 or AC270. 2. Paragraph 1 shall not apply to exports of wastes or mixtures of wastes destined for recovery to a country included in the list of countries established in accordance with Article 41, for the non-hazardous wastes and mixtures of non-hazardous wastes specified in that list. Such export may only take place on the condition that the waste is: (a) destined for a facility licensed under the domestic legislation of the country concerned to undertake recovery operations for that waste; (b) not destined for interim operations, unless all subsequent non-interim or interim recovery operations would take place in the same country of destination or in other countries for which the related waste is included in the list referred to in Article 41. 3. Exports allowed in accordance with paragraph 2 shall: (a) for wastes listed in Annex IX to the Basel Convention other than classified under entry B3011, be subject to the general information requirements laid down in Article 18 or, where the country concerned so indicates in the request referred to in Article 42, the procedure of prior written notification and consent; (b) for waste classified under entry B3011, be subject to the procedure of prior written notification and consent; (c) for non-hazardous wastes and mixtures of non-hazardous wastes not listed in Annex IX to the Basel Convention, be subject to the procedure of prior written notification and consent. 4. In the case of exports in accordance with paragraph 2, the provisions of Title II shall apply mutatis mutandis . Where such exports are subject to the general information requirements laid down in Article 18, the person who arranges the shipment shall ensure that the information to be provided by the facility pursuant to Article 18(8) and (9) is submitted via a system referred to in Article 27, unless the facility is connected to a system referred to in Article 27. Where such exports are subject to the procedure of prior written notification and consent, the procedures referred to in Article 38 shall apply with the following adaptations: (a) Article 4(5) and Article 14 shall not apply; (b) when the removal from the list referred to in Article 41 of a country or of certain wastes or mixtures of wastes has entered into force, the competent authority of dispatch shall withdraw its written consent for any notification related to such country or to such wastes or mixtures of wastes.
Article 41 List of countries to which exports of non-hazardous waste from the Union for recovery are authorised
1. The Commission is empowered to adopt a delegated act in accordance with Article 80 to supplement this Regulation by establishing a list of countries to which the OECD Decision does not apply and to which exports of non-hazardous wastes and mixtures of non-hazardous wastes from the Union for recovery are authorised (‘list of countries to which exports are authorised’). That list shall include countries which have submitted a request pursuant to Article 42(1) and have demonstrated compliance with the requirements set out in Article 42(3), based on an assessment carried out by the Commission pursuant to Article 43, and have agreed to comply with Article 42(5). 2. The list referred to in paragraph 1 shall include the following information: (a) the name of the countries to which export of non-hazardous wastes and mixtures of non-hazardous wastes from the Union for recovery is authorised; (b) the specific non-hazardous wastes and mixtures of non-hazardous wastes that are authorised for export from the Union to each country referred to in point (a); (c) information, such as an internet address, allowing access to a list of facilities which are licensed under the domestic legislation of each country referred to in point (a) to carry out the recovery of the waste and mixtures of wastes referred to in point (b); (d) information on the specific control procedure, if any, applying under the domestic legislation of each country referred to in point (a) to the import of the wastes referred to in point (b), including an indication of whether the import of wastes listed in Annex IX of the Basel Convention is subject to the procedure of prior written notification and consent referred to in Article 38. 3. The list referred to in paragraph 1 shall be adopted by 21 November 2026, unless no country submits a request pursuant to Article 42(1) or no country complies with the requirements set out in Article 42(3) at that time. By 21 August 2024, the Commission shall contact all countries to which the OECD Decision does not apply, to provide them with the necessary information on the possibility for those countries to be included in the list of countries to which exports are authorised. In order to be included in the list of countries to which exports are authorised adopted by 21 November 2026, the countries to which the OECD Decision does not apply shall submit their request pursuant to Article 42(1) by 21 February 2025. 4. The Commission shall regularly, and at least every two years following its establishment, update the list of countries to which exports are authorised, in order to: (a) add a country that complies with the requirements set out in Article 42; (b) remove a country which ceases to comply with the requirements set out in Article 42; (c) update the information referred to in paragraph 2 based on a request received from the country concerned and, if that request concerns the addition of new wastes or mixtures of wastes, provided that the country concerned has demonstrated compliance with the requirements set out in Article 42 with respect to the new wastes or mixtures of wastes in question; (d) include or remove any other element relevant to ensure that the list contains accurate and updated information. 5. After receiving the information and evidence referred to in Article 42(5), the Commission may request additional information from the country concerned to demonstrate that it continues to comply with the requirements set out in Article 42(3). 6. Where information becomes available which shows in a plausible manner that the requirements set out in Article 42 are no longer fulfilled for a country already included in the list referred to in paragraph 1, the Commission shall invite that country to provide its views on that information, within a maximum period of two months from the invitation, together with relevant supporting evidence demonstrating continued compliance with those requirements. That period may be extended by an additional period of two months where the country concerned makes a reasoned request for such extension. 7. Where the country concerned does not provide its views and the requested supporting evidence within the time limit referred to in paragraph 6 or where the provided evidence is insufficient to demonstrate continued compliance with the requirements set out in Article 42, the Commission shall remove that country from the list without undue delay. 8. The Commission may at any time contact a country included in the list referred to in paragraph 1 to obtain information which is relevant to ensure that that country continues to comply with the requirements set out in Article 42.
Article 42 Requirements for inclusion in the list of countries to which exports are authorised
1. Countries to which the OECD Decision does not apply and which intend to receive certain wastes or mixtures of wastes referred to in Article 40(1) from the Union for recovery shall submit a request to the Commission indicating their willingness to receive those specific wastes or mixtures of wastes and to be included in the list referred to in Article 41. Such request and all related documentation or other communication shall be provided in the English language. 2. The request referred to in paragraph 1 shall be submitted using the form set out in Annex VIII and contain all the information specified therein. 3. The country making the request shall demonstrate that it has put in place and implements all necessary measures to ensure that the waste concerned will be managed in an environmentally sound manner as referred to in Article 59. To that end, the country making the request shall demonstrate that: (a) it has a comprehensive waste management strategy or plan that covers its entire territory and shows its ability and readiness to ensure the environmentally sound management of waste. That strategy or plan shall include at least the following elements: (i) the annual quantity of total waste generated in the country, as well as the annual quantity of waste covered by the scope of its request (‘waste concerned by the request’) generated in the country, and how those quantities are estimated to develop in the next 10 years; (ii) an estimation of the current treatment capacity for waste in general, as well as an estimation of the treatment capacity for the waste covered by the request, and how those capacities are estimated to develop in the following 10 years; (iii) the proportion of domestic waste that is separately collected, as well as any objectives and measures to increase that proportion in the future; (iv) an indication of the proportion of the domestic waste covered by the request which is landfilled, as well as any objectives and measures to decrease that proportion in the future; (v) an indication of the proportion of the domestic waste which is recycled, and possible objectives and measures to increase that proportion in the future; (vi) information on the quantity of waste which is littered and on measures taken to prevent and clean up litter; (vii) a strategy on how to ensure the environmentally sound management of waste imported into its territory, including the possible impact of such import on the management of waste generated domestically; (viii) information on the methodology used to calculate the data referred to in points (i) to (vi); (b) it has a legal framework for waste management in place, which includes at least the following elements: (i) permitting, licensing or registration system or systems for waste treatment facilities; (ii) permitting, licensing or registration system or systems for transport of waste; (iii) provisions designed to ensure that the residual waste generated through the recovery operation for the wastes concerned by the request is managed in an environmentally sound manner as referred to in Article 59; (iv) adequate pollution controls applying to waste management operations, including emission limits for the protection of air, soil and water and measures to reduce the emissions of greenhouse gases from those operations; (v) provisions on enforcement, inspection and penalties designed to ensure the implementation of domestic and international requirements on waste management and shipment of waste; (c) it is a Party to the multilateral environmental agreements referred to in Annex VIII, and has taken the necessary measures to implement its obligations under those agreements; (d) it has put in place a strategy for enforcement of domestic legislation on waste management and shipment of waste, covering control and monitoring measures, including information on the number of inspections of shipments of waste and of waste management facilities carried out and on penalties imposed in the event of infringements of the relevant domestic rules. 4. No earlier than 21 May 2029, countries to which the OECD Decision does not apply and which intend to receive plastic waste referred to in Article 39(1)(d) from the Union for recycling may submit a request to the Commission indicating their willingness to receive such waste and to be included in the list referred to in Article 41. Such request and all related documentation or other communication shall be provided in the English language. In addition to the requirements set out in paragraphs 2 and 3, the country making the request shall also demonstrate all of the following: (a) it has a comprehensive waste management system in place that covers its entire territory and effectively ensures separate collection of plastic waste; (b) it has a legal framework for waste management in place, which includes at least the following elements: (i) prohibition of open burning and of uncontrolled landfilling of waste; (ii) prohibition of incineration and of landfilling of separately collected plastic waste; (iii) provisions on enforcement, inspection and penalties designed to ensure the implementation of points (a) and (b)(i) and (ii); (c) that imports of plastic waste from the Union do not have any adverse effects on the management of plastic waste generated in the country. 5. In the event of any change to the information provided to the Commission under paragraph 3, the countries included in the list referred to in Article 41 shall provide an update of the information specified in the form set out in Annex VIII, together with relevant supporting evidence without delay. The countries included in the list referred to in Article 41 shall in any case, on the fifth year after their initial inclusion, provide to the Commission an update of the information specified in the form set out in Annex VIII, together with relevant supporting evidence.
Article 43 Assessment of the request for inclusion in the list of countries to which exports are authorised
1. The Commission shall assess the requests submitted pursuant to Article 42 without delay and, if it is satisfied that the requirements set out in that Article are complied with, it shall include the country making the request in the list of countries to which exports are authorised. The assessment shall be based on the information and supporting evidence provided by the country making the request, as well as other relevant information, and determine if the country making the request complies with the requirements set out in Article 42, including whether it has put in place and implements all necessary measures to ensure that the wastes and mixtures of wastes concerned will be managed in an environmentally sound manner as referred to in Article 59, and that there are no substantial adverse effects on the management of domestic waste in the country concerned as a consequence of the waste exported from the Union. In order to perform this assessment, the Commission shall use, as points of reference, the relevant provisions in the legislation and guidance referred to in Annex IX. 2. Where, during the course of its assessment, the Commission considers that the information provided by the country making the request is incomplete or insufficient to demonstrate compliance with the requirements set out in Article 42, it shall give that country an opportunity to provide additional information within a maximum period of three months. That period may be extended by an additional period of three months where the requesting country makes a reasoned request for such extension. 3. Where the country making the request does not provide the additional information within the time limit referred to in paragraph 2 of this Article, or where the provided additional information is still considered to be incomplete or insufficient to demonstrate compliance with the requirements set out in Article 42, the Commission shall inform without undue delay the country making the request that it cannot be included in the list of countries to which exports are authorised and that its request will no longer be processed. In such a case, the Commission shall also inform the country making the request of the reasons for that conclusion. The country making the request may submit a new request pursuant to Article 42. 4. The Commission shall assess the requests submitted pursuant to Article 42(4) without undue delay and, if it is satisfied that the requirements set out in Article 42(3) and (4) are complied with, it is empowered to adopt a delegated act in accordance with Article 80 to include the country making the request in the list of countries to which exports are authorised. In order to perform this assessment, the Commission shall use, as points of reference, the relevant provisions in the legislation and guidance referred to in Annex IX.
Article 44 General regime for exports of waste
1. Where waste referred to in Article 4(2) to (5) is exported from the Union and destined for recovery in countries to which the OECD Decision applies, with or without transit through countries to which the OECD Decision applies, the provisions of Title II shall apply mutatis mutandis , with the adaptations and additional provisions listed in paragraphs 2, 3, 4 and 6. 2. The following adaptations shall apply: (a) the notifier shall provide, annexed to the notification document, documentary evidence that an audit as referred to in Article 46(3) has been carried out in the facility to which the waste is being exported, unless the exemption in Article 46(11) applies; (b) mixtures of wastes listed in Annex IIIA destined for an interim operation shall be subject to the procedure of prior written notification and consent if any subsequent interim or non-interim recovery operation or subsequent non-interim disposal operation is to take place in a country to which the OECD Decision does not apply; (c) waste classified under entry B3011 shall be subject to the procedure of prior written notification and consent; (d) waste listed in Annex IIIB and shipments of waste destined for experimental treatment trials referred to in Article 4(5) shall be subject to the procedure of prior written notification and consent; (e) shipments of waste destined for laboratory analysis referred to in Article 4(5) shall be subject to the procedure of prior written notification and consent, unless the quantity of such waste has been determined based on the minimum quantity reasonably needed to adequately perform the analysis in each particular case, and does not exceed 25 kg, in which case the procedural requirements of Article 18 shall apply; (f) the export of waste referred to in Article 4(3) shall be prohibited; (g) the consent as required in accordance with Article 9 may be provided in the form of tacit consent from the competent authority of destination outside the Union; (h) the consent to a shipment of certain waste in accordance with Article 9 shall be withdrawn by the competent authority of dispatch when a delegated act in accordance with Article 45(6) entered into force that prohibits the export of such waste to the country concerned; (i) the facility mentioned in Articles 15(3) and 16(5) shall provide the respective confirmation within 3 working days of receipt of the waste. 3. As regards exports of waste referred to in Article 4(2), the adaptations and additional provisions listed in Article 38(2), points (a) to (e), and Article 38(3), points (b) to (g), shall apply. 4. As regards exports of waste listed referred to in Article 4(4), the person who arranges the shipment shall ensure that the information to be provided by the facility in accordance with Article 18(8) and (9) shall be included in a system referred to in Article 27, unless those facilities are connected to a system referred to in Article 27. 5. The shipment of waste subject to the prior written notification and consent may take place only if all the following conditions are fulfilled: (a) the notifier has received written consent from the competent authorities of dispatch, destination and, where appropriate, transit or the competent authorities of destination and transit outside the Union have provided tacit consent or such tacit consent can be assumed and the conditions laid down in those consents or their annexes have been met; (b) Article 38(4), point (b), is complied with. 6. Where an export as referred to in paragraph 1 of waste referred to in Article 4(2) is in transit through a country to which the OECD Decision does not apply, the following adaptations shall apply: (a) the competent authority of transit of the country to which the OECD Decision does not apply shall have 60 days from the date of transmission of its acknowledgement of receipt of a properly completed notification, to provide, where the country concerned has decided not to require prior written consent and has informed the other Parties to the Basel Convention thereof in accordance with Article 6(4) of that Convention, tacit consent or to give a written consent with or without conditions; (b) the competent authority of dispatch in the Union shall take the decision to consent to the shipment as referred to in Article 9 only after having received tacit or written consent from the competent authority of transit of the country to which the OECD Decision does not apply, and not earlier than 61 days after the date of transmission of the acknowledgement of receipt of a properly completed notification by a competent authority of transit outside the Union, unless the competent authority of dispatch has received the written consent of the other competent authorities concerned, in which case it may take the decision as referred to in Article 9 before that time limit. 7. Where waste is exported, it shall be destined for recovery operations within a facility which, under applicable national law, is operating or is authorised to operate in the country of destination. 8. Article 38(6) shall apply.
Article 45 Monitoring of export and safeguard procedure
1. The Commission shall monitor the exports of waste from the Union to countries to which the OECD Decision applies, with a view to ensuring that such exports do not lead to significant environmental or human health damage in the country of destination or that waste imported from the Union is not shipped onwards to third countries. As part of its monitoring, the Commission shall assess requests from natural or legal persons which are accompanied by relevant information and data showing that management of waste exported from the Union does not fulfil the requirements of environmentally sound management as referred to in Article 59 in a third country to which the OECD Decision applies, or that such exports cause substantial adverse effects on the management of waste generated in that country. 2. In cases where: (a) there is insufficient evidence available demonstrating that a country to which the OECD Decision applies has the ability to recover certain waste in an environmentally sound manner as referred to in Article 59, including due to the export of such waste from the Union to the country concerned; or (b) where there is evidence that the country concerned fails to meet the requirements of Article 59 for this waste; or (c) there is evidence that there are substantial adverse effects on the management of waste generated in that country due to the export of waste from the Union, the Commission shall request the competent authorities of the country concerned to provide, within 60 days, information on the conditions under which the waste in question is recovered, the effect of the export of the waste from the Union on the management of the waste generated in that country and the ability of the country concerned to manage this waste in an environmentally sound manner as referred to in Article 59. The Commission may grant an extension of this time limit if the country concerned makes a reasoned request for an extension thereof. 3. The request referred to in paragraph 2 shall aim to verify that the country concerned has: (a) put in place and implemented an adequate legal framework for the import and management of the waste concerned, both imported waste and waste generated in the country, in an environmentally sound manner, as well as adequate measures to ensure the environmentally sound management of the residual waste generated through the recovery of the waste concerned; (b) put in place separate reporting on the quantity of waste generated in the country concerned and of waste imported into that country; (c) sufficient capacity in its territory allowing the waste concerned to be managed in an environmentally sound manner, taking into consideration the volume of waste imported into its territory; (d) put in place an adequate strategy, including measures to ensure that the import of the waste concerned has no substantial adverse effect on the collection and management of the waste generated domestically; (e) put in place and implemented adequate enforcement measures to ensure that the waste concerned is managed in an environmentally sound manner and address possible illegal shipments or treatment of such waste; (f) in the case of the export of plastic waste, been implementing requirements designed to ensure that plastic waste will be recycled in an environmentally sound manner and that residual waste generated through the recycling process will be managed in an environmentally sound manner, including through a prohibition of open burning or dumping of such waste. The request shall in addition aim to verify that measures are implemented to avoid the import of plastic waste from the Union undermining the environmentally sound management of plastic waste generated domestically and also that measures have been taken to prevent the shipment of imported plastic waste to other countries. Information shall also be provided showing that specific enforcement and inspections of shipments of plastic waste and facilities managing such waste are carried out at regular intervals to implement those requirements and mitigate pollution to air, soil, water or the marine environment linked to the mismanagement of plastic waste. 4. For the purpose of the verifications referred to in paragraph 3, the Commission shall, where relevant, consult relevant stakeholders. 5. The Commission shall exercise specific scrutiny with regard to exports of plastic waste to countries to which the OECD Decision applies. The Commission shall by 21 May 2026 assess whether countries to which the OECD Decision applies and which import significant volumes of plastic waste from the Union comply with this Article. 6. Where, further to the request referred to in paragraph 2, the country concerned does not provide sufficient evidence as referred to in paragraph 3 that the waste concerned is managed in an environmentally sound manner in accordance with Article 59, or that there are no substantial adverse effects on the management of waste generated in that country as a consequence of the waste exported from the Union, the Commission is empowered to adopt delegated acts in accordance with Article 80 to supplement this Regulation by prohibiting the export of the waste concerned to this country. A prohibition shall only be lifted by the Commission where it has sufficient evidence that the waste concerned will be managed in an environmentally sound manner and that there are no substantial adverse effects on the management of waste generated in that country as a consequence of the waste exported from the Union.
Article 46 Obligations on exporters
1. The notifier or the person who arranges the shipment shall only export waste from the Union if it can demonstrate that the facilities which are to receive the waste in the country of destination will manage it in an environmentally sound manner as referred to in Article 59. 2. The notifier or person who arranges the shipment shall not export waste to a facility which does not comply with criteria laid down in Part B of Annex X. 3. In order to fulfil the obligation referred to in paragraph 1, the notifier or person who arranges the shipment intending to export waste from the Union shall ensure that the facilities which will manage the waste in the country of destination have been subject to an audit. This audit shall be carried out by a third party which shall be independent from the notifier or person who arranges the shipment as well as from the audited facility and have appropriate qualifications in the areas of audits and waste treatment. When commissioning an audit, the notifier or a person who arranges the shipment shall verify that the third party complies with the requirements laid down in Part A of Annex X and has been authorised or accredited by a national official body to perform audits as defined in this Article. 4. The audit referred to in paragraph 3 shall include both physical and documentary checks and shall verify compliance of the facility concerned with the criteria laid down in Part B of Annex X. 5. A notifier or person who arranges the shipment intending to export waste shall ensure, prior to exporting waste, that the facility which will manage the waste in the country of destination has been subject to an audit referred to in paragraph 3 carried out no longer than two years prior to exporting waste to the facility concerned and which has demonstrated compliance of the facility with the criteria in Part B of Annex X. With a view to fulfilling this obligation, the notifier or a person who arranges the shipment shall either: (a) commission an audit in accordance with this Article; (b) acquire the report of an audit commissioned in accordance with this Article by another notifier or person who arranges the shipment, which was made available in accordance with paragraph 6, after verifying that the audit had been conducted in accordance with paragraphs 3 and 4 and demonstrated compliance of the facility with the criteria laid down in Part B of Annex X; or (c) acquire the report of an audit commissioned in accordance with this Article by the facility itself, which was notified to the register referred to in paragraph 8 in accordance with paragraph 7, second subparagraph, after verifying that the audit had been conducted in accordance with paragraphs 3 and 4 and demonstrated compliance of the facility with the criteria laid down in Part B of Annex X. The notifier or person who arranges the shipment shall also commission an ad hoc audit without delay in case it receives reliable information that a facility no longer complies with the criteria laid down in Part B of Annex X. Where the ad hoc audit demonstrates that a facility no longer complies with the criteria laid down in Part B of Annex X, the notifier or the person who arranges the shipment shall immediately stop the export of waste to that facility and inform the competent authorities of dispatch concerned. 6. A notifier or person who arranges the shipment that has commissioned an audit for a given facility in accordance with paragraph 3 shall ensure that such audit be made available to other notifiers or persons who arrange shipments intending to export waste to the facility in question, under fair commercial conditions. 7. A notifier or a person who arranges the shipment shall notify the Commission of audits they have commissioned in accordance with paragraphs 3 and 5, and which have demonstrated compliance of a facility with the criteria laid down in Part B of Annex X. The notification shall contain the following information: (a) name and contact details of the facility that has been subject to the audit; (b) name and contact details of the notifier or the person who arranges the shipment which commissioned the audit; (c) name and contact details of the third party that has carried out the audit; (d) the date of the audit; (e) the types of waste, as listed in Annex III, IIIA, IIIB or IV or in the list of waste referred to in Article 7 of Directive 2008/98/EC; (f) the recovery operations (R-codes), as referred to in Annex II of Directive 2008/98/EC. A notifier or a person who arranges the shipment may notify the Commission of an audit commissioned by the audited facility itself, provided that the notifier or the person who arranges the shipment has verified that the audit had been conducted in accordance with paragraphs 3 and 4 and demonstrated compliance of the facility with the criteria laid down in Part B of Annex X. Such notification shall contain information in accordance with the first subparagraph, points (a) and (c) to (f). 8. The Commission shall establish and keep an up to date register with information received in accordance with paragraph 7. The Commission shall make the information in the register publicly available. 9. Upon request by a competent authority or an authority involved in inspections, a notifier or person who arranges the shipment shall provide documentary evidence that audits as referred to in paragraph 3 have been carried out in all facilities to which they are exporting the waste in question. Such documentary evidence shall be provided in a language acceptable to the authorities concerned. 10. A notifier or person who arranges the shipment exporting waste outside the Union shall on a yearly basis make information on how they comply with their obligations under this Article publicly available by electronic means. 11. Where an international agreement between the Union and a third country to which the OECD Decision applies recognises that the facilities in that third country will manage waste in an environmentally sound manner, as referred to in Article 59 and in accordance with the criteria laid down in Part B of Annex X, notifiers or persons who arrange shipments intending to export waste to that third country shall be exempted from the obligation laid down in paragraphs 3 to 7 and 9. A notifier or a person who arranges the shipment exporting waste from the Union to a facility in a third country with which the Union has concluded an international agreement shall carry out ad hoc audit without delay in the event it receives reliable information that a facility no longer complies with the criteria laid down in Part B of Annex X. The notifier or person who arranges the shipment shall in such a case notify the competent authorities of dispatch of that reliable information as well as its plans to carry out an ad hoc audit. Where an ad hoc audit demonstrates that a facility no longer complies with the criteria laid down in Part B of Annex X, the notifier or the person who arranges the shipment shall immediately stop the export of waste to that facility and inform the competent authorities of dispatch concerned. 12. The Commission shall make the relevant international agreements referred to in paragraph 11 publicly available on its website. 13. The Commission may adopt guidelines with regard to the application of this Article.
Article 47 Obligations on Member States of export
1. In case of exports from the Union, Member States shall take all the measures necessary to ensure that legal and natural persons under their national jurisdiction do not export waste in cases where the conditions laid down in Articles 39 to 46 for such export are not met or where exported waste is not managed in an environmentally sound manner in accordance with Article 59. 2. Where Member States are in possession of reliable information indicating that natural or legal persons exporting waste from the Union are not complying with their obligations under Article 46 they shall carry out the necessary verifications.
Article 48 Exports to the Antarctic
Exports of waste from the Union to the Antarctic shall be prohibited.
Article 49 Exports to overseas countries or territories
1. Exports from the Union to an overseas country or territory of waste destined for disposal in that country or territory shall be prohibited. 2. As regards exports of waste destined for recovery in overseas countries or territories, the prohibition set out in Article 39 shall apply mutatis mutandis . 3. As regards exports of waste destined for recovery in overseas countries or territories not covered by the prohibition set out in Article 39, the provisions of Title II shall apply mutatis mutandis .
Article 50 Prohibition of imports of waste destined for disposal
1. Imports into the Union of waste destined for disposal shall be prohibited except imports coming from: (a) countries which are Parties to the Basel Convention; (b) other countries with which the Union, or the Union and its Member States, have concluded bilateral or multilateral agreements or arrangements compatible with Union legislation and in accordance with Article 11 of the Basel Convention; (c) other countries with which individual Member States have concluded bilateral agreements or arrangements in accordance with paragraph 2; or (d) other areas in cases where, on exceptional grounds during situations of crisis, peacemaking or peacekeeping operations, or war, no bilateral agreements or arrangements pursuant to point (b) or (c) can be concluded or where a competent authority in the country of dispatch has either not been designated or is unable to act. 2. In exceptional cases, Member States may conclude bilateral agreements and arrangements for the disposal of specific waste in those Member States, where such waste will not be managed in an environmentally sound manner in the country of dispatch. These agreements and arrangements shall: (a) be compatible with Union law and in accordance with Article 11 of the Basel Convention; (b) guarantee that the disposal operations will be carried out in an authorised facility and will comply with the requirements for environmentally sound management as referred to in Article 59(1) of this Regulation, Article 13 of Directive 2008/98/EC and other Union law on waste, in particular the Union legislation referred to in Annex IX, Part 1; (c) guarantee that the waste is produced in the country of dispatch and that its disposal will be carried out exclusively in the Member State which has concluded the agreement or arrangement; and (d) be notified to the Commission prior to their conclusion or, in emergency situations, at the latest up to one month after conclusion. 3. Bilateral or multilateral agreements or arrangements referred to in paragraph 1, points (b) and (c), shall be based on the procedural requirements of Article 51. 4. The countries referred to in paragraph 1, points (a), (b) and (c), shall be required to present a prior duly reasoned request to the competent authority of the Member State of destination on the basis that they do not have and cannot reasonably acquire the technical capacity and the necessary facilities in order to dispose of the waste in an environmentally sound manner as referred to in Article 59.
Article 51 Procedural requirements for imports of waste destined for disposal or during situations of crisis, or during peacemaking or peacekeeping operations
1. Where waste destined for disposal is imported into the Union from countries that are Parties to the Basel Convention, or in cases referred to in Article 50(1), point (d), the provisions of Title II shall apply mutatis mutandis , with the adaptations and additional provisions set out in paragraphs 2 and 3. 2. The following adaptations shall apply: (a) a notifier that is not established within the Union and has no access to a system referred to in Article 27, may submit the notification and any requested additional information and documentation to the competent authorities concerned by post, or if appropriate, by fax or email with digital signature; in case of email with digital signature, any stamp or signature required shall be replaced by the digital signature; (b) the notifier, or where the notifier is not established within the Union and has no access to a system referred to in Article 27, the competent authority of destination in the Union, shall ensure that all relevant information, at least the notification document including any annexes, the movement document including any annexes, the written consents, information about tacit consents and the conditions, are included in that system; (c) the competent authority of destination and any competent authority of transit in the Union shall inform the competent authority of dispatch and any competent authority of transit outside the Union of any request for information and documentation from their side and of their decision on the planned shipment, by post, or if appropriate, by fax or email with digital signature unless the competent authorities in the countries concerned have access to the central system referred to in Article 27(3); (d) the information to be provided to the competent authority of dispatch and any competent authority of transit outside the Union pursuant to Articles 7, 8, 16 and 17 shall be provided by post, or if appropriate, by fax or email with digital signature, unless those authorities are connected to a system referred to in Article 27; (e) a competent authority of transit outside the Union shall have 60 days from the date of transmission of its acknowledgement of receipt of a properly completed notification, to provide, if the country concerned has decided not to require prior written consent and has informed the other Parties to the Basel Convention thereof in accordance with Article 6(4) of that Convention, tacit consent or to give a written consent with or without conditions; (f) in the cases referred to in Article 50(1), point (d), involving situations of crisis, peacemaking or peacekeeping operations, or war, the consent of the competent authorities of dispatch shall not be required. 3. The following additional provisions shall apply: (a) the competent authority of destination may, if necessary, require a financial guarantee or equivalent insurance, or an additional financial guarantee or equivalent insurance, after having reviewed the amount of cover of any financial guarantee or equivalent insurance established by the notifier; (b) a competent authority of transit in the Union shall provide an acknowledgement of receipt of a properly completed notification to the notifier, with copies to the competent authorities concerned in case they have no access to a system referred to in Article 27; (c) the competent authority of destination and any competent authority of transit in the Union shall inform the customs office of entry of their decisions to consent to the shipment; (d) a copy of the movement document shall be delivered by the carrier to the customs office of entry either by post or if appropriate, by fax or email with digital signature or, where the customs office of entry has access to it, via the central system referred to in Article 27(3); and (e) as soon as the waste has been released for a customs procedure by the customs authorities at entry, the customs office of entry shall inform the competent authority of destination and any competent authority of transit in the Union that the waste has entered the Union. 4. The shipment may take place only if all the following conditions are fulfilled: (a) the notifier has received written consent from the competent authorities of dispatch, destination and, where appropriate, transit, and the conditions laid down in those consents or their annexes have been met; (b) a contract between the notifier and the consignee as referred to in Article 6 has been concluded and is effective; (c) a financial guarantee or equivalent insurance as referred to in Article 7 has been established and is effective; and (d) environmentally sound management as referred to in Article 59 is ensured. 5. Where a customs office of entry discovers an illegal shipment, it shall without delay inform the competent authority in the country of that customs office. That competent authority shall: (a) without delay inform the competent authority of destination in the Union of the illegal shipment, after which that competent authority shall inform the competent authority of dispatch outside the Union; (b) ensure detention of the waste until the competent authority of dispatch outside the Union has decided otherwise and has communicated that decision in writing to the competent authority in the country of the customs office in which the waste is detained; and (c) without delay communicate the decision of the competent authority of dispatch referred to in (b) to the customs office of entry that discovered the illegal shipment. 6. Where waste generated by armed forces or relief organisations during situations of crisis, or during peacemaking or peacekeeping operations, is imported by those armed forces or relief organisations or by a natural or legal person on their behalf, such entities shall inform any competent authority of transit and the competent authority of destination in the Union, or in urgent cases where the disposal or recovery facility is not known at the time of the shipment, the competent authority responsible for the area of the first place of destination in advance concerning the shipment and its destination. The information provided pursuant to the first subparagraph shall accompany the shipment, unless it is provided via a system in accordance with Article 27. 7. The Commission shall adopt an implementing act detailing the information to be provided in accordance with paragraph 6, the first subparagraph, and the related timing. Such information shall be sufficient to enable authorities to carry out inspections, and provide details on the persons involved in the shipments, the date of the shipment, the waste quantity, the waste identification, the designation and composition of the waste, the recovery or disposal facility, the code for the recovery or disposal operation and the countries involved. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 81(2).
Article 52 Prohibition of imports of waste destined for recovery
1. Imports into the Union of waste destined for recovery shall be prohibited except for imports coming from: (a) countries to which the OECD Decision applies; (b) other countries which are Parties to the Basel Convention; (c) other countries with which the Union, or the Union and its Member States, have concluded bilateral or multilateral agreements or arrangements compatible with Union law and in accordance with Article 11 of the Basel Convention; (d) other countries with which individual Member States have concluded bilateral agreements or arrangements in accordance with paragraph 2; or (e) other areas in cases where, on exceptional grounds during situations of crisis, peacemaking or peacekeeping operations, or war, no bilateral agreements or arrangements pursuant to point (c) or (d) can be concluded or where a competent authority in the country of dispatch has either not been designated or is unable to act. 2. In exceptional cases, individual Member States may conclude bilateral agreements and arrangements for the recovery of specific waste in those Member States, where such waste will not be managed in an environmentally sound manner, in the country of dispatch. In such cases Article 50(2), second subparagraph, shall apply. 3. Bilateral or multilateral agreements or arrangements entered into in accordance with paragraph 1, points (c) and (d), shall be based on the procedural requirements set out in Article 51 in so far as may be relevant.
Article 53 Procedural requirements for imports from a country to which the OECD Decision applies or from other areas during situations of crisis or during peacemaking or peacekeeping operations
1. Where waste destined for recovery is imported into the Union from countries and through countries to which the OECD Decision applies, or in cases referred to in Article 52(1), point (e), the provisions of Title II shall apply mutatis mutandis , with the adaptations and additional provisions set out in paragraphs 2 and 3. 2. The following adaptations shall apply: (a) the consent as required in accordance with Article 9 may be provided in the form of tacit consent from the competent authority of dispatch outside the Union; (b) shipments of waste destined for experimental treatment trials referred to in Article 4(5) shall be subject to the procedure of prior written notification and consent; (c) shipments of waste destined for laboratory analysis referred to in Article 4(5) shall be subject to the procedure of prior written notification and consent, unless the quantity of such waste has been determined based on the minimum quantity reasonably needed to adequately perform the analysis in each particular case, and does not exceed 25 kg, in which case the procedural requirements of Article 18 shall apply; (d) the provisions in Article 51(2), points (a) to (e) shall apply; (e) the facility mentioned in Articles 15(3) and 16(5) shall provide the respective confirmation within 3 working days of receipt of the waste. 3. Article 51(3) shall also apply. 4. The shipment may take place only if all the following conditions are fulfilled: (a) the notifier has received written consent from the competent authorities of dispatch, destination and, where appropriate, transit, or tacit consent from the competent authority of dispatch outside the Union has been provided or can be assumed, and the conditions laid down in the respective decisions have been met; (b) the conditions specified in Article 51(4), points (b), (c) and (d) have been met. 5. The provisions in Article 51(5) and (6) shall apply.
Article 54 Procedural requirements for imports from or through a country to which the OECD Decision does not apply
Where waste destined for recovery is imported into the Union from a country to which the OECD Decision does not apply or through any country to which the OECD Decision does not apply and which is also Party to the Basel Convention, Article 51 shall apply mutatis mutandis .
Article 55 Obligations of competent authorities of destination in the Union
1. In the case of imports into the Union, the competent authority of destination in the Union shall require and take the necessary steps to ensure that any waste shipped into its area of jurisdiction is managed without endangering human health and in an environmentally sound manner in accordance with Article 59 of this Regulation, and in accordance with Article 13 of Directive 2008/98/EC and other Union law on waste, in particular the Union legislation referred to in Annex IX, Part 1, throughout the duration of the shipment, including recovery or disposal in the country of destination. 2. The competent authority referred to in paragraph 1 shall also prohibit imports of waste from third countries where it has reason to believe that the waste will not be managed in accordance with the requirements set out in paragraph 1.
Article 56 Imports from overseas countries or territories
1. Where waste is imported into the Union from overseas countries or territories, Title II shall apply mutatis mutandis . 2. An overseas country or territory and the Member State to which it is linked may apply national procedures of that Member State to shipments from the overseas country or territory to that Member State in case no other countries are involved in the shipment as country of transit. Where a Member State applies national procedures to such shipments, it shall notify the Commission thereof.
Article 57 Transit through the Union of waste destined for disposal
Where waste destined for disposal is shipped through Member States from and to third countries, Article 51 shall apply mutatis mutandis , with the following adaptations and additional provisions: (a) the first and last competent authority of transit in the Union shall, where appropriate, inform the customs office of entry and the customs office of exit of their respective decisions to consent to the shipment or, if they have provided tacit consent, of the acknowledgement in accordance with Article 51(3), point (b); (b) the customs office of exit shall, as soon as the waste has left the Union, inform the competent authority(ies) of transit in the Union that the waste has left the Union; (c) a competent authority of transit in the Union may, if necessary, require a financial guarantee or equivalent insurance, or an additional financial guarantee or equivalent insurance, after having reviewed the amount of cover of any financial guarantee or equivalent insurance established by the notifier.
Article 58 Transit through the Union of waste destined for recovery
1. Where waste destined for recovery is shipped through Member States from and to a country to which the OECD Decision does not apply, Article 57 shall apply mutatis mutandis . 2. Where waste destined for recovery is shipped through Member States from and to a country to which the OECD Decision applies, Article 53 shall apply mutatis mutandis , with the following adaptations and additional provisions: (a) the first and last competent authority of transit in the Union shall, where appropriate, inform the customs office of entry and the customs office of exit of their respective decisions to consent to the shipment or, if they have provided tacit consent, of the acknowledgement in accordance with Article 51(3), point (b); (b) the customs office of exit shall, as soon as the waste has left the Union, inform the competent authorities of transit in the Union that the waste has left the Union; (c) a competent authority of transit in the Union may, if necessary, require a financial guarantee or equivalent insurance, or an additional financial guarantee or equivalent insurance, after having reviewed the amount of cover of any financial guarantee or equivalent insurance established by the notifier. 3. Where waste destined for recovery is shipped through Member States from a country to which the OECD Decision does not apply to a country to which the OECD Decision applies or vice versa, paragraph 1 shall apply as regards the country to which the OECD Decision does not apply and paragraph 2 shall apply as regards the country to which the OECD Decision applies.
Article 59 Environmentally sound management
1. The waste producer, the notifier, the person who arranges the shipment and any other undertaking involved in a shipment of waste or its recovery or disposal shall take the necessary steps to ensure that the waste is managed without endangering human health and in an environmentally sound manner throughout the duration of the shipment and during the recovery and disposal of the waste. 2. For the purposes of export of waste, the waste shall be deemed to be managed in an environmentally sound manner as regards recovery or disposal, if it can be demonstrated that the waste, as well as any residual waste generated through recovery or disposal, will be managed in accordance with human health, climate and environmental protection requirements that are considered equivalent to human health and environmental protection requirements under Union legislation. When assessing such equivalence, full compliance with requirements stemming from Union legislation shall not be required, but it shall be demonstrated that the requirements applied in the country of destination ensure a similar level of protection of human health and the environment than the requirements stemming from Union legislation. In order to perform the equivalence assessment, the relevant provisions of Union legislation and the international guidance referred to in Annex IX shall be used as points of reference.
Article 60 Inspections
1. Member States shall, for the purpose of enforcing this Regulation, ensure that inspections of establishments, undertakings, brokers and dealers in accordance with Article 34 of Directive 2008/98/EC, and inspections of shipments of waste and of the related recovery or disposal, are carried out. 2. Inspections of shipments shall take place at least in one of the following points: (a) at the point of origin, carried out with the waste producer, collector, waste holder, notifier or person who arranges the shipment; (b) at the point of destination, including interim and non-interim recovery or interim and non-interim disposal, carried out with the consignee or the facility; (c) at the borders of the Union; (d) during the shipment within the Union.