Regulation (EC) No 1013/2006 of the European Parliament and of the Council of 14 June 2006 on shipments of waste

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

ANNEX IA

Notification document for transboundary movements/shipments of waste

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ANNEX IB

Movement document for transboundary movements/shipments of waste

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ANNEX IC

SPECIFIC INSTRUCTIONS FOR COMPLETING THE NOTIFICATION AND MOVEMENT DOCUMENTS

I. Introduction

• 1. The present instructions provide the necessary explanations for completing the notification and movement documents. Both documents are compatible with the Basel Convention ([^E0016]), the OECD Decision ([^E0017]) (which only covers shipments of wastes destined for recovery operations within the OECD area) and this Regulation, since they take into account the specific requirements set out in these three instruments. Because the documents have been made broad enough to cover all three instruments, however, not all blocks in the document will be applicable to all of the instruments and it therefore may not be necessary to complete all of the blocks in a given case. Any specific requirements relating to only one control system have been indicated with the use of footnotes. It is also possible that national implementing legislation may use terminology that differs from that adopted in the Basel Convention and the OECD Decision. For example, the term ‘shipment’ is used in this Regulation instead of ‘movement’ and the titles of the notification and movement documents therefore reflect this variation by employing the term ‘movement/shipment’.

• 1. The documents include both the term ‘disposal’ and ‘recovery’, because the terms are defined differently in the three instruments. The European Community Regulation and the OECD Decision use the term ‘disposal’ to refer to disposal operations listed in Annex IV.A of the Basel Convention and Appendix 5.A of the OECD Decision and ‘recovery’ for recovery operations listed in Annex IV.B of the Basel Convention and Appendix 5.B of the OECD Decision. In the Basel Convention itself, however, the term ‘disposal’ is used to refer to both disposal and recovery operations.

• 1. The competent authorities of dispatch are responsible for providing and issuing the notification and movement documents (in both paper and electronic versions). When doing so, they will use a numbering system, which allows a particular consignment of waste to be traced. The numbering system should be prefixed with the country code of the country of dispatch that can be found in the ISO standard 3166 abbreviation list. Within the EU, the two-digits country code must be followed by a space. This may be followed by an optional code of up to four digits specified by the competent authority of dispatch followed by a space. The numbering system must end with a six-digit number. For illustration, if the country code is XY and the six-digit number 123456, the notification number would be XY 123456 if no optional code were specified. Where an optional code, for example 12, is specified, the notification number would be XY 12 123456. However, in case a notification or movement document is transmitted electronically and no optional code is specified, ‘0000’ should be inserted instead of the optional code (e.g. XY 0000 123456); in case an optional code of less than four digits is specified, for example 12, the notification number would be XY 0012 123456.

• 1. Countries may wish to issue the documents in a paper size format that conforms to their national standards (normally ISO A4, as recommended by the United Nations). In order to facilitate their use internationally, however, and to take into account the difference between ISO A4 and the paper size used in North America, the frame size of the forms should not be greater than 183 × 262 mm with margins aligned at the top and the left side of the paper. The notification document (block 1-block 21 including footnotes) should be on one page and the list of abbreviations and codes used in the notification document should be on a second page. With regard to the movement document, block 1-block 19 including footnotes should be on one page and block 20-22 and the list of abbreviations and codes used in the movement document should be on a second page.

II.   Purpose of the notification and movement documents

• 1. The notification document is intended to provide the competent authorities concerned with the information they need to assess the acceptability of proposed waste shipments. It also provides space for them to acknowledge receipt of the notification and, where required, to consent in writing to a proposed shipment.

• 1. The movement document is intended to travel with a consignment of waste at all times from the moment it leaves the waste producer to its arrival at a disposal or recovery facility in another country. Each person who takes charge of a shipment (carriers and possibly consignee ([^E0018])) is to sign the movement document either upon delivery or receipt of the wastes in question. There are also spaces in the movement document for recording passage of the consignment through the customs offices of all countries concerned (required by this Regulation). Finally, the document is to be used by the relevant disposal or recovery facility to certify that the waste has been received and that the recovery or disposal operation has been completed.

III.   General requirements

• 1. A planned shipment subject to the procedure of prior written notification and consent may take place only after the notification and movement documents have been completed pursuant to this Regulation, taking into account Articles 16(a) and 16(b), and during the period of validity of the written or tacit consents of all competent authorities concerned.

• 1. Those filling out printed copies of the documents should use typescript or block capitals in permanent ink throughout. Signatures should always be written in permanent ink and the name of the authorised representative should accompany the signature in capital letters. In the event of a minor mistake, for example the use of the wrong code for a waste, a correction can be made with the approval of the competent authorities. The new text must be marked and signed or stamped, and the date of the modification must be noted. For major changes or corrections, a new form must be completed.

• 1. The forms have also been designed to be easily completed electronically. Where this is done, appropriate security measures should be taken against any misuse of the forms. Any changes made to a completed form with the approval of the competent authorities should be visible. When using electronic forms transmitted by e-mail, a digital signature is necessary.

• 1. To simplify translation, the documents require a code, rather than text, for the completion of several blocks. Where text is required, however, it must be in a language acceptable to the competent authorities in the country of destination and, where required, to the other concerned authorities.

• 1. A six-digit format should be used to indicate the date. For example, 29 January 2006 should be shown as 29.01.06 (Day.Month.Year).

• 1. Where it is necessary to add annexes to the documents providing additional information, each annex should include the reference number of the relevant document and cite the block to which it relates.

IV.   Specific instructions for completing the notification document

• 1. The notifier ([^E0019]) is to complete blocks 1–18 (except the notification number in block 3) at the time of notification. In some third countries which are not OECD member countries, the competent authority of dispatch may complete these blocks. When the notifier is not the same person as the original producer, this producer or one of the persons indicated in point 15(a)(ii) or (iii) of Article 2 is, where practicable, also to sign in block 17 as specified in the second subparagraph, point 1 of Article 4, and Annex II, Part 1, point 26.

• 1. Blocks 1 (See Annex II, Part 1, points 2 and 4) and 2 (Annex II, Part 1, point 6): Provide the required information (give registration number only where applicable, address including the name of the country and telephone and fax numbers including the country code; contact person should be responsible for the shipment including if incidents during shipment occur). In some third countries, information relating to the competent authority of dispatch may be given instead. The notifier may be a dealer or broker in accordance with point 15 of Article 2 of this Regulation. In this case, provide a copy of the contract or evidence of the contract (or a declaration certifying its existence) between the producer, new producer or collector and the broker or dealer in an annex (see Annex II, Part 1, point 23). The phone and fax numbers and the e-mail address should facilitate contact of all relevant persons at any time regarding an incident during shipment.

• 1. Normally, the consignee would be the disposal or recovery facility given in block 10. In some cases, however, the consignee may be another person, for example a dealer, a broker ([^E0020]), or a corporate body, such as the headquarters or mailing address of the receiving disposal or recovery facility in block 10. In order to act as a consignee, a dealer, broker or corporate body must be under the jurisdiction of the country of destination and possess or have some other form of legal control over the waste at the moment the shipment arrives in the country of destination. In such cases, information relating to the dealer, broker or corporate body should be completed in block 2.

• 1. Block 3 (See Annex II, Part 1, points 1, 5, 11 and 19): When issuing a notification document, a competent authority will, according to its own system, provide an identification number which will be printed in this block (see paragraph 3 above). Under A, ‘individual shipment’ refers to a single notification and ‘multiple shipments’ to a general notification. Under B, give the type of operation the waste being shipped is destined for. Under C, pre-consent refers to Article 14 of this Regulation.

• 1. Blocks 4 (See Annex II, Part 1, point 1), 5 (See Annex II, Part 1, point 17) and 6 (See Annex II, Part 1, point 12): Give the number of shipments in block 4 and the intended date of a single shipment or, for multiple shipments, the dates of the first and last shipments, in block 6. In block 5, give the estimated minimum and maximum weight in tonnes (1 tonne equals 1 megagram (Mg) or 1 000  kg) of the waste. In some third countries, giving the volume in cubic metres (1 cubic metre equals 1 000 litres) or other metric units, such as kilograms or litres, may also be acceptable. When other metric units are used, the unit of measure may be indicated and the unit in the document may be crossed out. The total quantity shipped must not exceed the maximum quantity declared in block 5. The intended period of time for shipments in block 6 may not exceed one year, with the exception of multiple shipments to pre-consented recovery facilities according to Article 14 of this Regulation (see paragraph 16), for which the intended period of time may not exceed three years. All shipments must take place within the validity period of the written or tacit consents of all competent authorities concerned issued by the competent authorities according to Article 9(6) of this Regulation. In the case of multiple shipments, some third countries may, based on the Basel Convention, require the expected dates or the expected frequency and the estimated quantity of each shipment to be quoted in blocks 5 and 6 or attached in an annex. Where a competent authority issues a written consent to the shipment and the validity period of that consent in block 20 differs from the period indicated in block 6, the decision of the competent authority overrides the information in block 6.

• 1. Block 7 (See Annex II, Part 1, point 18): Types of packaging should be indicated using the codes provided in the list of abbreviations and codes attached to the notification document. If special handling precautions are required, such as those required by producers’ handling instructions for employees, health and safety information, including information on dealing with spillage, and instructions in writing for the transport of dangerous goods, tick the appropriate box and attach the information in an annex.

• 1. Block 8 (See Annex II, Part 1, points 7 and 13): Provide the required information (give registration number only where applicable, address including the name of the country and telephone and fax numbers including the country code; contact person should be responsible for the shipment). If more than one carrier is involved, append to the notification document a complete list giving the required information for each carrier. Where the transport is organised by a forwarding agent, the agent’s details and the respective information on actual carriers should be provided in an annex. Provide evidence of registration of the carrier(s) regarding waste transports (e.g. a declaration certifying its existence) in an annex (see Annex II, Part 1, point 15). Means of transport should be indicated using the abbreviations provided in the list of abbreviations and codes attached to the notification document.

• 1. Block 9 (See Annex II, Part 1, points 3 and 16): Provide the required information on the producer of the waste ([^E0021]). The registration number of the producer should be given where applicable. If the notifier is the producer of the waste then write ‘Same as block 1’. If the waste has been produced by more than one producer, write ‘See attached list’ and append a list providing the requested information for each producer. Where the producer is not known, give the name of the person in possession or control of such waste (holder). Also provide information on the process by which the waste was produced and the site of production.

• 1. Block 10 (See Annex II, Part 1, point 5): Provide the required information (give destination of the shipment by ticking either disposal or recovery facility, registration number only where applicable and actual site of disposal or recovery if it is different from the address of the facility). If the disposer or recoverer is also the consignee, state here ‘Same as block 2’. If the disposal or recovery operation is a D13–D15 or R12 or R13 operation (according to Annexes IIA or IIB of Directive 2006/12/EC on waste), the facility performing the operation should be mentioned in block 10, as well as the location where the operation will be performed. In such a case, corresponding information on the subsequent facility or facilities, where any subsequent R12/R13 or D13–D15 operation and the D1–D12 or R1–R11 operation or operations takes or take place or may take place should be provided in an annex. If the recovery or disposal facility is listed in Annex I, Category 5 of Directive 96/61/EC of 24 September 1996 on integrated pollution and prevention control, evidence (e.g. a declaration certifying its existence) of a valid permit issued in accordance with Articles 4 and 5 of that Directive must be provided in an annex in case a facility is located in the European Community.

• 1. Block 11 (See Annex II, Part 1, points 5, 19 and 20): Indicate the type of recovery or disposal operation by using R-codes or D-codes of Annexes IIA or IIB of Directive 2006/12/EC on waste (see also the list of abbreviations and codes attached to the notification document) ([^E0022]). If the disposal or recovery operation is a D13–D15 or R12 or R13 operation, corresponding information on the subsequent operations (any R12/R13 or D13–D15 as well as D1–D12 or R1–R11) should be provided in an annex. Also indicate the technology to be employed. If the waste is destined for recovery, provide the planned method of disposal for the non-recoverable fraction after recovery, the amount of recovered material in relation to non-recoverable waste, the estimated value of the recovered material and the cost of recovery and the cost of disposal of the non-recoverable fraction in an annex. In addition, in cases of imports into the Community of wastes destined for disposal, indicate a prior duly motivated request from the country of dispatch according Article 41(4) of this Regulation under ‘reason for export’ and attach this request in an annex. Some third countries outside the OECD may, based on the Basel Convention, also require that the reason for export is specified.

• 1. Block 12 (See Annex II, Part 1, point 16): Give the name or names by which the material is commonly known or the commercial name and the names of its major constituents (in terms of quantity and/or hazard) and their relative concentrations (expressed as a percentage), if known. In the case of a mixture of wastes, provide the same information for the different fractions and indicate which fractions are destined for recovery. A chemical analysis of the composition of the waste may be requested in accordance with Annex II Part 3 point 7 of this Regulation. Attach further information in an annex if necessary.

• 1. Block 13 (See Annex II, Part 1, point 16). Indicate physical characteristics of the waste at normal temperatures and pressures.

• 1. Block 14 (See Annex II, Part 1, point 16): State the code that identifies the waste according to Annexes III, IIIA, IIIB, IV or IVA of this Regulation. Give the code according to the system adopted under the Basel Convention (under subheading (i) in block 14) and, where applicable, the systems adopted in the OECD Decision (under subheading (ii)) and other accepted classification systems (under subheadings (iii) to (xii)). According to the second subparagraph, point 6 of Article 4 of this Regulation, give only one waste code (from Annexes III, IIIA, IIIB, IV or IVA of this Regulation) with the following two exceptions: In the case of wastes not classified under one single entry in either Annex III, IIIB, IV or IVA, give only one type of waste. In the case of mixtures of wastes not classified under one single entry in either Annex III, IIIB, IV or IVA, unless listed in Annex IIIA, provide the code of each fraction of the waste in order of importance (in an annex if necessary).

• (a) Subheading (i): Basel Convention Annex VIII codes should be used for wastes that are subject to the procedure of prior written notification and consent (see Part I of Annex IV of this Regulation); Basel Annex IX codes should be used for wastes that are not usually subject to the procedure of prior written notification and consent but which, for a specific reason such as contamination by hazardous substances (cf. paragraph 1 of Annex III of this Regulation) or different classification according to Article 63 of this Regulation or national regulations ([^E0023]), are subject to the procedure of prior written notification and consent (see Part I of Annex III of this Regulation). Basel Annexes VIII and IX can be found in Annex V of this Regulation, in the text of the Basel Convention as well as in the Instruction Manual available from the Secretariat of the Basel Convention. If a waste is not listed in Annexes VIII or IX of the Basel Convention, insert ‘not listed’.

• (b) Subheading (ii): OECD member countries should use OECD codes for wastes listed in Part II of Annexes III and IV of this Regulation, i.e. wastes that have no equivalent listing in the Annexes of the Basel Convention or that have a different level of control under this Regulation from the one required by the Basel Convention. If a waste is not listed in Part II of Annexes III and IV of this Regulation, insert ‘not listed’.

• (c) Subheading (iii): European Union Member States should use the codes included in the European Community list of wastes (see Commission Decision 2000/532/EC as amended) ([^E0024]).  —————

• (d) Subheadings (iv) and (v): Where applicable, national identification codes other than the EC list of wastes used in the country of dispatch and, if known, in the country of destination should be used.  —————

• (e) Subheading (vi): If useful or required by the relevant competent authorities, add here any other code or additional information that would facilitate the identification of the waste.

Such codes may be included in Annexes IIIA, IIIB, IV (EU48) or IVA of this Regulation. In that case, the Annex number should be stated in front of the codes. As regards Annex IIIA, the relevant code(s) as indicated in Annex IIIA should be used, as appropriate in sequence. Certain Basel entries such as B1100 and B3020 are restricted to particular waste streams only, as indicated in Annex IIIA.

• (f) Subheading (vii): State the appropriate Y-code or Y-codes according to the ‘Categories of wastes to be controlled’ (see Annex I of the Basel Convention and Appendix 1 of the OECD Decision), or according to the ‘Categories of wastes requiring special consideration’ given in Annex II of the Basel Convention (see Annex IV Part I of this Regulation or Appendix 2 of the Basel Instruction Manual), if it or they exist(s). Y-codes are not required by this Regulation and the OECD Decision except where the waste shipment falls under one of the two ‘Categories requiring special consideration’ under the Basel Convention (Y46 and Y47 or Annex II wastes), in which case the Basel Y-code should be indicated. Nevertheless, indicate the Y-code or Y-codes for wastes defined as hazardous according Article 1(1)(a) of the Basel Convention in order to fulfil the reporting requirements under the Basel Convention.

• (g) Subheading (viii): If applicable, state here the appropriate H-code or H-codes, i.e. the codes indicating the hazardous characteristics exhibited by the waste (see the list of abbreviations and codes attached to the notification document). If there is no hazardous characteristic covered by the Basel Convention, but the waste is hazardous according to Annex III to Directive 2008/98/EC of the European Parliament and of the Council, state the HP- code or HP-codes according to this Annex III and insert ‘EU’ after the HP code (e.g. HP14 EU).

• (h) Subheading (ix): If applicable, state here the United Nations class or classes which indicate the hazardous characteristics of the waste according to the United Nations classification (see the list of abbreviations and codes attached to the notification document) and are required to comply with international rules for the transport of dangerous goods (see the United Nations Recommendations on the Transport of Dangerous Goods. Model Regulations (Orange Book), latest edition) ([^E0025]).

• (i) Subheadings (x and xi): If applicable, state here the appropriate United Nations number or numbers and United Nations shipping name or names. These are used to identify the waste according to the United Nations classification system and are required to comply with international rules for transport of dangerous goods (see the United Nations Recommendations on the Transport of Dangerous Goods. Model Regulations (Orange Book), latest edition).

• (j) Subheading (xii): If applicable, state here customs code or codes, which allow identification of the waste by customs offices (see the list of codes and commodities in the ‘Harmonised commodity description and coding system’ produced by the World Customs Organisation).

• 1. Block 15 (See Annex II, Part 1, points 8-10, 14): On line (a) of block 15, provide the name of the countries ([^E0026]) of dispatch, transit and destination or the codes for each country by using the ISO standard 3166 abbreviations ([^E0027]). On line (b), provide, where applicable, the code number of the respective competent authority for each country and on line (c) insert the name of the border crossing or port and, where applicable, the customs office code number as the point of entry to or exit from a particular country. For transit countries give the information in line (c) for points of entry and exit. If more than three transit countries are involved in a particular shipment, attach the appropriate information in an annex. Provide the intended route between points of exit and entry, including possible alternatives, also in cases of unforeseen circumstances, in an annex.

• 1. Block 16 (See Annex II, Part 1, point 14): Provide the required information in case shipments enter, pass through or leave the European Union.

• 1. Block 17 (See Annex II, Part 1, points 21-22 and 24-26): Each copy of the notification document is to be signed and dated by the notifier (or by dealer or broker if acting as a notifier) before being forwarded to the competent authorities of the countries concerned. In some third countries, the competent authority of dispatch may sign and date. When the notifier is not the same person as the original producer, this producer, the new producer or the collector is, where practicable, also to sign and date; it is noted that this may not be practicable in cases where there are several producers (definitions regarding practicability may be contained in national legislation). Further, where the producer is not known, the person in possession or control of the waste (holder) should sign. This declaration should also certify the existence of insurance against liability for damage to third parties. Some third countries may require proof of insurance or other financial guarantees and a contract to accompany the notification document.

• 1. Block 18: Indicate the number of annexes containing any additional information supplied with the notification document ([^E0028]). Each annex must include a reference to the notification number to which it relates, which is indicated in the corner of block 3.

• 1. Block 19: Under the Basel Convention, the competent authority or authorities of the country or countries of destination (where applicable) and transit issue such an acknowledgement. Under the OECD Decision, the competent authority of the country of destination issues the acknowledgement. Some third countries may, according to their national legislation, require that the competent authority of dispatch also issues an acknowledgement.

• 1. Blocks 20 and 21: Block 20 is for use by competent authorities of any country concerned when providing a written consent. The Basel Convention (except if a country has decided not to require written consent with regard to transit and has informed the other Parties thereof in accordance with Article 6(4) of the Basel Convention) and certain countries always require a written consent (according Article 9(1) of this Regulation, a competent authority of transit may provide a tacit consent) whereas the OECD Decision does not require a written consent. Indicate the name of the country (or its code by using the ISO standard 3166 abbreviations). If the shipment is subject to specific conditions, the competent authority in question should tick the appropriate box and specify the conditions in block 21 or in an annex to the notification document. If a competent authority wishes to object to the shipment it should do so by writing ‘OBJECTION’ in block 20. Block 21, or a separate letter, may then be used to explain the reasons for the objection.

V. Specific instructions for completing the movement document

• 1. At the time of notification, the notifier is to complete blocks 3, 4 and 9–14. After receipt of the consents from the competent authorities of dispatch, destination and transit or, in relation to the competent authority of transit, tacit consent can be assumed, and before the actual start of the shipment, the notifier is to complete blocks 2, 5–8 (except the means of transport, the date of transfer and the signature), 15 and, if appropriate, 16. In some third countries which are not OECD member countries, the competent authority of dispatch may complete these blocks instead of the notifier. At the time of taking possession of the consignment, the carrier or its representative is to complete the means of transport, the date of transfer and the signature, which appear in blocks 8(a) to 8(c) and, if appropriate, 16. The consignee is to complete block 17 in the event that it is not the disposer or recoverer and when it takes charge of a shipment of waste after it arrives in the country of destination and, if appropriate, 16.

• 1. Block 1: The competent authority of dispatch is to enter the notification number (this is to be copied from block 3 in the notification document).

• 1. Block 2 (See Annex II, Part 2, point 1): For a general notification for multiple shipments, enter the serial number of the shipment and the total intended number of shipments indicated in block 4 in the notification document (for example, enter ‘4/11’ for the fourth shipment out of eleven intended shipments under the general notification in question). In the case of a single notification, enter ‘1/1’.

• 1. Blocks 3 and 4: Reproduce the same information on the notifier ([^E0029]) and consignee as given in blocks 1 and 2 in the notification document.

• 1. Block 5 (See Annex II, Part 2, point 6): Give the actual weight in tonnes (1 tonne equals 1 megagram (Mg) or 1 000  kg of the waste. In some third countries, giving the volume in cubic metres (1 cubic metre equals 1 000 litres) or other metric units, such as kilograms or litres, may be acceptable. When other metric units are used, the unit of measure may be indicated and the unit in the form may be crossed out. Attach, wherever possible, copies of weighbridge tickets.

• 1. Block 6 (See Annex II, Part 2, point 2): Enter the date when the shipment actually starts (see also instructions on block 6 of the notification document).

• 1. Block 7 (See Annex II, Part 2, points 7 and 8): Types of packaging should be indicated using the codes provided in the list of abbreviations and codes attached to the movement document. If special handling precautions are required, such as those prescribed by producers’ handling instructions for employees, health and safety information, including information on dealing with spillage, and transport emergency cards, tick the appropriate box and attach the information in an annex. Also enter the number of packages making up the consignment.

• 1. Blocks 8 (a), (b) and (c) (See Annex II, Part 2, points 3 and 4): Provide the required information (give registration number only where applicable, address including the name of the country and telephone and fax numbers including the country code). When more than three carriers are involved, appropriate information on each carrier should be attached to the movement document. The means of transport, the date of transfer and a signature should be provided by the carrier or carrier’s representative taking possession of the consignment. A copy of the signed movement document is to be retained by the notifier. Upon each successive transfer of the consignment, the new carrier or carrier’s representative taking possession of the consignment will have to comply with the same request and also sign the document. A copy of the signed document is to be retained by the previous carrier.

• 1. Block 9: Reproduce the information given in block 9 of the notification document.

• 1. Blocks 10 and 11: Reproduce the information given in blocks 10 and 11 in the notification document. If the disposer or recoverer is also the consignee, write in block 10: ‘Same as block 4’. If the disposal or recovery operation is a D13–D15 or R12 or R13 operation (according to Annexes IIA or IIB of Directive 2006/12/EC on waste), the information on the facility performing the operation provided in block 10 is sufficient. No further information on any subsequent facilities performing R12/R13 or D13–D15 operations and the subsequent facility(ies) performing the D1–D12 or R1–R11 operation(s) needs to be included in the movement document.

• 1. Blocks 12, 13 and 14: Reproduce the information given in blocks 12, 13 and 14 in the notification document.

• 1. Block 15 (See Annex II, Part 2, point 9): At the time of shipment, the notifier (or the dealer or broker if acting as a notifier) shall sign and date the movement document. In some third countries, the competent authority of dispatch, or the generator of the waste according to the Basel Convention, may sign and date the movement document. According to Article 16(c) of this Regulation, enclose copies of the notification document containing the written consent, including any conditions, of the competent authorities concerned with the movement document. Some third countries may require originals to be enclosed.

• 1. Block 16 (See Annex II, Part 2, point 5): This block can be used by any person involved in a shipment (notifier or the competent authority of dispatch, as appropriate, consignee, any competent authority, carrier) in specific cases where more detailed information is required by national legislation concerning a particular item (for example, information on the port where a transfer to another transport mode occurs, the number of containers and their identification number, or additional proof or stamps indicating that the shipment has been consented by the competent authorities). Give the routing (point of exit from and entry into each country concerned, including customs offices of entry into and/or exit from and/or export from the Community) and route (route between points of exit and entry), including possible alternatives, also in case of unforeseen circumstances either in block 16 or attach it in an annex.

• 1. Block 17: This block is to be completed by the consignee in the event that it is not the disposer or recoverer (cf. paragraph 15 above) and in case the consignee takes charge of the waste after the shipment arrives in the country of destination.

• 1. Block 18: This block is to be completed by the authorised representative of the disposal or recovery facility upon receipt of the waste consignment. Tick the box of the appropriate type of facility. With regard to the quantity received, please refer to the specific instructions on block 5 (paragraph 36). A signed copy of the movement document is given to the last carrier. If the shipment is rejected for any reason, the representative of the disposal or recovery facility must immediately contact his or her competent authority. According to Article 16(d) or, if appropriate, 15(c) of this Regulation and the OECD Decision, signed copies of the movement document must be sent within three days to the notifier and the competent authorities in the countries concerned (with the exception of those OECD transit countries which have informed the OECD Secretariat that they do not wish to receive such copies of the movement document). The original movement document shall be retained by the disposal or recovery facility.

• 1. Receipt of the waste consignment must be certified by any facility performing any disposal or recovery operation, including any D13–D15 or R12 or R13 operation. A facility performing any D13D15 or R12/R13 operation or a D1–D12 or R1–11 operation subsequent to a D13–D15 or R12 or R13 operation in the same country, is not, however, required to certify receipt of the consignment from the D13–D15 or R12 or R13 facility. Thus, block 18 does not need to be used for the final receipt of the consignment in such a case. Indicate also the type of disposal or recovery operation by using R-codes or D codes of Annexes IIA or IIB of Directive 2006/12/EC on waste and the approximate date by which the disposal or recovery of waste will be completed.

• 1. Block 19: This block is to be completed by the disposer or recoverer to certify the completion of the disposal or recovery of the waste. According to Article 16(e) or, if appropriate, 15(d) of this Regulation and the OECD Decision, signed copies of the movement document with block 19 completed should be sent to the notifier and competent authorities of dispatch, transit (not required by the OECD Decision) and destination as soon as possible, but no later than 30 days after the completion of the recovery or disposal and no later than one calendar year following the receipt of the waste. Some third countries which are not OECD member countries may require in accordance with the Basel Convention that signed copies of the document with block 19 completed must be sent to the notifier and the competent authority of dispatch. For disposal or recovery operations D13–D15 or R12 or R13, the information on the facility performing such an operation provided in block 10 is sufficient, and no further information on any subsequent facilities performing R12/R13 or D13–D15 operations and the subsequent facility(ies) performing the D1–D12 or R1–R11 operation(s) need be included in the movement document.

• 1. The disposal or recovery of waste must be certified by any facility performing any disposal or recovery operation, including a D13–D15 or R12 or R13 operation. Therefore, a facility performing any D13–D15 or R12/R13 operation or a D1–D12 or R1–R11 operation, subsequent to a D13–D15 or R12 or R13 operation in the same country, should not use block 19 to certify the recovery or disposal of the waste, since this block will already have been completed by the D13–D15 or R12 or R13 facility. The means of certifying disposal or recovery in this particular case must be ascertained by each country.

• 1. Blocks 20, 21 and 22: The blocks must be used for control by customs offices at the borders of the Community.

ANNEX II

INFORMATION AND DOCUMENTATION RELATED TO NOTIFICATION

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

• 1.Serial number or other accepted identifier of the notification document and intended total number of shipments.

• 2.Notifier's name, address, telephone number, fax number, e-mail address, registration number and contact person.

• 3.If the notifier is not the producer: producer's (producers') name, address, telephone number, fax number, e-mail address and contact person.

• 4.Dealer's (dealers') or broker's (brokers') name, address, telephone number, fax number, e‐mail address and contact person, where the notifier has authorised him in accordance with point 15 of Article 2.

• 5.Recovery or disposal facility's name, address, telephone number, fax number, e-mail address, registration number, contact person, technologies employed and possible status as pre-consented in accordance with Article 14.

• If the waste is destined for an interim recovery or disposal operation, similar information regarding all facilities where subsequent interim and non-interim recovery or disposal operations are envisaged shall be indicated.

• If the recovery or disposal facility is listed in Annex I, Category 5 of Directive 96/61/EC, evidence (e.g. a declaration certifying its existence) of a valid permit issued in accordance with Articles 4 and 5 of that Directive shall be provided.

• 6.Consignee's name, address, telephone number, fax number, e-mail address, registration number and contact person.

• 7.Intended carrier's (carriers') and/or their agent's (agents') name, address, telephone number, fax number, e-mail address, registration number and contact person.

• 8.Country of dispatch and relevant competent authority.

• 9.Countries of transit and relevant competent authorities.

• 10.Country of destination and relevant competent authority.

• 11.Single notification or general notification. If general notification, period of validity requested.

• 12.Date(s) envisaged for start of the shipment(s).

• 13.Means of transport envisaged.

• 14.Intended routing (point of exit from and entry into each country concerned, including customs offices of entry into and/or exit from and/or export from the Community) and intended route (route between points of exit and entry), including possible alternatives, also in case of unforeseen circumstances.

• 15.Evidence of registration of the carrier(s) regarding waste transports (e.g. a declaration certifying its existence).

• 16.Designation of the waste on the appropriate list, the source(s), description, composition and any hazardous characteristics. In the case of waste from various sources, also a detailed inventory of the waste.

• 17.Estimated maximum and minimum quantities.

• 18.Type of packaging envisaged.

• 19.Specification of the recovery or disposal operation(s) as referred to in Annexes II A and II B to Directive 2006/12/EC.

• 20.If the waste is destined for recovery:

• (a) the planned method of disposal for the non-recoverable fraction after recovery;

• (b) the amount of recovered material in relation to non-recoverable waste;

• (c) the estimated value of the recovered material;

• (d) the cost of recovery and the cost of disposal of the non-recoverable fraction.

• 21.Evidence of insurance against liability for damage to third parties (e.g. a declaration certifying its existence).

• 22.Evidence of a contract (or a declaration certifying its existence) between the notifier and consignee for the recovery or disposal of the waste that has been concluded and is effective at the time of the notification, as required in the second subparagraph, point 4 of Article 4 and in Article 5.

• 23.A copy of the contract or evidence of the contract (or a declaration certifying its existence) between the producer, new producer or collector and the broker or dealer, in the event that the broker or dealer acts as notifier.

• 24.Evidence of a financial guarantee or equivalent insurance (or a declaration certifying its existence if the competent authority so allows) that has been established and is effective at the time of the notification or, if the competent authority which approves the financial guarantee or equivalent insurance so allows, at the latest when the shipment starts, as required in the second subparagraph, point 5 of Article 4 and in Article 6.

• 25.Certification by the notifier that the information is complete and correct to the best of his/her knowledge.

• 26.When the notifier is not the producer in accordance with point 15(a)(i) of Article 2, the notifier shall ensure that the producer or one of the persons indicated in point 15(a)(ii) or (iii) of Article 2, where practicable, also signs the notification document provided for in Annex IA.

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

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

• 1. Serial and total number of shipments.

• 1. Date shipment started.

• 1. Means of transport.

• 1. Carrier's (carriers') name, address, telephone number, fax number and e-mail address.

• 1. Routing (point of exit from and entry into each country concerned, including customs offices of entry into and/or exit from and/or export from the Community) and route (route between points of exit and entry), including possible alternatives, also in case of unforeseen circumstances.

• 1. Quantities.

• 1. Type of packaging.

• 1. Any special precautions to be taken by the carrier(s).

• 1. Declaration by the notifier that all necessary consents have been received from the competent authorities of the countries concerned. This declaration must be signed by the notifier.

• 1. Appropriate signatures for each custody transfer.

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

• 1.The type and duration of the authorisation pursuant to which the recovery or disposal facility operates.

• 2.Copy of the permit issued in accordance with Articles 4 and 5 of Directive 96/61/EC.

• 3.Information concerning the measures to be taken to ensure transport safety.

• 4.The transport distance(s) between the notifier and the facility, including possible alternative routes, also in case of unforeseen circumstances and, in the event of intermodal transport, the place where the transfer will take place.

• 5.Information about costs of transport between the notifier and the facility.

• 6.Copy of the registration of the carrier(s) regarding the waste transport.

• 7.Chemical analysis of the composition of the waste.

• 8.Description of the production process of the waste.

• 9.Description of the treatment process of the facility which receives the waste.

• 10.The financial guarantee or equivalent insurance or a copy thereof.

• 11.Information concerning the calculation of the financial guarantee or equivalent insurance as required in the second subparagraph, point 5 of Article 4 and in Article 6.

• 12.Copy of the contracts referred to in Part 1, points 22 and 23.

• 13.Copy of the policy of insurance against liability for damage to third parties.

• 14.Any other information which is pertinent to the assessment of the notification in accordance with this Regulation and national legislation.

ANNEX III

LIST OF WASTES SUBJECT TO THE GENERAL INFORMATION REQUIREMENTS LAID DOWN IN ARTICLE 18 (‘GREEN’ LISTED WASTE)

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

• (a) 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 hazardous characteristics listed in Annex III to Directive 91/689/EEC; or

• (b) prevents the recovery of the wastes in an environmentally sound manner.

Part I

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

Wastes listed in Annex IX to the Basel Convention ([^E0030]).

For the purposes of this Regulation:

• (a) Any reference in Annex IX of the Basel Convention to list A shall be understood as a reference to Annex IV to this Regulation;

• (b) in Basel entry B1020, the term ‘bulk finished form’ includes all metallic non-dispersible ([^E0031]) forms of the scrap listed therein;

• (c) Basel entry B1030 shall read: ‘Residues containing refractory metals’;

• (d) the part of Basel entry B1100 that refers to ‘Slags from copper processing’ etc., does not apply and (OECD) entry GB040 in Part II applies instead;

• (f) Basel entry B2050 does not apply and (OECD) entry GG040 in Part II applies instead;

• (g) For waste shipped within the Union, Basel entry B3011 does not apply and the following entry applies instead:
• EU3011 Plastic waste (note the related entry AC300 in part II of Annex IV, and the related entry EU48 in part I of Annex IV): Plastic waste listed below, provided it is almost free from contamination and other types of waste ([^E0032]):
• — Plastic waste almost exclusively ([^E0033]) consisting of one non-halogenated polymer, including but not limited to the following polymers: — Polyethylene (PE) — Polypropylene (PP) — Polystyrene (PS) — Acrylonitrile butadiene styrene (ABS) — Polyethylene terephthalate (PET) — Polycarbonates (PC) — Polyethers
• — Plastic waste almost exclusively (33)  consisting of one cured resin or condensation product, including but not limited to the following resins: — Urea formaldehyde resins — Phenol formaldehyde resins — Melamine formaldehyde resins — Epoxy resins — Alkyd resins
• — Plastic waste almost exclusively (33)  consisting of one of the following fluorinated polymers ([^E0034]): — Perfluoroethylene/propylene (FEP) — Perfluoroalkoxy alkanes: — Tetrafluoroethylene/perfluoroalkyl vinyl ether (PFA) — Tetrafluoroethylene/perfluoromethyl vinyl ether (MFA) — Polyvinylfluoride (PVF) — Polyvinylidenefluoride (PVDF) — Polytetrafluoroethylene (PTFE)
• — Polyvinyl chloride (PVC).

Part II

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

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

GB040	7112 262030 262090	Slags from precious metals and copper processing for further refining

Other wastes containing metals

GC010		Electrical assemblies consisting only of metals or alloys [^E0035]
GC020		Electronic scrap (e.g. printed circuit boards, electronic components, wire, etc.) and reclaimed electronic components suitable for base and precious metal recovery [^E0036]
GC030	ex 890800	Vessels and other floating structures for breaking up, properly emptied of any cargo and other materials arising from the operation of the vessel which may have been classified as a dangerous substance or waste
GC050		Spent fluid catalytic cracking (FCC) catalysts (e.g. aluminium oxide, zeolites)

Entry GC010 shall apply only for waste shipped within the Union.

[^E0036]: (²)

Entry GC020 shall apply only for waste shipped within the Union.

Glass waste in non-dispersible form

GE020	ex 7001 ex 701939	Glass fibre waste

Ceramic wastes in non-dispersible form

GF010		Ceramic wastes which have been fired after shaping, including ceramic vessels (before and/or after use)

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

GG030	ex 2621	Bottom ash and slag tap from coal fired power plants
GG040	ex 2621	Coal fired power plants fly ash

Wastes arising from tanning and fellmongery operations and leather use

| | | |

| --- | --- | --- | | GN010 | ex 050200 | Waste of pigs', hogs' or boars' bristles and hair or of badger hair and other brush making hair | | GN020 | ex 050300 | Horsehair waste, whether or not put up as a layer with or without supporting material | | GN030 | ex 050590 | Waste of skins and other parts of birds, with their feathers or down, of feathers and parts of feathers (whether or not with trimmed edges) and down, not further worked than cleaned, disinfected or treated for preservation |

ANNEX IIIA

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

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

• (a) 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 hazardous characteristics listed in Annex III to Directive 91/689/EEC; or

• (b) prevents the recovery of the wastes in an environmentally sound manner.

• 2.The following mixtures of wastes are included in this Annex:

• (a) mixtures of wastes classified under Basel entries B1010 and B1050;

• (b) mixtures of wastes classified under Basel entries B1010 and B1070;

• (c) mixtures of wastes classified under Basel entries B3040 and B3080;

• (d) mixtures of wastes classified under (OECD) entry GB040 and under Basel entry B1100 restricted to hard zinc spelter, zinc-containing drosses, aluminium skimmings (or skims) excluding salt slag and wastes of refractory linings, including crucibles, originating from copper smelting;

• (e) mixtures of wastes classified under (OECD) entry GB040, under Basel entry B1070 and under Basel entry B1100 restricted to wastes of refractory linings, including crucibles, originating from copper smelting.

• The entries referred to in points (d) and (e) shall not apply for exports to countries to which the OECD Decision does not apply.

• 3.The following mixtures of wastes classified under separate indents or sub-indents of one single entry are included in this Annex:

• (a) mixtures of wastes classified under Basel entry B1010;

• (b) mixtures of wastes classified under Basel entry B2010;

• (c) mixtures of wastes classified under Basel entry B2030;

• (g) mixtures of wastes classified under Basel entry B3020 restricted to unbleached paper or paperboard or of corrugated paper or paperboard, other paper or paperboard, made mainly of bleached chemical pulp, not coloured in the mass, paper or paperboard made mainly of mechanical pulp (for example, newspapers, journals and similar printed matter);

• (h) mixtures of wastes classified under Basel entry B3030;

• (i) mixtures of wastes classified under Basel entry B3040;

• (j) mixtures of wastes classified under Basel entry B3050.

• 4.The following mixtures of wastes classified under separate indents or sub-indents of one single entry are included in this Annex only for the purposes of shipments within the Union:

• (a) mixtures of wastes classified under entry EU3011 and listed under the indent referring to non-halogenated polymers;

- (b) mixtures of wastes classified under entry EU3011 and listed under the indent referring to cured resins or condensation products;

- (c) mixtures of wastes classified under entry EU3011 and listed under ‘perfluoroalkoxy alkanes’.

ANNEX IIIB

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

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

• (a) 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 hazardous characteristics listed in Annex III to Directive 2008/98/EC of the European Parliament and of the Council ([^E0037]); or

• (b) prevents the recovery of the wastes in an environmentally sound manner.

• 2.The following wastes are included in this Annex:

• BEU04 Composite packaging consisting of mainly paper and some plastic, not containing residues and not covered by Basel entry B3020

- BEU05 Clean biodegradable waste from agriculture, horticulture, forestry, gardens, parks and cemeteries

• 3.The shipments of waste listed in this Annex are without prejudice to the provisions of Council Directive 2000/29/EC ([^E0038]), including measures adopted pursuant to Article 16(3) thereof.

ANNEX IV

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

Part I

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

Wastes listed in Annexes II and VIII to the Basel Convention ([^E0039]).

For the purposes of this Regulation:

• (a) Any reference in Annex VIII of the Basel Convention to list B shall be understood as a reference to Annex III to this Regulation.

• (b) In Basel entry A1010, the term ‘excluding such wastes specifically listed on List B (Annex IX)’ is a reference both to Basel entry B1020 and the note on B1020 in Annex III to this Regulation, Part I(b).

• (c) Basel entry A2060 shall not apply and OECD entry GG040 in Annex III, Part II shall apply instead when appropriate.

• (d) Basel entry A4050 includes spent potlinings from aluminium smelting because they contain Y33 inorganic cyanides. If the cyanides have been destroyed, spent potlinings are assigned to Part II entry AB120 because they contain Y32, inorganic fluorine compounds excluding calcium fluoride.

• (e) Basel entry A3210 does not apply and entry AC300 in part II applies instead.

- (f) For waste shipped within the Union, Basel entry Y48 does not apply and the following entry applies instead:

• EU48: Plastic waste not covered by entry AC300 in part II or by entry EU3011 in part I of Annex III, as well as mixtures of plastic waste not covered by point 4 of Annex IIIA.

• (g) For waste shipped within the Union, Basel entry Y49 shall not apply and entries GC010 and GC020 in Annex III Part II shall apply instead where appropriate.

Part II

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

Metal bearing wastes

| | | |

---	---	---
AA010	261900	Dross, scalings and other wastes from the iron and steel industry [^E0040]
AA060	262050	Vanadium ashes and residues [^E0040]
AA190	810420 ex 810430	Magnesium waste and scrap that is flammable, pyrophoric or emits, upon contact with water, flammable gases in dangerous quantities

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

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

AB030		Wastes from non-cyanide based systems which arise from surface treatment of metals
AB070		Sands used in foundry operations
AB120	ex 281290 ex 3824	Inorganic halide compounds, not elsewhere specified or included
AB130		Used blasting grit
AB150	ex 382490	Unrefined calcium sulphite and calcium sulphate from flue gas desulphurisation (FGD)

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

AC060	ex 381900	Hydraulic fluids
AC070	ex 381900	Brake fluids
AC080	ex 382000	Antifreeze fluids
AC150		Chlorofluorocarbons
AC160		Halons
AC170	ex 440310	Treated cork and wood wastes
AC250		Surface active agents (surfactants)
AC260	ex 3101	Liquid pig manure; faeces
AC270		Sewage sludge
AC300		Plastic waste, including mixtures of such wastes, containing or contaminated with Annex I constituents, to an extent that it exhibits an Annex III characteristic (note the related entry EU3011 in part I of Annex III, and the related entry EU48 in part I)

Wastes which may contain either inorganic or organic constituents

AD090	ex 382490	Wastes from production, formulation and use of reprographic and photographic chemicals and materials not elsewhere specified or included
AD100		Wastes from non-cyanide based systems which arise from surface treatment of plastics
AD120	ex 391400 ex 3915	Ion exchange resins
AD150		Naturally occurring organic material used as a filter medium (such as bio-filters)

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

RB020	ex 6815	Ceramic based fibres of physico-chemical characteristics similar to those of asbestos

ANNEX IVA

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

ANNEX V

WASTE SUBJECT TO THE EXPORT PROHIBITION IN ARTICLE 36

Introductory notes

• 1.This Annex applies without prejudice to Directives 91/689/EEC and 2006/12/EC.

• 2.This Annex consists of three parts, Parts 2 and 3 of which apply only when Part 1 is not applicable. Consequently, to determine whether a specific waste is listed in this Annex, an initial check must be made to ascertain whether the waste is listed in Part 1 of this Annex, and, if it does not, whether it is listed in Part 2, and, if it does not, whether it is listed in Part 3.

• Part 1 is divided into two sub-sections: List A lists wastes which are classified as hazardous by Article 1(1)(a) of the Basel Convention, and therefore covered by the export prohibition, and List B lists wastes which are not covered by Article 1(1)(a) of the Basel Convention, and therefore not covered by the export prohibition.

• Thus, if a waste is listed in Part 1, a check must be made to ascertain whether it is listed in List A or in List B. Only if a waste is not listed in either List A or List B of Part 1, must a check be made to ascertain whether it is listed either among the hazardous waste listed in Part 2 (i.e. types of waste marked with an asterisk) or in Part 3, and if this is the case, it is covered by the export prohibition.

• 3.Wastes listed in List B of Part 1 or which are among the non-hazardous waste listed in Part 2 (i.e. wastes not marked with an asterisk) are covered by the export prohibition if they are contaminated by other materials to an extent which

- (a) increases the risks associated with the waste sufficiently to render it appropriate for submission to the procedure of prior written notification and consent, when taking into account the hazardous characteristics listed in Annex III to Directive 91/689/EEC; or

- (b) prevents the recovery of the waste in an environmentally sound manner.

Part 1 ([^E0041])

List A (Annex VIII to the Basel Convention)

A1   METAL AND METAL BEARING WASTES

• A1010Metal wastes and waste consisting of alloys of any of the following:

• — Antimony

• — Arsenic

• — Beryllium

• — Cadmium

• — Lead

• — Mercury

• — Selenium

• — Tellurium

• — Thallium

• but excluding such wastes specifically listed on list B.

• A1020Waste having as constituents or contaminants, excluding metal waste in massive form, any of the following:

• — Antimony; antimony compounds

• — Beryllium; beryllium compounds

• — Cadmium; cadmium compounds

• — Lead; lead compounds

• — Selenium; selenium compounds

• — Tellurium; tellurium compounds

• A1030Wastes having as constituents or contaminants any of the following:

• — Arsenic; arsenic compounds

• — Mercury; mercury compounds

• — Thallium; thallium compounds

• A1040Wastes having as constituents any of the following:

• — Metal carbonyls

• — Hexavalent chromium compounds

• A1050Galvanic sludges

• A1060Waste liquors from the pickling of metals

• A1070Leaching residues from zinc processing, dust and sludges such as jarosite, hematite, etc.

• A1080Waste zinc residues not included on list B, containing lead and cadmium in concentrations sufficient to exhibit Annex III characteristics

• A1090Ashes from the incineration of insulated copper wire

• A1100Dusts and residues from gas cleaning systems of copper smelters

• A1110Spent electrolytic solutions from copper electrorefining and electrowinning operations

• A1120Waste sludges, excluding anode slimes, from electrolyte purification systems in copper electrorefining and electrowinning operations

• A1130Spent etching solutions containing dissolved copper

• A1140Waste cupric chloride and copper cyanide catalysts

• A1150Precious metal ash from incineration of printed circuit boards not included on list B ([^E0042])

• A1160Waste lead-acid batteries, whole or crushed

• A1170Unsorted waste batteries excluding mixtures of only list B batteries. Waste batteries not specified on list B containing Annex I constituents to an extent to render them hazardous

• A1181Electrical and electronic waste (note the related entry Y49 in List A of Part 3 in Annex V):

- — Waste electrical and electronic equipment

— containing or contaminated with cadmium, lead, mercury, organohalogen compounds or other Annex I constituents to an extent that the waste exhibits an Annex III characteristic, or — with a component containing or contaminated with Annex I constituents to an extent that the component exhibits an Annex III characteristic, including but not limited to any of the following components: — glass from cathode-ray tubes included on list A — a battery included on list A — a switch, lamp, fluorescent tube or a display device backlight which contains mercury — a capacitor containing PCBs — a component containing asbestos — certain circuit boards — certain display devices — certain plastic components containing a brominated flame retardant — Waste components of electrical and electronic equipment containing or contaminated with Annex I constituents to an extent that the waste components exhibit an Annex III characteristic, unless covered by another entry on list A — Wastes arising from the processing of waste electrical and electronic equipment or waste components of electrical and electronic equipment, and containing or contaminated with Annex I constituents to an extent that the waste exhibits an Annex III characteristic (e.g. fractions arising from shredding or dismantling), unless covered by another entry on list A

• A1190Waste metal cables coated or insulated with plastics containing or contaminated with coal tar, PCB ([^E0043]), lead, cadmium, other organohalogen compounds or other Annex I constituents, to the extent that they exhibit Annex III characteristics

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

• A2010Glass waste from cathode-ray tubes and other activated glasses

• A2020Waste inorganic fluorine compounds in the form of liquids or sludges but excluding such wastes specified on list B

• A2030Waste catalysts but excluding such wastes specified on list B

• A2040Waste gypsum arising from chemical industry processes, when containing Annex I constituents to the extent that it exhibits an Annex III hazardous characteristic (note the related entry on list B, B2080)

- A2050Waste asbestos (dusts and fibres)

• A2060Coal-fired power plant fly-ash containing Annex I substances in concentrations sufficient to exhibit Annex III characteristics (note the related entry on list B, B2050)

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

• A3010Waste from the production or processing of petroleum coke and bitumen

• A3020Waste mineral oils unfit for their originally intended use

• A3030Wastes that contain, consist of or are contaminated with leaded anti-knock compound sludges

• A3040Waste thermal (heat transfer) fluids

• A3050Wastes from production, formulation and use of resins, latex, plasticisers, glues/adhesives excluding such wastes specified on list B (note the related entry on list B, B4020)

• A3060Waste nitrocellulose

• A3070Waste phenols, phenol compounds including chlorophenol in the form of liquids or sludges

• A3080Waste ethers not including those specified on list B

• A3090Waste leather dust, ash, sludges and flours when containing hexavalent chromium compounds or biocides (note the related entry on list B, B3100)

• A3100Waste paring and other waste of leather or of composition leather not suitable for the manufacture of leather articles containing hexavalent chromium compounds or biocides (note the related entry on list B, B3090)

• A3110Fellmongery wastes containing hexavalent chromium compounds or biocides or infectious substances (note the related entry on list B, B3110)

• A3120Fluff — light fraction from shredding

• A3130Waste organic phosphorous compounds

• A3140Waste non-halogenated organic solvents but excluding such wastes specified on list B

• A3150Waste halogenated organic solvents

• A3160Waste halogenated or unhalogenated non-aqueous distillation residues arising from organic solvent recovery operations

• A3170Wastes arising from the production of aliphatic halogenated hydrocarbons (such as chloromethane, dichloro-ethane, vinyl chloride, vinylidene chloride, allyl chloride and epichlorhydrin)

• A3180Wastes, substances and articles containing, consisting of or contaminated with polychlorinated biphenyl (PCB), polychlorinated terphenyl (PCT), polychlorinated naphthalene (PCN) or polybrominated biphenyl (PBB), or any other polybrominated analogues of these compounds, at a concentration level of 50 mg/kg or more ([^E0044])

• A3190Waste tarry residues (excluding asphalt cements) arising from refining, distillation and any pyrolitic treatment of organic materials

- A3200Bituminous material (asphalt waste) from road construction and maintenance, containing tar (note the related entry on list B B2130)

• A3210Plastic waste, including mixtures of such waste, containing or contaminated with Annex I constituents, to an extent that it exhibits an Annex III characteristic (note the related entry B3011, in list B of this Part, and entry Y48, in list A of Part 3)

A4   WASTES WHICH MAY CONTAIN EITHER INORGANIC OR ORGANIC CONSTITUENTS

• A4010Wastes from the production, preparation and use of pharmaceutical products but excluding such wastes specified on list B

• A4020Clinical and related wastes; that is wastes arising from medical, nursing, dental, veterinary, or similar practices, and wastes generated in hospitals or other facilities during the investigation or treatment of patients, or research projects

• A4030Wastes from the production, formulation and use of biocides and phytopharmaceuticals, including waste pesticides and herbicides which are off-specification, out-dated ([^E0045]), or unfit for their originally intended use

• A4040Wastes from the manufacture, formulation and use of wood-preserving chemicals ([^E0046])

• A4050Wastes that contain, consist of or are contaminated with any of the following:

• — Inorganic cyanides, excepting precious-metal-bearing residues in solid form containing traces of inorganic cyanides

• — Organic cyanides

• A4060Waste oils/water, hydrocarbons/water mixtures, emulsions

• A4070Wastes from the production, formulation and use of inks, dyes, pigments, paints, lacquers, varnish excluding any such waste specified on list B (note the related entry on list B, B4010)

• A4080Wastes of an explosive nature (but excluding such wastes specified on list B)

• A4090Waste acidic or basic solutions, other than those specified in the corresponding entry on list B (note the related entry on list B, B2120)