Regulation (EU) 2024/1157 of the European Parliament and of the Council of 11 April 2024 on shipments of waste, amending Regulations (EU) No 1257/2013 and (EU) 2020/1056 and repealing Regulation (EC) No 1013/2006 (Text with EEA relevance)

Type Regulation
Publication 2024-04-30
Last updated 2026-07-30
State In force
Department Council of the European Union, European Parliament
Source EUR-Lex
articles 86
Reform history JSON API
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.

Section 2 Exports of non-hazardous waste to countries to which the OECD Decision does not apply

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.

Section 3 Exports to countries to which the OECD Decision applies

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, except to Switzerland;
  • (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.

CHAPTER 3 Additional obligations

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.

CHAPTER 4 General provisions

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.

TITLE V IMPORTS INTO THE UNION FROM THIRD COUNTRIES

CHAPTER 1 Imports of waste for disposal

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).

CHAPTER 2 Imports of waste for recovery

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.

CHAPTER 3 Additional obligations

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.

CHAPTER 4 Imports from overseas countries or territories

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.

TITLE VI TRANSIT THROUGH THE UNION FROM AND TO THIRD COUNTRIES

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.

TITLE VII ENVIRONMENTALLY SOUND MANAGEMENT AND ENFORCEMENT

CHAPTER 1 Environmentally sound management

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.

CHAPTER 2 Enforcement

Section 1 Inspections by the Member States and penalties

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.
Article 61
Documentation and evidence
1.

Inspections of shipments shall include at least verification of documents, confirmation of the identity of the actors involved in those shipments and, where appropriate, physical checking of the waste.

2.

In order to ascertain that a substance or object being carried by road, rail, air, sea or inland waterway is not waste, the authorities involved in inspections may require the natural or legal person who is in possession of the substance or object concerned, or who arranges the carriage thereof, to submit documentary evidence:

  • (a) as to the origin and destination of the substance or object concerned; and
  • (b) that it is not waste, including, where appropriate, evidence of functionality.

For the purpose of the first subparagraph, the protection of the substance or object concerned against damage during transportation, loading and unloading, such as adequate packaging and appropriate stacking, shall also be ascertained.

In order to distinguish between used goods and waste, for the purpose of inspection, the conditions laid down in Article 29(1), third subparagraph, shall apply, as well as any criteria established pursuant to Article 29(3), where applicable.

This paragraph shall be without prejudice to the application of Article 23(2) and Annex VI to Directive 2012/19/EU and to the application of Article 72(2) and Annex XIV to Regulation (EU) 2023/1542.

3.

The authorities involved in inspections may conclude that the substance or object concerned is waste where:

  • (a) the evidence referred to in paragraph 2 or required under other Union legislation to ascertain that a substance or object is not waste, has not been submitted within the period specified by them; or
  • (b) they consider the evidence and information available to them to be insufficient to reach a conclusion, or they consider the protection provided against damage referred to in paragraph 2, the second subparagraph, to be insufficient.

Where the authorities have concluded that a substance or object is waste in accordance with the first subparagraph, the carriage of the substance or object concerned or the shipment of waste concerned shall be considered as an illegal shipment. Consequently, it shall be dealt with in accordance with Articles 25 and 26 and the authorities involved in inspections shall, without delay, inform the competent authority of the country where the inspection concerned took place accordingly.

4.

In order to ascertain whether a shipment of waste complies with this Regulation, the authorities involved in inspections may require the notifier, the person who arranges the shipment, the waste holder, the carrier, the consignee and the facility that receives the waste to submit relevant documentary evidence to them within a period specified by them, and may detain the waste in a shipment and, when necessary, the means of transport containing the waste, as well as suspend the transport of the waste until such documentation has been provided.

5.

In order to ascertain whether a shipment of waste subject to the general information requirements set out in Article 18 is destined for recovery operations which are in accordance with Article 59, the authorities involved in inspections may require the person who arranges the shipment and the consignee to submit relevant documentary evidence provided by the interim and non-interim recovery facility and, if necessary, approved by the competent authority of destination. In cases of export from the Union, the authorities involved in inspections shall require documentary evidence on the audit carried out in accordance with Article 46.

6.

Where the evidence referred to in paragraph 4 or 5 has not been submitted to the authorities involved in inspections within the period specified by them, or they consider the evidence and information available to them to be insufficient to reach a conclusion, the shipment concerned shall be considered as an illegal shipment and shall be dealt with in accordance with Articles 25 and 26. The authorities involved in inspections shall, without delay, inform the competent authority of the country where the inspection concerned took place accordingly.

7.

The Commission is empowered to adopt, by means of implementing acts, a correlation table between the codes of the combined nomenclature, provided for in Regulation (EEC) No 2658/87 and the entries of waste listed in Annex III, Annex IIIA, Annex IIIB, Annex IV, and Annex V to this Regulation. The Commission shall keep these acts updated, in order to reflect changes to that nomenclature and to the entries listed in those Annexes, as well as to include any new waste-related codes of the Harmonised System Nomenclature that the World Customs Organisation may adopt. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 81(2). Commission Implementing Regulation (EU) 2016/1245 ([^E0014]) shall remain in force until the empowerment referred to in the present Article is exercised by the Commission.

Article 62
Inspection plans
1.

Member States shall ensure that, in respect of their entire geographical territory, one or more plans are established, either separately or as a clearly defined part of other plans, for inspections to be carried out pursuant to Article 60(1) (‘inspection plan’).

Inspection plans shall be based on a risk assessment covering specific waste streams and sources of illegal shipments, the results of previous inspections and considering, where appropriate, intelligence-based data such as data on investigations by police and customs authorities and analyses of criminal activities as well as reliable information from natural or legal persons on possible illegal shipments, relevant information related to the management of waste being shipped and information showing that a shipment bears similarities with shipments previously identified as illegal shipments. That risk assessment shall in particular take into account the need for conducting verifications of whether natural and legal persons exporting waste from the Union comply with the obligations established in Article 46. That risk assessment shall aim, inter alia, to identify the minimum number and frequency of inspections required, including physical checks on establishments, undertakings, brokers, dealers and shipments of waste or on the related recovery or disposal.

2.

Inspection plans shall include, at least, the following elements:

  • (a) the objectives and priorities of the inspections, including a description of how those objectives and priorities have been identified;
  • (b) the geographical area covered by the inspection plan;
  • (c) information on planned inspections, including on a minimum number of inspections and physical checks to be carried out in each calendar year on establishments, undertakings, brokers, dealers and shipments of waste or on the related recovery or disposal, identified in accordance with the risk assessment referred to in paragraph 1;
  • (d) the tasks assigned to each authority involved in inspections;
  • (e) arrangements for cooperation between authorities involved in inspections;
  • (f) information on the training of inspectors on matters relating to inspections; and
  • (g) information on the human, financial and other resources for the implementation of the inspection plan.
3.

An inspection plan shall be reviewed at least every three years and, where appropriate, updated. That review shall evaluate to which extent the objectives and other elements of that inspection plan have been implemented.

4.

Without prejudice to applicable confidentiality requirements, Member States shall notify the Commission of the inspection plans referred to in paragraph 1 and any substantial revisions thereof every three years, and for the first time one year after the date of entry into force of this Regulation.

5.

The Commission shall review the inspection plans notified by the Member States in accordance with paragraph 4 and, if appropriate, draw up reports, based on the review of these plans, on the implementation of this Article. Such reports may include, inter alia, recommendations on priorities of inspections and on enforcement cooperation and coordination between the relevant authorities involved in inspections. Such reports may also be presented, where appropriate, in the meetings of the waste shipment enforcement group established under Article 66 and shall be made available to the European Parliament and to the Council.

Article 63
Penalties
1.

Without prejudice to the obligations of Member States under Directive 2008/99/EC, Member States shall lay down the rules on penalties applicable to infringements of this Regulation and shall take all measures necessary to ensure that they are applied. The penalties provided for shall be effective, proportionate and dissuasive.

2.

Member States shall ensure that the penalties established pursuant to this Article give due regard to the following, as applicable:

  • (a) the nature, gravity and extent of the infringement;
  • (b) where appropriate, the intentional or negligent character of the infringement;
  • (c) the financial capacity of the natural or legal person held responsible;
  • (d) the economic benefits derived from the infringement by the natural or legal person held responsible, insofar as they can be determined;
  • (e) the environmental damage caused by the infringement;
  • (f) any action taken by the natural or legal person held responsible to mitigate or remedy the damage caused;
  • (g) the repetitive or singular character of the infringement;
  • (h) any other aggravating or mitigating factor applicable to the circumstances of the case.
3.

The Member States shall at least be able to impose the following penalties in case of infringements of this Regulation, where relevant:

  • (a) fines;
  • (b) revocation or time-limited suspension of the authorisation to carry out activities related to management and shipment of waste insofar as these activities fall under the scope of this Regulation;
  • (c) time-limited exclusion from public procurement procedures.
4.

Member States shall without delay notify the Commission of the rules and measures referred to in paragraph 1 and of any subsequent amendments affecting them.

Section 2 Enforcement cooperation

Article 64
Enforcement cooperation at national level

Member States shall maintain or establish, as regards all relevant authorities involved in enforcement of this Regulation in their territory, including competent authorities and the authorities involved in inspections, effective mechanisms to enable them to cooperate and coordinate domestically concerning the development and implementation of enforcement policies and activities to address illegal shipments of waste, including for the establishment and implementation of the inspection plans.

Article 65
Enforcement cooperation between Member States
1.

Member States shall cooperate, bilaterally and multilaterally, with one another in order to facilitate the prevention and detection of illegal shipments. They shall exchange relevant information related to such prevention and detection, including on shipments of waste, flows of waste, operators and facilities, and share experience and knowledge on enforcement measures, including the risk assessment carried out pursuant to Article 62(1), within established structures, in particular, through the waste shipment enforcement group established under Article 66.

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