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)

Current text a fecha 2025-01-09

TITLE I

GENERAL PROVISIONS

Article 1

Subject matter

This Regulation lays down measures to protect the environment and human health and to contribute to climate neutrality and to achieving a circular economy and zero pollution by preventing or reducing the adverse impacts which can result from shipments of waste and from the treatment of the waste at its destination. It establishes procedures and control regimes for shipments of waste, depending on the origin, destination and route of the shipment, the type of waste and the type of treatment to be applied to the waste at its destination.

Article 2

Scope

This Regulation applies to:

(a) shipments of waste between Member States, with or without transit through third countries;

(b) shipments of waste imported into the Union from third countries;

(d) shipments of waste in transit through the Union on the way to or from third countries.

This Regulation does not apply to:

(a) waste, including waste water and residues, generated by the normal operation of ships and offshore platforms until that waste is offloaded for the purposes of recovery or disposal, provided that the waste is subject to the requirements of Directive (EU) 2019/883 of the European Parliament and of the Council (¹), the International Convention for the Prevention of Pollution from Ships, the International Convention for the Control and Management of Ships’ Ballast Water and Sediments or other relevant binding international instruments;

(b) waste generated on board vehicles, trains, aeroplanes and ships, until that waste is offloaded for the purposes of recovery or disposal;

(d) shipments of animal by-products and derived products as defined in Article 3, points (1) and (2), of Regulation (EC) No 1069/2009, respectively, except animal by-products or derived products mixed or contaminated with any waste listed as hazardous in the list of waste referred to in Article 7 of Directive 2008/98/EC;

(e) shipments of waste waters which are covered by Council Directive 91/271/EEC (³) or other relevant Union legislation;

(f) shipments of substances that are destined for use as feed materials as defined in Article 3(2)point, of Regulation (EC) No 767/2009 of the European Parliament and of the Council (⁴) and that do not consist of or contain animal by-products;

(g) shipments of waste from the Antarctic into the Union in accordance with the requirements of the Protocol on Environmental Protection to the Antarctic Treaty (⁵);

(h) shipments of carbon dioxide for the purposes of geological storage in accordance with Directive 2009/31/EC of the European Parliament and of the Council (⁶);

(i) ships flying the flag of a Member State falling within the scope of Regulation (EU) No 1257/2013, with the exception of ships: (i) which are considered as hazardous waste, that are located in an area under the national jurisdiction of a Member State and that are exported from the Union for recovery, to which only Articles 39, 48, 49 and Title VII of this Regulation shall apply; or (ii) which are considered as waste, that are located in an area under the national jurisdiction of a Member State and that are destined for disposal.

Article 3

Definitions

For the purposes of this Regulation, the following definitions apply:

(1) ‘mixture of wastes’ means waste that results from an intentional or unintentional mixing of two or more different wastes which are: (a) listed in different entries in Annexes III, IIIA, IIIB and IV, or, where applicable, in different indents or sub-indents of such entries; or (b) not classified under one single entry in Annex III, IIIA, IIIB or IV; Waste shipped in a single shipment of wastes, consisting of two or more wastes, where each waste is separated, is not a mixture of wastes;

(2) ‘interim disposal’ means any disposal operations listed under D8, D9, D13, D14 or D15 in Annex I to Directive 2008/98/EC;

(3) ‘interim recovery’ means any recovery operations listed under R12 or R13 in Annex II to Directive 2008/98/EC;

(4) ‘environmentally sound management’ means taking all practicable steps to ensure that waste is managed in a manner that will protect human health, the climate and the environment against adverse effects which can result from such waste;

(5) ‘consignee’ means any natural or legal person under the national jurisdiction of the country of destination to whom or to which the waste is shipped for recovery or disposal;

(6) ‘notifier’ means: (a) in the case of a shipment originating from a Member State, any of the following natural or legal persons under the national jurisdiction of that Member State, who carries out or plans to carry out a shipment of waste as referred to in Article 4(1), (2) or (3), or who has or plans to have such a shipment carried out, to whom the duty to notify is assigned: (i) the original waste producer; (ii) the new waste producer who carries out operations prior to shipment resulting in a change in the nature or composition of the waste; (iii) a collector who, from various small quantities of the same type of waste collected from a variety of sources, has assembled the shipment which is to start from a single notified location; (iv) a dealer or a broker acting on behalf of any of the persons referred to in point (i), (ii) or (iii); or (v) where all of the persons referred to in points (i) to (iv) are unknown or insolvent, the waste holder; (b) in the case of an import into or transit through the Union of waste that does not originate in a Member State, any of the following natural or legal persons under the national jurisdiction of the country of dispatch who carries out or plans to carry out a shipment or who has or plans to have a shipment carried out: (i) the person designated by the law of the country of dispatch; (ii) in the absence of a person designated by the law of the country of dispatch, the waste holder at the time the export took place;

(7) ‘person who arranges the shipment’ means any of the following natural or legal persons under the national jurisdiction of the country of dispatch, who carries out or plans to carry out a shipment as referred to in Article 4(4) or (5), or who has or plans to have such a shipment carried out: (i) the original waste producer; (ii) the new waste producer who carries out operations prior to shipment resulting in a change in the nature or composition of the waste; (iii) a collector who, from various small quantities of the same type of waste collected from a variety of sources, has assembled the shipment which is to start from a single location; (iv) a dealer or a broker acting on behalf of any of the persons referred to in points (i), (ii) or (iii); or (v) where all of the persons referred to in points (i) to (iv) are unknown or insolvent, the waste holder;

(8) ‘collector’ means any natural or legal person carrying out waste collection as defined in Article 3, point (10), of Directive 2008/98/EC;

(9) ‘competent authority’ means: (a) in the case of a Member State, the body designated by the Member State concerned pursuant to Article 75; (b) in the case of a third country that is a Party to the Basel Convention of 22 March 1989 on the control of transboundary movements of hazardous wastes and their disposal (‘the Basel Convention’), the body designated by that country as the competent authority for the purposes of the Basel Convention in accordance with Article 5 thereof; (c) in the case of any country not referred to in either point (a) or point (b), the body that has been designated as the competent authority by the country or region concerned or, in the absence of such designation, the regulatory authority for the country or region, as appropriate, which has jurisdiction over a shipment;

(10) ‘competent authority of dispatch’ means the competent authority for the area from which the shipment is initiated or from which it is planned that the shipment will be initiated;

(11) ‘competent authority of destination’ means the competent authority for the area to which the shipment is carried out or is planned to be carried out or in which waste is loaded prior to recovery or disposal in an area not under the national jurisdiction of any country;

(12) ‘competent authority of transit’ means the competent authority for any country, other than the country of the competent authority of dispatch and the competent authority of destination, through which the shipment is carried out or is planned to be carried out;

(13) ‘country of dispatch’ means any country from which a shipment is initiated or is planned to be initiated;

(14) ‘country of destination’ means any country to which a shipment is carried out or is planned to be carried out for recovery or disposal therein, or for the purpose of loading prior to recovery or disposal in an area not under the national jurisdiction of any country;

(15) ‘country of transit’ means any country, other than the country of dispatch or destination, through which a shipment is carried out or is planned to be carried out;

(16) ‘area under the national jurisdiction of a country’ means any land or marine area within which a state exercises administrative and regulatory responsibility in accordance with international law as regards the protection of human health or the environment;

(17) ‘overseas countries and territories’ means the overseas countries and territories listed in Annex II to the TFEU;

(18) ‘customs office of export’ means a customs office of export as defined in Article 1, point (16), of Commission Delegated Regulation (EU) 2015/2446 (⁷);

(19) ‘customs office of exit’ means a customs office of exit as determined in accordance with Article 329 of Commission Implementing Regulation (EU) 2015/2447 (⁸);

(20) ‘customs office of entry’ means the customs office of first entry as defined in Article 1, point (15), of Delegated Regulation (EU) 2015/2446;

(21) ‘import’ means any entry of waste into the Union but excludes transit through the Union;

(22) ‘export’ means any exit of waste from the Union but excludes transit through the Union;

(23) ‘transit’ means a shipment through one or more countries other than the country of dispatch or destination;

(24) ‘transport of waste’ means the carriage of waste by road, rail, air, sea or inland waterways;

(25) ‘shipment’ means a transport of waste destined for recovery or disposal from the location from which the transport starts until the receipt of the waste by the facility that carries out the disposal or recovery in the country of destination and which is carried out or planned to be carried out: (a) between a country and another country; (b) between a country and an overseas country or territory or other area under that country’s protection; (c) between a country and any geographic area which is not part of any country under international law; (d) between a country and the Antarctic; (e) from one country through any of the areas referred to in points (a) to (d); (f) within a country through any of the areas referred to in points (a) to (d) and which originates in and ends in that same country; or (g) from a geographic area not under the national jurisdiction of any country, to a country;

(26) ‘illegal shipment’ means any shipment carried out: (a) without notification to the competent authorities concerned pursuant to this Regulation; (b) without the consent of the competent authorities concerned pursuant to this Regulation; (c) with consent obtained from the competent authorities concerned pursuant to this Regulation through falsification, misrepresentation or fraud; (d) in a way which is not in accordance with the information contained in the notification document or contained in or to be provided in the movement document, except in case of minor clerical errors in the notification or the movement document; (e) in a way which results in recovery or disposal in contravention of Union or international law; (f) contrary to Article 4(1), Article 4(3), or Article 37, 39, 40, 45, 46, 48, 49, 50 or 52; (g) in a way which, in relation to shipments of waste as referred to in Article 4(4) and (5), is not in accordance with the requirements referred to in Article 18, paragraphs 2, 4, 6 and 10, or with the information contained or to be provided in the Annex VII document, except in case of minor clerical errors in the Annex VII document;

(27) ‘inspection’ means any action undertaken by an authority to check compliance with the requirements set out in this Regulation;

(28) ‘waste hierarchy’ means the waste hierarchy referred to in Article 4 of Directive 2008/98/EC;

(29) ‘routing’ means the point of exit from and the point of entry into each country concerned, including customs offices of entry, exit and export;

(30) ‘route’ means the itinerary between the location where the shipment starts in the country of dispatch, via the point of exit from and the point of entry into each country concerned, to the treatment facility in the country of destination.

In addition, the definitions of ‘waste’, ‘hazardous waste’, ‘waste producer’, ‘waste holder’, ‘dealer’, ‘broker’, ‘waste management’, ‘re-use’, ‘treatment’, ‘recovery’, ‘preparing for re-use’, ‘recycling’ and ‘disposal’, laid down in Article 3, points (1), (2), (5) to (9), (13) to (15), (16), (17) and (19) of Directive 2008/98/EC, respectively, shall apply.

TITLE II

SHIPMENTS WITHIN THE UNION WITH OR WITHOUT TRANSIT THROUGH THIRD COUNTRIES

Article 4

Overall procedural framework

Shipments of the following wastes destined for recovery shall be subject to the procedure of prior written notification and consent, laid down in Chapter 1:

(a) wastes listed in Annex IV;

(b) wastes not classified under one single entry in either Annex III, Annex IIIB or Annex IV;

(d) waste classified as hazardous in the list of waste established pursuant to Article 7 of Directive 2008/98/EC;

(e) wastes listed in Annex III or Annex IIIB and mixtures of wastes listed in Annex IIIA contaminated by other materials to an extent which: (i) increases the risks associated with the wastes sufficiently to render them appropriate for submission to the procedure of prior written notification and consent, when taking into account the list of waste referred to in Article 7 of Directive 2008/98/EC as well as the hazardous properties listed in Annex III to that Directive; or (ii) prevents the recovery of the wastes in an environmentally sound manner;

(f) wastes or mixtures of wastes containing or contaminated with persistent organic pollutants (POPs) within the meaning of Regulation (EU) 2019/1021 in quantities meeting or exceeding a concentration limit indicated in Annex IV to that Regulation, which are not classified as hazardous waste.

Shipments of the following wastes destined for recovery shall be subject to the general information requirements laid down in Article 18, if the quantity of waste shipped exceeds 20 kg:

(a) wastes listed in Annex III or Annex IIIB;

(b) mixtures of wastes, provided that the composition of the mixtures does not impair their environmentally sound recovery and provided that such mixtures are listed in Annex IIIA.

By way of derogation from Article 4(1) and (2), shipments of waste explicitly destined for laboratory analysis or experimental treatment trials to assess either the physical or chemical characteristics of the waste or to determine its suitability for recovery or disposal shall be subject to the general information requirements laid down in Article 18 where all of the following conditions are fulfilled:

(a) the quantity of waste does not exceed the quantity reasonably needed to perform the analysis or trial in each particular case, but not more than 250 kg or any larger quantity agreed on a case-by-case basis by the competent authorities of dispatch and destination and the person who arranges the shipment;

(b) in the event a quantity higher than 250 kg is requested by the person who arranges the shipment, that person shall provide the information contained in Annex VII, to the extent possible, to the competent authorities of dispatch and destination together with the reasoned explanation why such a larger quantity is needed to perform the analysis or trial.

CHAPTER 1

Prior written notification and consent

Article 5

Notification

A notifier referred to in Article 3, point (6)(a)(ii), (iii) or (iv), may only submit a notification where the notifier has obtained a permit or is registered in accordance with Chapter IV of Directive 2008/98/EC.

Where a notifier submits a general notification for several shipments as referred to in Article 13, the notifier shall also comply with the requirements laid down in that Article.

Where a shipment is destined for a pre-consented facility pursuant to Article 14, the procedural requirements in paragraphs 12, 14, 15 and 16 of that Article shall apply.

Where a shipment is destined for interim recovery or interim disposal, Article 15 shall also apply.

The notification shall include the following documents:

(a) the notification document set out in Annex IA (‘the notification document’);

(b) the movement document set out in Annex IB (‘the movement document’).

The notifier shall provide the information indicated in the notification document and, where relevant, the information indicated in the movement document.

When the notifier is not the original waste producer as referred to in Article 3, point (6)(a)(i), the notifier shall ensure that the original waste producer or one of the persons indicated in Article 3, point (6)(a)(ii), (iii) or (v), where practicable, also signs the notification document. A dealer or broker shall ensure they have a written authorisation from one of the persons referred to in Article 3, point (6)(a)(i), (ii) or (iii), to act on their behalf, and that such written authorisation is included in the notification.

The financial guarantee or equivalent insurance as referred to in Article 7 or, if the competent authorities concerned so allow, a declaration certifying its existence in accordance with the form set out in Annex IA shall be provided to the competent authorities concerned as part of the notification document at the time of notification.

By way of derogation from the second subparagraph, the documentation referred to in that subparagraph may, where the competent authorities concerned so allow, be provided after the notification is submitted, at the latest at the time of completion of the movement document in accordance with Article 16(2).

Where subsequent interim or non-interim recovery or subsequent interim or non-interim disposal is carried out in a country other than the first country of destination, the non-interim recovery or non-interim disposal and the location of that recovery or disposal shall be indicated in the notification and Article 15(7) applies.

Only one waste identification code as mentioned in Annex III, Annex IIIA, Annex IIIB or Annex IV shall be specified in the notification document and the movement document. In cases where wastes are not classified under one single entry in either Annex III, Annex IIIB or Annex IV, only one waste identification code from the list of waste referred to in Article 7 of Directive 2008/98/EC shall be specified in the notification document and the movement document, except for:

(a) wastes not classified under one single entry in either Annex III, Annex IIIB or Annex IV which can be specified using more than one waste identification code from the list of waste referred to in Article 7 of Directive 2008/98/EC, where all waste covered by the notification has essentially similar physical and chemical characteristics, but is not a mixture of wastes; or

(b) mixtures of wastes not classified under one single entry in either Annex III, Annex IIIA, Annex IIIB or Annex IV, for which the waste identification code from the list of waste referred to in Article 7 of Directive 2008/98/EC and the waste identification code from either Annex III, IIIB or IV for each fraction of the waste shall be specified in order of importance in the notification document and the movement document, or where those identification codes are not available for all fractions, the waste identification code from the list of waste referred to in Article 7 of Directive 2008/98/EC for the mixture as well as for each fraction of the waste shall be specified in order of importance in the notification document and the movement document.

Article 6

Contract

The contract shall be consistent with the corresponding notification document and the movement document and at least contain information on the notifier, the consignee and the facility, the identity of the persons representing each party, the notification number, the designation and composition of the waste, the waste identification codes, the quantity of waste covered by the contract, the recovery or disposal operation and the period of validity of the contract.

The contract shall include obligations:

(a) on the notifier to take the waste back or, where applicable, ensure its recovery or disposal in an alternative way, in accordance with Article 22 and Article 25(2) or (3), if the shipment, or the recovery or disposal, has not been completed as intended or if the shipment is an illegal shipment;

(b) on the consignee to recover or dispose of the waste in accordance with Article 25(8), if the shipment is an illegal shipment;

(c) on the facility where the waste is recovered or disposed of, to provide, in accordance with Article 16(6), a certificate that the waste has been recovered or disposed of, in accordance with the consents given for that notification, the conditions attached to those consents and this Regulation.

Where the waste is destined for interim recovery or interim disposal, the contract shall include the following additional obligations:

(a) on the facility to provide, in accordance with Article 15(4), and, where appropriate, Article 15(5), the certificate or certificates from the facility or facilities carrying out the non-interim recovery or non-interim disposal operation or operations, that all waste received in accordance with the consents given for that notification, the conditions attached to those consents and with this Regulation, has been recovered or disposed of, specifying, where possible, the quantity and type of waste covered by each certificate;

(b) on the consignee to submit, where applicable, a notification to the initial competent authority of the initial country of dispatch in accordance with Article 15(8).

Article 7

Financial guarantee or equivalent insurance

Shipments for which a notification is required shall be subject to the requirement of a financial guarantee or equivalent insurance, covering all of the following:

(a) costs of transport of waste;

(b) costs of recovery or disposal, including any necessary interim operation;

The financial guarantee or equivalent insurance shall cover costs arising in the context of all the following cases:

(a) where a shipment, or the recovery or disposal, cannot be completed as intended, as referred to in Article 22;

(b) where a shipment, or the recovery or disposal, is illegal, as referred to in Article 25.

The financial guarantee or equivalent insurance shall be released when the competent authority that has approved it has received the certificate referred to in Article 16(6) or, where appropriate, the certificate referred to in Article 15(5) as regards interim recovery or interim disposal.

In carrying out the assessment referred to in the first subparagraph the Commission shall take into account, inter alia, the relevant rules of the Member States relating to the calculation of the financial guarantee or equivalent insurance as referred to in this Article.

Article 8

Requests for information and documentation by the competent authorities concerned

The competent authority of dispatch shall decide that the notification is not valid and is not to be processed further, if the information and documentation provided upon the final request made in accordance with paragraph 4, is not sufficient or where no information has been provided by the notifier, within the deadline referred to in paragraph 4.

The competent authority of dispatch shall inform the notifier and the other competent authorities concerned of its decision pursuant to this paragraph as soon as possible, but no later than seven working days after the expiry of the deadline referred to in paragraph 3, or, where applicable, paragraph 4.

If requested by the notifier, the competent authority concerned may extend the deadline referred to in the first subparagraph by a reasonable time, if the notifier provides a reasoned explanation why that such an extension is necessary to be able to provide the requested information and documentation.

The competent authority of destination or any competent authority of transit shall decide that the notification is not valid and is not processed further if the information and documentation provided upon the final request made in accordance with paragraph 8, is not sufficient or where no information has been provided by the notifier within the deadline referred to in paragraph 8.

The competent authority of destination or any competent authority of transit shall inform the notifier and the other competent authorities concerned of its decision pursuant to this paragraph, as soon as possible, but no later than seven working days after the expiry of the deadline referred to in paragraph 8, or, where applicable, paragraph 9.

Where, within 30 working days of the expiry of the deadline referred to in paragraph 7, or of information and documentation having been provided in accordance with paragraph 8 or 9, the competent authority of destination or any competent authority of transit has not acted in accordance with paragraph 7 or paragraph 9, 10, 11 or 12, it shall provide the notifier with a reasoned explanation upon request.

Article 9

Consent by the competent authorities and time periods for shipment, recovery or disposal

The competent authorities of destination, dispatch and transit shall take, within 30 days of the date on which the notifier has been informed in accordance with Article 8(12) that the notification has been properly completed, one of the following decisions, which shall be duly reasoned, as regards the shipment:

(a) to consent without conditions;

(b) to consent with conditions in accordance with Article 10;

(d) not to consent, where the conditions referred to in Article 11 are not fulfilled.

By way of derogation from the first subparagraph, the competent authority of dispatch may take a decision in accordance with the first subparagraph, point (c) or (d), after having received the notification and before having considered it properly carried out, if it is evident that the conditions in Article 11 have not been fulfilled or that there are grounds for objection in accordance with Article 12.

By way of derogation from the first subparagraph, a competent authority concerned may take a decision in accordance with the first subparagraph, point (c) or (d), before the date on which the notifier has been informed in accordance with Article 8(12), once the notification has been properly carried out, as referred to in Article 5(5).

Tacit consent by the competent authorities of transit may be assumed if no objection is lodged within the 30-day time limit referred to in the first subparagraph.

Tacit consents referred to in the paragraph 1, fourth subparagraph, shall be valid for the period indicated in the written consent given in accordance with the first subparagraph by the competent authority of destination.

Where, within 30 days of the date on which the notifier, the competent authority of dispatch or a competent authority of transit concerned has been informed in accordance with Article 8(12), any of the competent authorities concerned has not taken a decision in accordance with paragraph 1, first subparagraph, it shall provide the notifier with a reasoned explanation upon request.

The competent authorities concerned shall withdraw their tacit or written consent, at the request of the notifier or where they have knowledge of any of the following:

(a) the composition of the waste is not as notified;

(b) the conditions imposed on the shipment are not respected;

(c) the waste is not recovered or disposed of in compliance with the permit of the facility that carries out the recovery or disposal;

(d) the waste is to be, or has been, shipped, recovered or disposed of in a way that is not in accordance with the information supplied in, or annexed to, the notification and movement documents;

(e) the termination of the financial guarantee;

(f) the termination of the contract.

Article 10

Conditions to consent to a shipment

Article 11

Conditions for shipments of waste destined for disposal

Where a notification is submitted regarding a shipment destined for disposal in accordance with Article 5, the competent authorities of dispatch and of destination shall not give their consent to that shipment, within the 30-day limit referred to in Article 9(1), unless all the following conditions are fulfilled:

(a) the notifier demonstrates that: (i) the waste cannot be recovered in a technically feasible and economically viable manner, or must be disposed of due to legal obligations under Union or international law; (ii) the waste cannot be disposed of in a technically feasible and economically viable manner in the country where it was generated; (iii) the planned shipment or disposal is in accordance with the waste hierarchy and the principles of proximity and self-sufficiency as laid down in Directive 2008/98/EC and the related waste is managed in environmentally sound manner in accordance with Article 59;

(b) the competent authorities concerned do not have information that the notifier or the consignee has been convicted of carrying out an illegal shipment or any other illegal act in relation to environmental or human health protection in the 5 years prior to the submission of the notification;

(c) the competent authorities concerned do not have information that the notifier or the facility has in the 5 years prior to the submission of the notification, repeatedly failed to comply with Articles 15 and 16 in connection with past shipments;

(d) the Member State of destination has not exercised its right pursuant to Article 4(1) of the Basel Convention to prohibit the import of hazardous waste or of waste listed in Annex II to that Convention;

(e) the planned shipment and disposal is in accordance with national legislation relating to environmental protection, public order, public safety or health protection in the Member State where the competent authority is located;

(f) the planned shipment or disposal does not conflict with obligations resulting from international conventions concluded by the Member State or States concerned or the Union;

(g) the waste will be treated in accordance with legally binding environmental protection standards in relation to disposal under Union law or established in waste management plans drawn up pursuant to Article 28 of Directive 2008/98/EC, and, if the facility is covered by Directive 2010/75/EU, it shall apply best available techniques as defined in Article 3(10) of that Directive in compliance with the permit of the facility;

(h) the waste is neither mixed municipal waste collected from private households or from other waste producers or both, nor mixed municipal waste which has been subject to a waste treatment operation that has not substantially altered its properties.

Article 12

Objections to shipments of waste destined for recovery

Where a notification is submitted regarding a shipment of waste destined for recovery in accordance with Article 5, the competent authorities of destination and dispatch may, within the 30-day time limit referred to in Article 9(1), raise reasoned objections based on one or more of the following grounds:

(a) the shipment or recovery would not be in accordance with Directive 2008/98/EC;

(b) the waste concerned will not be treated in accordance with waste management plans or waste prevention programmes drawn up by the countries of dispatch or destination, respectively, pursuant to Articles 28 and 29 of Directive 2008/98/EC;

(c) the shipment or recovery would not be in accordance with national legislation relating to environmental protection, public order, public safety or health protection concerning actions taking place in the country of the objecting competent authority;

(d) the shipment or recovery would not be in accordance with national legislation in the country of dispatch relating to the recovery of waste and to the recovery or disposal of residual waste generated through the recovery of the waste concerned, including where the shipment would concern waste destined for recovery in a facility which has lower treatment standards for the particular waste than those of the country of dispatch, respecting the need to ensure the proper functioning of the internal market, unless: (i) there is corresponding Union legislation, in particular related to waste, and requirements that are at least as stringent as those laid down in such Union legislation have been introduced in national law implementing such Union legislation; (ii) the recovery and the recovery or disposal of residual waste generated through the recovery of the waste concerned in the country of destination is carried out under conditions that are considered equivalent to those prescribed in the national legislation of the country of dispatch; (iii) the national legislation in the country of dispatch, other than that covered by point (i), has not been notified in accordance with Directive (EU) 2015/1535 of the European Parliament and of the Council (⁹), where required by that Directive;

(e) limiting incoming shipments of waste destined for recovery operations other than recycling and preparing for re-use is necessary for a Member State in order to protect its waste management network, where it is expected, based on available information, that such shipments would result in domestic waste having to be disposed of or treated in a way that is not consistent with its waste management plans;

(f) the competent authorities concerned do not have information that the notifier or the consignee has been convicted of carrying out an illegal shipment or any other illegal act in relation to environmental or human health protection in the 5 years prior to the submission of the notification;

(g) the competent authorities concerned do not have information that the notifier or the facility has, in the 5 years prior to the submission of the notification, repeatedly failed to comply with Articles 15 and 16 in connection with past shipments;

(h) the shipment or recovery conflicts with obligations resulting from international conventions concluded by the Member State or States concerned or by the Union;

(i) the ratio of the recoverable and non-recoverable waste, the estimated value of the materials to be finally recovered or the cost of the recovery and the cost of the disposal of the non-recoverable fraction of the waste do not justify the recovery, having regard to economic or environmental considerations;

(j) the waste is destined for disposal and not for recovery;

(k) the waste will not be treated in accordance with legally binding environmental protection standards in relation to recovery operations, or with recovery or recycling obligations established in Union legislative acts, or the waste will be treated in a facility which is covered by Directive 2010/75/EU but which does not apply the best available techniques as defined in Article 3(10) of that Directive.

The Member States of destination shall inform the Commission and the other Member States of decisions or national legislation on which objections raised by competent authorities in accordance with paragraph 1, point (e), may be based and shall state to which waste and recovery operations those objections apply, before such decisions or national legislation is invoked as grounds for reasoned objections.

Article 13

General notification

The notifier may submit a general notification covering several shipments where all the following requirements are fulfilled:

(a) the waste contained in the different shipments, as identified in accordance with Article 5(10), has essentially similar physical and chemical characteristics;

(b) the waste contained in the different shipments is shipped to the same consignee and the same facility;

(c) the countries of transit, if any, are the same, the routing of the different shipments is indicated in or annexed to the notification document and the location from which the shipment starts is the same.

Article 14

Pre-consented recovery facilities

Facilities that only carry out operation R13 shall not be eligible to submit a request as referred to in the first subparagraph.

The request referred to in paragraph 1 shall include the following information:

(a) the name, registration number and address of the recovery facility;

(b) copies of permits issued to the recovery facility to carry out waste treatment pursuant to Article 23 of Directive 2008/98/EC, as well as, where relevant, standards or certifications with which the facility complies;

(c) a description of the technology employed to ensure the environmentally sound recovery of waste in the recovery facility, for which the pre-consent is requested, including technology designed to save energy or limit the emission of greenhouse gases linked to the activities of the facility;

(d) the R-code or codes as referred to in Annex II of Directive 2008/98/EC for the recovery operation or operations for which the pre-consent is requested;

(e) the designation and composition of the waste, the physical characteristics and the waste identification code or codes for the wastes for which the pre-consent is requested, as listed in Annex IV to this Regulation or in the list of waste referred to in Article 7 of Directive 2008/98/EC;

(f) the total quantity of each type of waste for which the pre-consent is requested, compared to the treatment capacity for which the facility is permitted to carry out waste treatment pursuant to Article 23 of Directive 2008/98/EC;

(g) the quantity of residual waste generated through the recovery of the waste in relation to the quantity of recovered material, and the planned method of recovery or disposal for the residual waste;

(h) records of the activities of the facility linked to waste recovery, covering in particular the quantity and types of waste treated in the last three years, where relevant;

(i) evidence or an attestation that the legal or natural person owning or exercising control over the facility has not been convicted of having carried out an illegal shipment or any other illegal act in relation to waste management in the 5 years prior to the request, in particular with regard to the protection of the environment or human health.

By way of derogation from the first subparagraph, the competent authorities concerned may decide, in duly justified cases, to extend the period of validity for a period shorter than 3 years.

The competent authorities that have issued a pre-consent to a facility in accordance with this Article shall, using the form set out in Annex VI, inform the Commission and, where appropriate, the OECD Secretariat of the following:

(a) the name, registration number and address of the recovery facility;

(b) a description of the technology employed, and the R-code or codes as referred to in Annex II to Directive 2008/98/EC;

(d) the total pre-consented quantity;

(e) the period of validity of the pre-consent;

(f) any change in the pre-consent;

(g) any change in the information notified;

(h) any revocation of the pre-consent.

If one or more competent authorities wish to request additional information in accordance with Article 8(2), (4), (7) or (9), in relation to a notification for shipments to a pre-consented facility, the periods mentioned in those paragraphs, as well as in Article 8(3) and (8), shall be shortened to:

(a) five working days for Article 8(2), (3), (7) and (8); and

(b) three working days for Article 8(4) and (9).

In such cases, that competent authority shall, within seven working days of the date on which the notifier has been informed in accordance with Article 8(12) that the notification has been properly completed, inform the notifier and the other competent authorities concerned.

The total time needed to take one of the decisions as referred to in Article 9(1) shall not exceed 30 days from the date on which the notifier has been informed in accordance with Article 8(12) that the notification has been properly completed.

Article 15

Additional provisions regarding interim recovery and interim disposal

The facility carrying out an interim recovery operation or interim disposal operation as referred to in paragraph 3 shall promptly transmit, the relevant certificates to the notifier and the competent authorities concerned, identifying the shipments to which the certificates pertain.

Article 16

Requirements following consent to a shipment

Article 17

Changes after consent

CHAPTER 2

General information requirements

Article 18

General information requirements

Where the person who arranges the shipment is not the original waste producer referred to in Article 3, point (7)(i), the person who arranges the shipment shall ensure that the original waste producer or one of the persons indicated in Article 3, point (7)(ii), (iii) or (v), where practicable, also signs the Annex VII document.

The contract referred to in the first subparagraph shall be concluded and effective at the latest by the time the Annex VII document is completed in accordance with paragraph 5 and shall remain effective for the duration of the shipment until a certificate is issued in accordance with paragraph 9.

The contract shall be consistent with the corresponding Annex VII documents and at least contain information on the person who arranges the shipment, the consignee and the facility, the identity of the persons representing each party, the description of the waste, the waste identification codes, the quantity of waste covered by the contract, the recovery operation and the period of validity of the contract.

The contract shall include an obligation that where the shipment of waste or its recovery cannot be completed as intended or where it has been effected as an illegal shipment, the person who arranges the shipment or, where that person is not in a position to ensure completion of the shipment of waste or its recovery, the consignee, is to take the waste back or ensure that it is recovered in an alternative way, and, if necessary, that it is stored in the meantime.

CHAPTER 3

Mixing waste, documentation and access to information

Article 19

Prohibition on mixing waste during shipment

From the start of the shipment until the receipt of the waste by a recovery or disposal facility, the waste, as specified in the notification or as referred to in Article 18, shall not be mixed with other waste or other substances or objects.

Article 20

Keeping of documents and information

In the case of general notifications in accordance with Article 13, the obligation referred to in the first subparagraph shall apply from the date on which the last certificate has been provided in accordance with Articles 15(4) or 16(6).

Article 21

Publication of information on shipments

The Commission shall publish the information on notifications of shipments and on shipments subject to the general information requirements as referred to in Annex XII via its website and update it on a monthly basis. The Commission shall for that purpose extract the relevant data from the central system as referred to in Article 27.

CHAPTER 4

Take-back procedures and obligations

Article 22

Take-back when a consented shipment cannot be completed as intended

The take-back referred to in the first subparagraph shall take place within 90 days, or such other period as may be agreed between the competent authorities concerned, after the competent authority of dispatch becomes aware or has been advised by the competent authorities of destination or transit that the consented shipment of waste or its recovery or disposal cannot be completed as intended and has been informed of the reasons therefor. Such advice may result from information submitted to the competent authorities of destination or transit, inter alia, by other competent authorities.

The take-back obligation set out in paragraph 2 shall not apply if the waste shipped has, in the course of the operation at the facility concerned, been irreversibly mixed with other waste, so that its composition or nature has changed or that the waste in question can no longer be separated before a competent authority concerned has become aware of the fact that the notified shipment cannot be completed as referred to in paragraph 1. Such mixture of wastes shall be recovered or disposed of in an alternative way in accordance with the first subparagraph of this paragraph.

A new notification, where appropriate, shall be submitted by the initial notifier or, where relevant, a person deemed to be the notifier in accordance with paragraph 11 or 12, or, if that is also impracticable, by the initial competent authority of dispatch or by a natural or legal person on its behalf.

The competent authorities shall not oppose or object to the return of waste from a shipment that cannot be completed as intended or to the related recovery and disposal operation.

When such a new notification is submitted by the notifier, it shall also be submitted to the competent authority of the initial country of dispatch.

Where a new notification is submitted by the initial competent authority of dispatch in accordance with paragraph 5 or 6, a new financial guarantee or equivalent insurance shall not be required.

Where a facility issues a certificate of recovery or disposal in such a way that it results in an illegal shipment, with the consequence that the financial guarantee is released, Article 25(8) and Article 26(2) shall apply.

Article 23

Take-back when a shipment subject to general information requirements cannot be completed as intended

The take-back or recovery of the waste in an alternative way shall take place within 90 days, or any other period agreed between the competent authorities concerned, after the date on which the person who arranges the shipment informed the competent authority of dispatch in accordance with the first subparagraph.

Article 24

Costs of take-back when a shipment cannot be completed as intended

Costs arising from the return or recovery or disposal in an alternative way of waste from a shipment that cannot be completed as intended, including costs of transport of waste, recovery or disposal pursuant to Article 22(2) or (3), and, as of the date on which the competent authority of dispatch becomes aware that a shipment of waste or the recovery or disposal cannot be completed as intended, storage costs pursuant to Article 22(10) shall be charged in accordance with the following order to:

(a) the initial notifier or, if impracticable, in accordance with point (b);

(b) a natural or legal person deemed to be the notifier in accordance with Article 22(11) or (12), where relevant or, if impracticable, in accordance with point (c);

(d) the competent authority of dispatch; or, if that is also impracticable in accordance with point (e);

(e) as otherwise agreed between the competent authorities concerned.

Article 25

Take-back when a shipment is illegal

Where the responsibility for an illegal shipment can be imputed to the notifier, the competent authority of dispatch shall ensure that the waste is taken back by:

(a) the notifier or, where relevant, by a person deemed to be the notifier in accordance with paragraph 6 or 7, in order to arrange for its disposal or recovery; or if that is impracticable, in accordance with point (c) of this paragraph; or if no notification has been submitted, in accordance with point (b) of this paragraph;

(b) a person deemed to be the notifier in accordance with Article 3, point (6), or, where relevant, by a person deemed to be the notifier in accordance with paragraph 6 or 7; in order to arrange for its disposal or recovery; or if that is impracticable, in accordance with point (c) of this paragraph;

(c) by the competent authority of dispatch itself or by a natural or legal person on its behalf in order to arrange for its disposal or recovery.

The take-back obligation set out in paragraph 2 shall not apply if the competent authorities of dispatch, transit and destination concerned and, where relevant, the notifier or person deemed to be the notifier, agree and are satisfied that the waste can be:

(a) recovered or disposed of in an alternative way in the country of destination, transit or dispatch by the notifier or, where relevant, by a person deemed to be the notifier in accordance with paragraph 6 or 7, or, if that is impracticable, by competent authority of dispatch itself or by a natural or legal person on its behalf; or, if that is impracticable, in accordance with point (b);

(b) recovered or disposed of in an alternative way in another country by the notifier or, where relevant, by a person deemed to be the notifier in accordance with paragraph 6 or 7, or, if that is impracticable, by the competent authority of dispatch itself or by a natural or legal person on its behalf if all the competent authorities concerned agree.

In the event of export or import, recovery or disposal in an alternative way as agreed upon pursuant to the first subparagraph shall only take place if the take-back in accordance with paragraph 2 is impracticable.

In the case of take-back as referred to in the paragraph 2, points (a), (b) and (c), a new notification shall be submitted, unless the competent authorities concerned agree that a duly reasoned request by the initial competent authority of dispatch is sufficient.

If a new notification is required, it shall be submitted by the person or authority determined in accordance with paragraph 2.

The competent authorities shall not oppose or object to the return of waste of an illegal shipment. In the case of recovery or disposal in an alternative way as referred to in paragraph 3, carried out outside the country where the illegal shipment has been discovered, a new notification shall be submitted by the person or authority listed in that paragraph and in accordance with the order indicated in therein.

The competent authorities concerned shall cooperate, as necessary, to ensure that the waste is taken back or recovered or disposed of in an alternative way as referred to in paragraphs 2 and 3.

Where the responsibility for an illegal shipment can be imputed to the consignee, the competent authority of destination shall ensure that the waste is recovered or disposed of in an environmentally sound manner by:

(a) the consignee; or, if that is impracticable, in accordance with point (b);

(b) the competent authority itself or by a natural or legal person on its behalf.

The recovery or disposal referred to in the first subparagraph shall take place within 30 days, or such other period as may be agreed between the competent authorities concerned, following the date on which the competent authority of destination becomes aware of, or has been advised by the competent authorities of dispatch or transit of, the illegal shipment and informed of the reasons therefor. Such advice may result from information submitted to the competent authorities of dispatch and transit, inter alia, by other competent authorities.

The competent authorities concerned shall cooperate, as necessary, in the recovery or disposal of the waste in accordance with this paragraph.

Where a new notification is submitted by the initial competent authority of dispatch, which carries out the take-back in accordance with paragraph 2, point (c), a new financial guarantee or equivalent insurance shall not be required.

Where a facility issues a certificate of recovery or disposal in such a way that it results in an illegal shipment, with the consequence that the financial guarantee or equivalent insurance is released, paragraph 8 of this Article and Article 26(2) shall apply.

Article 26

Costs for take-back when a shipment is illegal

Costs arising from the take-back or recovery or disposal in an alternative way of waste from an illegal shipment, including costs for its transport of waste, recovery or disposal, pursuant to Article 25(2) or (3) and, from date on which the competent authority of dispatch becomes aware that a shipment is illegal, storage costs pursuant to Article 25(12), shall be charged to:

(a) the notifier or a person deemed to be the notifier, as referred to in Article 25(2), point (a); or, if that is impracticable, in accordance with point (c); or, if no notification has been submitted, in accordance with point (b);

(b) the person deemed to be the notifier, as referred to in Article 25(2), point (b), or other natural or legal persons as appropriate; or, if that is impracticable, in accordance with point (c);

Costs arising from recovery or disposal pursuant to Article 25(10), including possible transport and storage costs pursuant to Article 25(12), shall be charged to:

(a) the notifier or the person deemed to be the notifier in accordance with Article 25(2), point (b), Article 25(6) or Article 25(7), or the consignee, or both, depending upon the decision by the competent authorities concerned; or, if that is impracticable, in accordance with point (b);

(b) other natural or legal persons as appropriate; or, if that is also impracticable, in accordance with point (c);

CHAPTER 5

General provisions

Article 27

Electronic submission and exchange of information

The following information and documents shall be submitted and exchanged by electronic means, via the hub of the central system referred to in paragraph 3 or via other available interoperable systems or software in accordance with paragraph 4:

(a) for waste as referred to in Article 4(1), (2) and (3): (i) notification of a shipment pursuant to Articles 5 and 13; (ii) requests for information and documentation pursuant to Articles 5 and 8; (iii) information and documentation pursuant to Articles 5 and 8; (iv) information and decisions pursuant to Article 8; (v) decisions regarding a notified shipment and, if applicable a withdrawal of a consent pursuant to Article 9; (vi) information and conditions for a shipment pursuant to Article 10; (vii) information pursuant to Article 11; (viii) information and objections to a shipment pursuant to Article 12; (ix) information on decisions to issue pre-consents to specific recovery facilities pursuant to Article 14(8) and (10); (x) information and decisions pursuant to Article 14(12) and (15); (xi) confirmations of receipt of waste pursuant to Articles 15 and 16; (xii) certificates for recovery or disposal pursuant to Articles 15 and 16; (xiii) prior information regarding the start of a shipment pursuant to Article 16; (xiv) the documents to be made available in accordance with Article 16; (xv) information pursuant to Article 17;

(b) for waste referred to in Article 4(4) and (5), information and documentation, confirmation and certificates pursuant to Article 18;

(c) information and documents related to the procedure of prior written notification and consent and to the general information requirements pursuant to Articles 34 and 35 and Titles IV, V and VI, where applicable.

The hub referred to in the first subparagraph shall also be used for the exchange in real time of information and documents as referred to in paragraph 1 for shipments within the Union with transit via third countries, export from the Union, import into the Union and transit through the Union, where the competent authorities, customs offices of export, exit and entry, authorities involved in inspections and economic operators in third countries connect with that hub via an available system or software, in which case paragraph 4 shall apply mutatis mutandis, or via the website referred to in the third subparagraph of this paragraph.

That central system shall also provide a website for preparing and processing the information and documents referred to in paragraph 1 for shipments within the Union, for shipments within the Union with transit via third countries, exporting from the Union, importing into the Union and transiting through the Union. Such website may be used by the competent authorities, authorities involved in inspections and economic operators in the Member States and in third countries that do not use systems or software for electronic data interchange, to submit and exchange directly, by electronic means, the information and documents referred to in paragraph 1.

Software referred to in the first, second and third subparagraphs shall be interoperable with the central system referred to in paragraph 3, exchange information and documents via that central system in real time and be operated in accordance with the requirements and rules laid down in the implementing acts adopted by the Commission pursuant to paragraph 5.

The central system shall facilitate the keeping of documents in accordance with Article 20.

That central system shall also provide for its interoperability with the environment for electronic freight transport information established under Regulation (EU) 2020/1056.

Within four years of the adoption of the implementing act referred to in paragraph 5, the Commission shall ensure the interconnection of that central system with the European Union Single Window Environment for Customs through the European Union Customs Single Window — Certificate Exchange System established by Regulation (EU) 2022/2399.

The systems referred to in the first subparagraph shall facilitate the keeping of documents in accordance with Article 20.

At the latest by 21 May 2025, the Commission shall adopt implementing acts to establish:

(a) the requirements necessary for the interoperability between the central system referred to in paragraph 3 and other systems or software referred to in paragraph 4, including a protocol for data exchange and a data model for the exchange of data referred to in Annexes IA, IB and VII, as well as the certificate referred to in Article 15;

(b) any other technical and organisational requirements, including on security aspects, data governance and data confidentiality, which are necessary for the practical implementation of the electronic submission and exchange of information and documents referred to in paragraph 1, taking into account Regulation (EU) 2016/679 of the European Parliament and of the Council (¹⁰).

Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 81(2).

Article 28

Language

Article 29

Classification issues

When deciding whether waste which has undergone a recycling or other recovery operation is to be considered to have ceased to be waste, Member States shall apply Article 6 of Directive 2008/98/EC.

When deciding whether an object or substance is to be considered as a used good and not as waste, Member States shall ensure that at least the following conditions are fulfilled:

(a) further use or reuse of the object or substance is certain;

(b) the object or substance can fulfil its intended function without significant pre-processing;

(d) further use is lawful, that is to say that the object or substance fulfils all relevant product, environmental and health protection requirements for the specific use and will not lead to overall adverse environmental or human health impacts;

(e) the object or substance is properly preserved and protected against damage during transport, loading and unloading.

The provisions in the third subparagraph shall apply without prejudice to Article 23(2) and Annex VI to Directive 2012/19/EU of the European Parliament and of the Council (¹¹) and Article 72(2) and Annex XIV to Regulation (EU) 2023/1542 of the European Parliament and of the Council (¹²).

Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 81(2).

Article 30

Administrative costs

Appropriate and proportionate administrative costs for implementing the notification and supervision procedures and normal costs for appropriate analyses and inspections may be charged by the competent authorities concerned or authorities involved in inspections to the notifier and, where relevant, the person who arranges the shipment. Member States shall notify the Commission of provisions applied at national level in relation to such costs. The Commission shall make that information publicly available.

Article 31

Border-area agreements

Agreements concluded pursuant to the first subparagraph shall require that the waste be managed in the EFTA country concerned in an environmentally sound manner in accordance with Article 59.

Article 32

Shipments between an outermost region and the Member State of which it is part

By way of derogation from Article 9(1) and (2), for shipments between an outermost region and the Member State of which it is part, that require transit through another Member State, tacit consent by the competent authority of transit may be assumed if no objection is lodged within seven working days of the date on which the notifier is informed in accordance with Article 8(12) that the notification has been properly completed. That tacit consent shall be valid for the same period as indicated in the written consent given by the competent authority of destination in accordance with Article 9(1).

Article 33

Shipments from Faroe Islands to Denmark

Denmark may adopt a decision to treat imports of waste from the Faroe Islands into Denmark, which have not transited through any other country, under Article 36 of this Regulation. If Denmark adopts such a decision, it shall be notified to the Commission.

CHAPTER 6

Shipments within the Union with transit via third countries

Article 34

Shipments of waste destined for disposal

Where a shipment is carried out within the Union and transits through one or more third countries, and the waste is destined for disposal, Articles 4 to 17 and Articles 19 to 30 shall apply mutatis mutandis, subject to the following adaptations and additional requirements:

(a) Article 38(2), points (a), (c), (d) and (g) and Article 38(3), point (a), shall apply mutatis mutandis;

(b) where the third country is a Party to the Basel Convention and if the country concerned has decided not to require prior written consent and has informed the other Parties to the Basel Convention thereof in accordance with Article 6(4) of that Convention, a competent authority of transit outside the Union shall have 60 days from the date of transmission of its acknowledgement of receipt of a properly completed notification to provide tacit consent or to give a written consent with or without conditions; or

(c) where the third country is not a Party to the Basel Convention, the competent authority of dispatch shall ask the competent authority of transit in that third country whether it wishes to send its written consent to the shipment within a period agreed between the competent authorities.

Article 35

Shipments of waste destined for recovery

Where a shipment is carried out within the Union, including a shipment between localities in the same Member State, and transits through one or more third countries to which the OECD Decision applies, and the waste is destined for recovery, Articles 4 to 30 shall apply mutatis mutandis, subject to the following adaptations and additional requirements:

(a) Article 51(2), points (c) and (d), shall apply mutatis mutandis;

(b) tacit consent by the competent authority of transit outside the Union may be assumed if no objection is raised and provided any conditions laid down have been met, the shipment may start 30 days after the date on which the notifier has been informed in accordance with Article 8(12) that the notification has been properly completed, as referred to in Article 9(1).

TITLE III

TRANSPORT OF WASTE EXCLUSIVELY WITHIN A MEMBER STATE

Article 36

Transport of waste exclusively within a Member State

TITLE IV

EXPORTS FROM THE UNION TO THIRD COUNTRIES

CHAPTER 1

Exports of waste for disposal

Article 37

Prohibition of exports of waste destined for disposal

By way of derogation from paragraph 2, exports of waste destined for disposal to an EFTA country that is a Party to the Basel Convention shall be prohibited:

(a) where the EFTA country prohibits imports of such waste;

(b) where the conditions laid down in Article 11(1) are not fulfilled;

(c) where the competent authority of dispatch has reason to believe that the waste will not be subject to environmentally sound management as referred to in Article 59 in the country of destination.

Article 38

Procedures for exports of waste destined for disposal to EFTA countries

The following adaptations shall apply:

(a) the notifier shall submit in accordance with Article 27 the notification and any requested additional information and documentation, and at the same time, provide such notification and additional information and documentation by post, or if appropriate, by fax or email with digital signature, to the competent authority of destination and any competent authority of transit outside the Union, unless those authorities are connected to the central system referred to in Article 27(3); where an email with digital signature is used, any stamp or signature required shall be replaced by the digital signature;

(b) the notifier shall provide, annexed to the notification document, documentary evidence that an audit as referred to in Article 46(3) has been carried out in the facility to which waste is being exported, unless the exemption in Article 46(11) applies;

(c) the competent authority of dispatch and any competent authority of transit in the Union shall inform the competent authority of destination and any competent authority of transit outside the Union of any request for information and documentation from its side and of their decision and conditions, if any, regarding the planned shipment, by post, or if appropriate, by fax or email with digital signature, unless those competent authorities are connected to the central system referred to in Article 27(3);

(d) the information to be provided to the competent authority of destination and any competent authority of transit outside the Union pursuant to Articles 7, 8, 16 and 17 shall be provided by post, or if appropriate, by fax or email with digital signature, unless those authorities are connected to the central system referred to in Article 27(3);

(e) the notifier shall ensure that the information to be provided by the facility pursuant to Article 15(3) to (5) and Article 16(5) and (6) is included in a system referred to in Article 27, unless those facilities are connected to the central system referred to in Article 27(3);

(f) any competent authority of transit outside the Union shall have 60 days from the date of transmission of its acknowledgement of receipt of a properly completed notification to provide tacit consent, if the country concerned has decided not to require prior written consent and has informed the other Parties to the Basel Convention thereof in accordance with Article 6(4) of that Convention, or to give a written consent with or without conditions;

(g) the competent authority of dispatch in the Union shall take the decision to consent to the shipment as referred to in Article 9 only after having received written consent from the competent authority of destination and, where appropriate, the tacit or written consent of a competent authority of transit outside the Union, and not earlier than 61 days after the date of transmission of the acknowledgement of receipt of a properly completed notification by a competent authority of transit outside the Union, unless the competent authority of dispatch has the written consent of the other competent authorities concerned, in which case it may take the decision as referred to in Article 9 before that time limit.

The following additional provisions shall apply:

(a) any competent authority of transit in the Union shall provide an acknowledgment of receipt of a properly completed notification to the notifier and copies to the other competent authorities concerned where they have no access to a system referred to in Article 27;

(b) the competent authority of dispatch and, any competent authority of transit in the Union shall inform the customs office of export and the customs office of exit of their decisions to consent to the shipment;

(c) a copy of the movement document shall be provided by the carrier to the customs office of export and the customs office of exit either by post or, if appropriate, by fax or email with digital signature, or, where the customs office of export and the customs office of exit have access to it, via the central system referred to in Article 27(3);

(d) as soon as the waste has left the Union, the customs office of exit shall inform the competent authority of dispatch in the Union that the waste has left the Union;

(e) where, 42 days after the waste has left the Union, the competent authority of dispatch in the Union has received no information from the facility about receipt of the waste, it shall without delay inform the competent authority of destination thereof via a system referred to in Article 27 or in accordance with Article 72;

(f) the contract referred to in Article 6 shall contain the following terms and conditions: (i) where a facility issues an incorrect certificate of disposal with the consequence that the financial guarantee is released, the consignee shall bear the costs arising from the duty to return the waste to the area of jurisdiction of the competent authority of dispatch and from its recovery or disposal in an alternative and environmentally sound manner; (ii) the facility shall, within three days of receipt of the waste for disposal, send signed copies of the completed movement document, except for the certificate of disposal referred to in point (iii), to the notifier and the competent authorities concerned; (iii) the facility shall, as soon as possible but no later than 30 days after completion of the disposal and in any case no later than one year after the receipt of the waste under its responsibility, certify that the disposal has been completed and shall send signed copies of the movement document containing that certification to the notifier and to the competent authorities concerned;

(g) the notifier shall, within three working days of receipt of the copies referred to in point (f)(ii) and (f)(iii), make the information contained in those copies electronically available in accordance with Article 27.

The shipment may take place only if all the following conditions are fulfilled:

(a) the notifier has received written consent from the competent authorities of dispatch, destination and, where applicable, transit outside the Union and if the conditions laid down in those consents or their annexes have been met;

(b) environmentally sound management of the waste as referred to in Article 59, is ensured.

Where a customs office of export or a customs office of exit discovers an illegal shipment, it shall without delay inform the competent authority in the country of the customs office thereof. That competent authority shall:

(a) without delay inform the competent authority of dispatch in the Union of the illegal shipment;

(b) ensure detention of the waste until the competent authority of dispatch has decided otherwise and has communicated that decision in writing to the competent authority in the country of the customs office in which the waste is detained; and

(c) without delay communicate the decision of the competent authority of dispatch referred to in point (b) to the customs office of export or the customs office of exit that discovered the illegal shipment.

CHAPTER 2

Exports of waste for recovery

Section 1

Exports of hazardous and certain other waste to countries to which the OECD Decision does not apply

Article 39

Prohibition of exports of hazardous and certain other wastes

Exports from the Union of the following wastes destined for recovery in countries to which the OECD Decision does not apply shall be prohibited:

(a) wastes listed as hazardous in Part 1 of Annex V to this Regulation;

(b) wastes listed as hazardous in the list of waste referred to in Article 7 of Directive 2008/98/EC;

(d) plastic waste classified under entry B3011;

(e) wastes listed in Annex III or Annex IIIB and mixtures of wastes listed in Annex IIIA that are contaminated by other materials to an extent which increases the risks associated with the waste sufficiently to render them appropriate for submission to the procedure of prior written notification and consent, when taking into account the hazardous properties in Annex III to Directive 2008/98/EC, or prevents the recovery of the wastes in an environmentally sound manner;

(f) wastes or mixtures of wastes containing or contaminated with POPs in quantities meeting or exceeding a concentration limit indicated in Annex IV to Regulation (EU) 2019/1021;

(g) hazardous wastes not classified under one single entry in Annex V to this Regulation or in the list of waste referred to in Article 7 of Directive 2008/98/EC;

(h) mixtures of hazardous wastes and mixtures of hazardous wastes with non-hazardous waste not classified under one single entry in Annex V to this Regulation or in the list of waste referred to in Article 7 of Directive 2008/98/EC;

(i) wastes notified by the country of destination as hazardous under Article 3 of the Basel Convention;

(j) wastes of which the import has been prohibited by the country of destination;

(k) wastes which the competent authority of dispatch has reason to believe will not be managed in an environmentally sound manner, as referred to in Article 59, in the country of destination concerned.

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

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.

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.

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.

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

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.

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.

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.

Article 42

Requirements for inclusion in the list of countries to which exports are authorised

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.

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.

Article 43

Assessment of the request for inclusion in the list of countries to which exports are authorised

Section 3

Exports to countries to which the OECD Decision applies

Article 44

General regime for exports of waste

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;

(d) waste listed in Annex IIIB and shipments of waste destined for experimental treatment trials referred to in Article 4(5) shall be subject to the procedure of prior written notification and consent;

(e) shipments of waste destined for laboratory analysis referred to in Article 4(5) shall be subject to the procedure of prior written notification and consent, unless the quantity of such waste has been determined based on the minimum quantity reasonably needed to adequately perform the analysis in each particular case, and does not exceed 25 kg, in which case the procedural requirements of Article 18 shall apply;

(f) the export of waste referred to in Article 4(3) shall be prohibited;

(g) the consent as required in accordance with Article 9 may be provided in the form of tacit consent from the competent authority of destination outside the Union;

(h) the consent to a shipment of certain waste in accordance with Article 9 shall be withdrawn by the competent authority of dispatch when a delegated act in accordance with Article 45(6) entered into force that prohibits the export of such waste to the country concerned;

(i) the facility mentioned in Articles 15(3) and 16(5) shall provide the respective confirmation within 3 working days of receipt of the waste.

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.

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.

Article 45

Monitoring of export and safeguard procedure

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.

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.

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

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.

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.

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;

(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).

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.

Article 47

Obligations on Member States of export

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

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

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.

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.

Article 51

Procedural requirements for imports of waste destined for disposal or during situations of crisis, or during peacemaking or peacekeeping operations

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.

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.

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;

(d) environmentally sound management as referred to in Article 59 is ensured.

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.

The information provided pursuant to the first subparagraph shall accompany the shipment, unless it is provided via a system in accordance with Article 27.

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

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.

In such cases Article 50(2), second subparagraph, shall apply.

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

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.

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.

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

CHAPTER 4

Imports from overseas countries or territories

Article 56

Imports from overseas countries or territories

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

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:

(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;

TITLE VII

ENVIRONMENTALLY SOUND MANAGEMENT AND ENFORCEMENT

CHAPTER 1

Environmentally sound management

Article 59

Environmentally sound management

CHAPTER 2

Enforcement

Section 1

Inspections by the Member States and penalties

Article 60

Inspections

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;

(d) during the shipment within the Union.

Article 61

Documentation and evidence

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.

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.

Article 62

Inspection plans

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.

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.

Article 63

Penalties

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;

(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.

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;

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

Article 66

Waste shipment enforcement group

Section 3

Actions performed by the Commission

Article 67

General provisions

If the Commission decides not to act, it shall reply to the authority of the Member States or the persons who sent the complaint in a reasonable time, stating the reasons why they believe there is no sufficient suspicion, unless there are reasons of public interest, such as protecting the confidentiality of administrative or criminal proceedings, not to do so.

The Commission shall also provide the Member States with assistance in organising close and regular cooperation between their competent authorities pursuant to Article 71.

Reports drawn up on the basis of paragraph 4, together with all evidence in support and annexed thereto, shall constitute admissible evidence:

(a) in judicial proceedings of a non-criminal nature before national courts and in administrative proceedings in the Member States;

(b) in criminal proceedings in the Member State where their use proves necessary in the same way and under the same conditions as administrative reports drawn up by national administrative authorities and shall be subject to the same evaluation rules as those applicable to administrative reports drawn up by national administrative authorities and shall have the same evidentiary value as such reports;

The power of the Court of Justice of the European Union and national courts and competent authorities to freely assess the evidential value of the reports drawn up by the Commission in accordance with paragraph 4 shall not be affected by this Regulation.

Article 68

Inspections by the Commission

The Commission shall give notice 15 days in advance of the object, purpose and legal basis of inspections to the permanent staff responsible for cooperation or the focal points referred to in Article 65(2) in the Member State concerned in whose territory the inspection is to be conducted, so that relevant authorities may provide the requisite assistance. To that end, officials of the relevant authorities of the Member State concerned shall be given opportunity to participate in the inspections. In urgent cases, if it is not possible to respect the 15 days’ notice, the Commission shall give notice at the first useful moment.

In addition, upon request of the relevant authorities of the Member State concerned, the inspections shall be carried out jointly by the Commission and the relevant authorities of that Member State.

The staff of the Commission that conduct an inspection shall be empowered to:

(a) have access to any premises, land and means of transport of the notifier, the person who arranges the shipment, the waste producer, the waste holder, the carrier, the consignee or the facility that receives the waste;

(b) examine any relevant documents related to the subject-matter and purpose of the inspections, irrespective of the medium on which they are stored, and to take or obtain in any form copies of or extracts from such documents;

(c) ask the notifier, the person who arranges the shipment, the waste producer, the waste holder, the carrier, the consignee or the facility that receives the waste for explanations on facts or documents relating to the subject-matter and purpose of the inspections and to record the answers;

(d) take and record statements from the notifier, the person who arranges the shipment, the waste producer, the waste holder, the carrier, the consignee or the facility that receives the waste related to the subject-matter and purpose of the inspections;

(e) physically check the waste and take samples of the waste for laboratory tests, where appropriate.

Article 69

Requests for information

The invitation to an interview shall be sent to the person in question with at least 10 working days’ notice. That notice period may be shortened with the express consent of the person concerned or on duly reasoned grounds of urgency of the inspection.

In the latter case, the notice period shall not be less than 24 hours. The invitation shall include a list of the rights of the person concerned, in particular the right to be assisted by a person of his or her choice.

Article 70

Procedural guarantees

The notifier, the person who arranges the shipment, the waste producer, the waste holder, the waste carrier, the consignee or the facility that receives the waste shall have:

(a) the right not to make self-incriminating statements;

(b) the right to be assisted by a person of choice;

(d) the right to comment on facts concerning them, once the inspection has been completed and before the adoption of a report pursuant to Article 67(4). The invitation to comment shall include a summary of the facts concerning the person in question and shall indicate an adequate time limit for submitting comments. In duly justified cases where necessary to preserve the confidentiality of the inspection or of an ongoing or future administrative or criminal investigation by a national authority, the Commission may decide to defer the invitation to comment;

(e) the right to receive a copy of the record of interview and either approve it or add observations;

(f) where the Commission has made judicial recommendations pursuant to Article 67(4), and without prejudice to the confidentiality rights of whistle-blowers and informants, and in accordance with the applicable confidentiality and data protection rules, the person in question may request the Commission to provide the report drawn up under Article 67(4) to the extent that it relates to that person. The Commission shall grant access only with the explicit consent of all recipients of the report.

The Commission shall seek evidence for and against the notifier, the person who arranges the shipment, the waste producer, the waste holder, the waste carrier, the consignee or the facility that receives the waste, and carry out inspections and request information objectively and impartially and in accordance with the principle of the presumption of innocence.

Article 71

Mutual assistance

For the purposes of applying this Regulation and without prejudice to Articles 64 and 65 of this Regulation, Regulation (EC) No 515/97, except for Article 2a, Articles 18a to 18e, Titles IV to VII, and the Annex, shall apply mutatis mutandis to the cooperation between the relevant authorities of the Member States and the Commission implementing the provisions in this section.

TITLE VIII

FINAL PROVISIONS

Article 72

Format of communications

Where the provisions in Article 27 do not apply or where actors outside the Union are not connected to the central system referred to in Article 27(3), the relevant actors may submit and exchange information and documents referred to in this Regulation by post, fax, email with digital signature, email without digital signature followed by post or, where agreed between the actors concerned, by email without digital signature. In case of email with digital signature, any stamp or signature required shall be replaced by the digital signature.

Article 73

Reporting

In addition, the Commission shall address in that report the following elements:

(a) trends in illegal shipments and best practices to tackle such shipments, taking into account recommendations made by the waste shipment enforcement group referred to in Article 66;

(b) the efficiency of the procedure of prior written notification and consent laid down in Chapter 1 of Title II, and notably the related timelines, inter alia, by analysing elements such as the number of objections and consents, and the time between the submission of and a decision taken on a notification, based on data stored in the system referred to in Article 27;

(c) contribution of this Regulation to climate neutrality, achieving circular economy and zero pollution, taking into account the reports and data published by relevant Union’s agencies.

The European Environment Agency shall support the Commission in the task of monitoring the implementation of this Regulation by, where appropriate, drawing up reports providing an analysis of the shipments of specific waste streams, and of their environmental impacts.

The report mentioned in the first subparagraph shall be drawn up for the first time by 31 December 2029 and every three years thereafter.

The report shall also provide information on the evolution of the capacity of waste operators in the Union to manage plastic waste generated in the Member States and imported into the Union in an environmentally sound manner.

The report shall also assess if the provisions on the shipments of waste between Member States have contributed to improving the management of plastic waste, especially looking at the classification of plastic waste under entry EU3011.

This report shall be accompanied, if appropriate, by a legislative proposal to amend this Regulation, which could include stricter conditions on the export of plastic waste to third countries, including export prohibitions.

Article 74

International cooperation

Member States, where appropriate and necessary in liaison with the Commission, shall cooperate with other Parties to the Basel Convention and inter-State organisations, inter alia, via the exchange or sharing of information, the promotion of environmentally sound technology and the development of appropriate codes of good practice.

Article 75

Designation of competent authorities

Member States shall designate the competent authority or authorities responsible for the implementation of this Regulation. Each Member State shall designate only one single competent authority of transit.

Article 76

Designation of correspondents

Member States and the Commission shall each designate one or more correspondents responsible for informing or advising persons or undertakings making enquiries relating to the implementation of this Regulation. The Commission correspondent shall forward to the correspondents of the Member States any questions put to him or her which concern the Member States, and vice versa.

Article 77

Designation of customs offices of entry and exit

Member States may designate specific customs offices of entry and exit for shipments of waste entering and leaving the Union. Where a Member State decides to designate such customs offices, no other border crossing points within that Member State shall be used for the purposes of shipments entering or leaving the Union.

Article 78

Notification of, and information regarding, designations

Member States shall notify the Commission of designations of:

(a) competent authorities, pursuant to Article 75;

(b) correspondents, pursuant to Article 76;

In relation to the designations referred to in paragraph 1, Member States shall provide the Commission with the following information:

(a) names;

(b) postal addresses;

(d) telephone numbers;

(e) languages acceptable to the competent authorities.

Article 79

Amendment to Annexes I to X and XII

Article 80

Exercise of the delegation

Article 81

Committee procedure

Where the committee delivers no opinion, the Commission shall not adopt the draft implementing act and the third subparagraph of Article 5(4) of Regulation (EU) No 182/2011 shall apply.

Article 82

Amendment of Regulation (EU) No 1257/2013

Regulation (EU) No 1257/2013 is amended as follows:

(1) in Article 3(2), the introductory wording is replaced by the following: ‘For the purposes of Article 6(2)(a), Article 7(2)(d) and Articles 13, 15 and 16,’;

(2) in Article 6(2), point (a) is replaced by the following: ‘(a) are only recycled at ship recycling facilities that are included in the European List and, in the case of ships which are considered as hazardous waste, are located in an area under the national jurisdiction of a Member State and are exported from the Union, only at those facilities included in the European List which are located in countries listed in Annex VII to the Basel Convention.’.

Article 83

Amendment of Regulation (EU) 2020/1056

Regulation (EU) 2020/1056 is amended as follows:

(1) in Article 2(1)(a), point (iv) is replaced by the following: ‘(iv) Article 9(2), 16(1) and Article 18(4) of Regulation (EU) 2024/1157 of the European Parliament and of the Council (^*1); this Regulation is without prejudice to controls by customs offices provided for in relevant provisions of Union legal acts;

(2) in Article 5, the following paragraph is inserted: ‘1a. By way of derogation from paragraph 1, competent authorities shall accept regulatory information, including additional information, pursuant to Regulation (EU) 2024/1157 as from 21 May 2026.’;

(3) in Article 5, paragraph 2 is deleted;

(4) in Article 7, the following paragraph is added: ‘4. By way of derogation from paragraph 3, elements referred to in paragraph 1 that are related to information requirements set out in the provisions referred to in point (iv) of Article 2(1)(a) shall be adopted no later than the date referred to in Article 27(5) of Regulation (EU) 2024/1157.’;

(5) in Article 8, the following paragraph is added: ‘4. By way of derogation from paragraph 3, elements referred to in paragraph 1 that are specifically related to the accessing and processing by the authorities of regulatory information in relation to requirements set out in the provisions referred to in point (iv) of Article 2(1)(a), including the communication with the economic operators in relation to that information, shall be adopted no later than the date referred to in Article 27(5) of Regulation (EU) 2024/1157.’;

(6) in Article 9, the following paragraph is added: ‘3. By way of derogation from paragraph 2, elements referred to in paragraph 1 that are specifically related to the processing of regulatory information in relation to requirements set out in the provisions referred to in point (iv) of Article 2(1)(a) shall be adopted no later than the date referred to in Article 27(5) of Regulation (EU) 2024/1157.’.

Article 84

Review

By 31 December 2035, the Commission shall, taking into account, inter alia, the reports drawn up in accordance with Article 73, and the review referred to in Article 62(5), carry out a review of this Regulation and submit a report on the results thereof to the European Parliament and to the Council, accompanied, if the Commission deems it appropriate, by a legislative proposal.

The Commission shall, during its review and as a part of its report, assess in particular:

(a) the efficiency of the procedure of prior written notification and consent laid down in Chapter 1 of Title II, and notably the related timelines in Articles 8, 14, 15 and 16, inter alia, by analysing elements such as the number of objections and consents, and the time between the submission of and a decision taken on a notification. The Commission may use data stored in the systems referred to in Article 27 for this purpose;

(b) if publishing data on the shipments of waste in accordance with Article 21 provides adequate transparency, in particular by analysing if and why names of the facilities at destination were considered as confidential due to Union and national legislation by competent authorities or persons who arrange the shipments;

(c) if this Regulation sufficiently contributed to climate neutrality, achieving a circular economy and zero pollution, taking into account the reports and data published by relevant Union’s agencies.

The Commission shall, during its review and as a part of its report, assess in addition whether the principle of equality in Union law has been respected, evaluate in this context possible impacts on any Member State’s competitiveness, and take rectifying measures where deemed necessary.

Article 85

Repeal and transitional provisions

However, the provisions of Regulation (EC) No 1013/2006 shall continue to apply until 21 May 2026 except for:

(a) Article 30 that shall cease to apply from 20 May 2024;

(b) Article 37 that shall continue to apply until 21 May 2027;

Article 86

Entry into force and application

However, in relation to the following provisions, the following dates of application shall apply:

(a) Article 83, points 4, 5 and 6, from 20 August 2020;

(b) Articles 2(2) point (i), Articles 7(10), 11(5), 14(3), 15(6), 18(15), 27(2) and (5), 29(3) and (6), Article 31, 41 to 43, Article 45, 51(7), 61(7), Article 66, Articles 79 to 82 and Article 83, points 1 to 3, from 20 May 2024;

(d) Articles 38(2) point (b), Article 40, Article 44(2) point (a), and Articles 46 and 47 from 21 May 2027, except for Article 40(3)(b) which shall apply from 21 May 2026;

(e) Article 73 from 1 January 2026.

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

ANNEX IA

ANNEX IB

ANNEX IC

From 21 May 2026, documents and information must be submitted via electronic means in accordance with Article 27, as required in the relevant provisions in this Regulation.

In the cases of shipments involving third countries (as per Titles IV, V and VI), for which paper documents can be used, paper-based procedures remain valid insofar as no access to the systems referred to in Article 27 is possible.

Annex IC of Regulation (EC) No 1013/2006 can be consulted for general guidance on completing the notification and movement documents, in particular when completing documents in paper format where still relevant.

ANNEX II

Part 1: Information to be provided when submitting the notification document:

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

In case the notifier has previously obtained consent(s) for the shipment of the same types of waste to the same facility, the serial number or other accepted identifier of notification document of these previously consented shipments may be referred to. For the purpose of application of Article 9(3), in case the notifier has previously obtained consent(s) for the shipment of the same types of waste from the same location in the country of dispatch to the same consignee and the same facility and whereby the countries of transit, if any, are the same, the notifier shall indicate the serial number or other accepted identifier of the notification document of these previously consented shipments. In addition, changes in the details of a new notification compared to such previously consented shipment shall be indicated in the notification.

Notifier’s name, address, telephone number, email address, registration number and contact person.

If the notifier is not the original waste producer or new waste producer or collector: Original waste producer’s (producers’) or new waste producer’s (producers’) or collectors or waste holders name, address, telephone number, email address and contact person.

Dealer’s (dealers’) or broker’s (brokers’) name, address, telephone number, email address and contact person, where the notifier has authorised him in accordance with Article 3, point (6).

Address of the location from which the shipment starts, name of the person that is responsible for this location and, if different from the persons referred to in points 2 to 4, address, telephone number, email address and contact person of the person that is responsible for this location.

Recovery or disposal facility’s name, address, telephone number, email address, registration number, contact person, technology employed and possible status as pre-consented in accordance with Article 14.

If the waste is destined for an interim recovery or interim disposal operation, corresponding information regarding all facilities where subsequent interim and non-interim recovery or interim or non-interim disposal operations are envisaged shall be indicated. Evidence of the facility’s permit in accordance with Chapter IV of Directive 2008/98/EC, or if the recovery or disposal facility is listed in Annex I, Category 5, to Directive 2010/75/EU, 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.

Consignee’s name, address, telephone number, email address, registration number and contact person.

Intended carrier’s (carriers’) and/or their agent’s (agents’) name, address, telephone number, email address, registration number and contact person.

Country of dispatch and relevant competent authority.

10.

Countries of transit and relevant competent authorities.

11.

Country of destination and relevant competent authority.

12.

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

13.

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

14.

Means of transport envisaged.

15.

Intended routing and intended route where possible including possible alternatives.

16.

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

17.

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.

18.

Estimated maximum and minimum quantities.

19.

Type of packaging envisaged.

20.

Specification of the recovery or disposal operation(s) as referred to in Annexes I and II to Directive 2008/98/EC.

21.

If the waste is destined for recovery:

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

22.

If the waste is destined for disposal, evidence demonstrating that the conditions in Article 11(1)(a) are fulfilled.

23.

A copy of the contract and a declaration certifying its existence between the notifier, consignee and the operator of the facility where the waste is recovered or disposed of, that has been concluded and is effective at the time of the notification, as required in Article 5(7) and Article 6.

24.

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

25.

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 at the time of completion of the movement document pursuant to Article 16(2), as required in Article 5(8) and Article 7.

26.

Declaration of the notifier that the notifier has not been convicted of carrying out an illegal shipment or any other illegal act in relation to environmental or human health protection, and has not repeatedly failed to comply with Articles 15 and 16 in connection with past shipments, in the 5 years prior to the submission of the notification.

27.

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

Part 2: Information to be provided in, or annexed to, the movement document:

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

Serial and total number of shipments.

Date shipment started.

Means of transport.

Carrier’s (carriers’) name, address, telephone number, fax number and email address.

Routing and route where possible including possible alternatives, as indicated in the notification document, in case of unforeseen circumstances.

Quantities.

Type of packaging.

Container identification number, if applicable.

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

10.

Declaration signed by the notifier that all necessary consents have been received from the competent authorities of the countries concerned.

11.

Appropriate signatures for each custody transfer.

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

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

Copy of the permit issued in accordance with Articles 4 and 5 of Directive 2010/75/EU.

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

The transport distance(s) between the location where the shipment starts and the facility, including alternative routes.

In the event of intermodal transport, the place(s) where the transfer will take place.

Information about costs of transport of waste between the notifier and the facility.

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

Chemical analysis of the composition of the waste.

Description of the production process of the waste.

10.

Description of the treatment process of the facility, which receives the waste.

11.

The financial guarantee or equivalent insurance or a copy or evidence thereof.

12.

Information concerning the calculation of the financial guarantee or equivalent insurance as required in Article 5(8) and in Article 7.

13.

Copy or evidence of the policy of insurance against liability for damage to third parties.

14.

Documentation certifying that the notifier has not been convicted of carrying out an illegal shipment or any other illegal act in relation to environmental or human health protection, and has not repeatedly failed to comply with Articles 15 and 16 in connection with past shipments, in the 5 years prior to the submission of the notification.

15.

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

ANNEX III

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 list of waste referred to in Article 7 of Directive 2008/98/EC as well as the hazardous properties listed in Annex III to that Directive; or

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

Part I:

Wastes listed in Annex IX of the Basel Convention (¹⁶).

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 of this Regulation;

(b) in Basel entry B1020 the term ‘bulk finished form’ includes all metallic non-dispersible (¹⁷) forms of the scrap listed therein;

(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 (¹⁸) 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 wastes (¹⁹) and destined for recycling: — Plastic waste almost exclusively (²⁰) 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 (²¹) 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 (21) consisting of one of the following fluorinated polymers (²²): — 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:

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

GB040	7112 2620 30 2620 91	Slags from precious metals and copper processing for further refining

Other wastes containing metals

GC010		Electrical assemblies consisting only of metals or alloys ()
GC020		Electronic scrap (e.g. printed circuit boards, electronic components, wire, etc.) and reclaimed electronic components suitable for base and precious metal recovery ()
GC030	ex 8908 00	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)
(¹) The term ‘properly emptied’ is understood as presuming full compliance with international rules and guidelines on ship recycling. (²) Entry GC010 shall apply only for waste shipped within the Union and only until 31 December 2026. (³) Entry GC020 shall apply only for waste shipped within the Union and only until 31 December 2026.

Glass waste in non-dispersible form

GE020	ex 70 01 ex 7019 39	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 26 21	Bottom ash and slag tap from coal fired power plants
GG040	ex 26 21	Coal fired power plants fly ash

Wastes arising from tanning and fellmongery operations and leather use

GN010	ex 0502 00	Waste of pigs’, hogs’ or boars’ bristles and hair or of badger hair and other brush-making hair
GN020	ex 0503 00	Horsehair waste, whether or not put up as a layer with or without supporting material
GN030	ex 0505 90	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

1.Regardless of whether or not mixtures of 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:

(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;

(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.

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;

(d) 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);

(e) mixtures of wastes classified under Basel entry B3030;

(f) mixtures of wastes classified under Basel entry B3040;

(g) mixtures of wastes classified under Basel entry B3050.

4.For shipments destined for recycling within the Union the following mixtures of wastes (²³) classified under separate indents or sub-indents of one single entry are included in this Annex:

(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;

ANNEX IIIB

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:

(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 Regulation (EU) 2016/2031.

ANNEX IV

Part I

Wastes listed in Annexes II and VIII to the Basel Convention (²⁵).

For the purposes of this Regulation:

(a) Any reference in Annex VIII to 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).

(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 until 31 December 2026, Basel entry Y49 shall not apply and entries GC010 and GC020 in Annex III Part II shall apply instead where appropriate.

Part II:

Metal-bearing wastes

AA010	2619 00	Dross, scalings and other wastes from the manufacture of iron and steel ()
AA060	2620 50	Vanadium ashes and residues ()
AA190	8104 20 ex 8104 30	Magnesium waste and scrap that is flammable, pyrophoric or emits, upon contact with water, flammable gases in dangerous quantities
(¹) 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 2812 90 ex 38 24	Inorganic halide compounds, not elsewhere specified or included
AB130		Used blasting grit
AB150	ex 3824 90	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 3819 00	Hydraulic fluids
AC070	ex 3819 00	Brake fluids
AC080	ex 3820 00	Antifreeze fluids
AC150		Chlorofluorocarbons
AC160		Halons
AC170	ex 4403 10	Treated cork and wood wastes
AC250		Surface active agents (surfactants)
AC260	ex 31 01	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 3824 90	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 3914 00 ex 39 15	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 68 15	Ceramic based fibres of physico-chemical characteristics similar to those of asbestos

ANNEX V

Introductory notes

1.This Annex applies without prejudice to Directive 2008/98/EC.

2.This Annex consists of two parts. Article 39 further refers to the list of waste as referred to in Article 7 of Directive 2008/98/EC. For the purposes of this Regulation and to determine whether a specific waste is covered by the export prohibition in Article 39 of this Regulation, the list of waste as referred to in Article 7 of Directive 2008/98/EC applies only when List A of Part 1 of this Annex is not applicable. If a waste is not listed in List A of Part 1 of this Annex, and not listed as a hazardous waste in the list of waste as referred to in Article 7 of Directive 2008/98/EC, only then it must be checked if it is listed in Part 2 of this Annex.

3.Wastes listed in List B of Part 1 or which are among the non-hazardous waste listed in the list of waste as referred to in Article 7 of Directive 2008/98/EC (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 wastes sufficiently to render it appropriate for submission to the procedure of prior written notification and consent, when taking into account the list of waste referred to in Article 7 of Directive 2008/98/EC as well as the hazardous properties listed in Annex III to that Directive; or

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

Part 1 (²⁶)

List A (Annex VIII to the Basel Convention)

A1 Metal and metal-bearing wastes

A1010 Metal wastes and waste consisting of alloys of any of the following: but excluding such wastes specifically listed on list B.

A1020 Waste having as constituents or contaminants, excluding metal waste in massive form, any of the following:

A1030 Wastes having as constituents or contaminants any of the following:

A1040 Wastes having as constituents any of the following:

A1050 Galvanic sludges

A1060 Waste liquors from the pickling of metals

A1070 Leaching residues from zinc processing, dust and sludges such as jarosite, hematite, etc.

A1080 Waste zinc residues not included on list B, containing lead and cadmium in concentrations sufficient to exhibit Annex III characteristics

A1090 Ashes from the incineration of insulated copper wire

A1100 Dusts and residues from gas cleaning systems of copper smelters

A1110 Spent electrolytic solutions from copper electrorefining and electrowinning operations

A1120 Waste sludges, excluding anode slimes, from electrolyte purification systems in copper electrorefining and electrowinning operations

A1130 Spent etching solutions containing dissolved copper

A1140 Waste cupric chloride and copper cyanide catalysts

A1150 Precious metal ash from incineration of printed circuit boards not included on list B (²⁷)

A1160 Waste lead-acid batteries, whole or crushed

A1170 Unsorted waste batteries excluding mixtures of only list B batteries. Waste batteries not specified on list B containing Annex I constituents to an extent to render them hazardous.

A1181 Electrical and electronic waste (note the related entry Y49 in List A of Part 2 in Annex V):

A1190 Waste metal cables coated or insulated with plastics containing or contaminated with coal tar, PCB (²⁸), 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

A2010 Glass waste from cathode-ray tubes and other activated glasses

A2020 Waste inorganic fluorine compounds in the form of liquids or sludges but excluding such wastes specified on list B

A2030 Waste catalysts but excluding such wastes specified on list B

A2040 Waste gypsum arising from chemical industry processes, when containing Annex I constituents to the extent that it exhibits an Annex III hazardous characteristic (note the related entry on list B, B2080)

A2050 Waste asbestos (dusts and fibres)

A2060 Coal-fired power plant fly-ash containing Annex I substances in concentrations sufficient to exhibit Annex III characteristics (note the related entry on list B, B2050)

A3 Wastes containing principally organic constituents, which may contain metals and inorganic materials

A3010 Waste from the production or processing of petroleum coke and bitumen

A3020 Waste mineral oils unfit for their originally intended use

A3030 Wastes that contain, consist of or are contaminated with leaded anti-knock compound sludges

A3040 Waste thermal (heat transfer) fluids

A3050 Wastes from production, formulation and use of resins, latex, plasticizers, glues/adhesives excluding such wastes specified on list B (note the related entry on list B, B4020)

A3060 Waste nitrocellulose

A3070 Waste phenols, phenol compounds including chlorophenol in the form of liquids or sludges

A3080 Waste ethers not including those specified on list B

A3090 Waste leather dust, ash, sludges and flours when containing hexavalent chromium compounds or biocides (note the related entry on list B, B3100)

A3100 Waste paring and other waste of leather or of composition leather not suitable for the manufacture of leather articles containing hexavalent chromium compounds or biocides (note the related entry on list B, B3090)

A3110 Fellmongery wastes containing hexavalent chromium compounds or biocides or infectious substances (note the related entry on list B, B3110)

A3120 Fluff — light fraction from shredding

A3130 Waste organic phosphorous compounds

A3140 Waste non-halogenated organic solvents but excluding such wastes specified on list B

A3150 Waste halogenated organic solvents

A3160 Waste halogenated or unhalogenated non-aqueous distillation residues arising from organic solvent recovery operations

A3170 Wastes arising from the production of aliphatic halogenated hydrocarbons (such as chloromethane, dichloro-ethane, vinyl chloride, vinylidene chloride, allyl chloride and epichlorhydrin)

A3180 Wastes, substances and articles containing, consisting of or contaminated with polychlorinated biphenyl (PCB), polychlorinated terphenyl (PCT), polychlorinated naphthalene (PCN) or polybrominated biphenyl (PBB), or any other polybrominated analogues of these compounds, at a concentration level of 50 mg/kg or more (²⁹)

A3190 Waste tarry residues (excluding asphalt cements) arising from refining, distillation and any pyrolitic treatment of organic materials

A3200 Bituminous material (asphalt waste) from road construction and maintenance, containing tar (note the related entry on list B B2130)

A3210 Plastic 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 2)

A4 Wastes which may contain either inorganic or organic constituents

A4010 Wastes from the production, preparation and use of pharmaceutical products but excluding such wastes specified on list B

A4020 Clinical and related wastes; that is wastes arising from medical, nursing, dental, veterinary, or similar practices, and wastes generated in hospitals or other facilities during the investigation or treatment of patients, or research projects

A4030 Wastes from the production, formulation and use of biocides and phytopharmaceuticals, including waste pesticides and herbicides that are off-specification, out-dated (³⁰), or unfit for their originally intended use

A4040 Wastes from the manufacture, formulation and use of wood-preserving chemicals (³¹)

A4050 Wastes that contain, consist of or are contaminated with any of the following:

A4060 Waste oils/water, hydrocarbons/water mixtures, emulsions

A4070 Wastes from the production, formulation and use of inks, dyes, pigments, paints, lacquers, varnish excluding any such waste specified on list B (note the related entry on list B, B4010)

A4080 Wastes of an explosive nature (but excluding such wastes specified on list B)

A4090 Waste acidic or basic solutions, other than those specified in the corresponding entry on list B (note the related entry on list B, B2120)

A4100 Wastes from industrial pollution control devices for cleaning of industrial off-gases but excluding such wastes specified on list B

A4110 Wastes that contain, consist of or are contaminated with any of the following:

A4120 Wastes that contain, consist of or are contaminated with peroxides

A4130 Waste packages and containers containing Annex I substances in concentrations sufficient to exhibit Annex III hazard characteristics

A4140 Waste consisting of or containing off-specification or out-dated (³²) chemicals corresponding to Annex I categories and exhibiting Annex III hazard characteristics

A4150 Waste chemical substances arising from research and development or teaching activities which are not identified and/or are new and whose effects on human health and/or the environment are not known

A4160 Spent activated carbon not included on list B (note the related entry on list B, B2060)

List B (Annex IX to the Basel Convention)

B1 Metal and metal-bearing wastes

B1010 Metal and metal-alloy wastes in metallic, non-dispersible form:

B1020 Clean, uncontaminated metal scrap, including alloys, in bulk finished form (sheet, plate, beams, rods, etc.):

B1030 Refractory metals containing residues

B1031 Molybdenum, tungsten, titanium, tantalum, niobium and rhenium metal and metal alloy wastes in metallic dispersible form (metal powder), excluding such wastes as specified in list A under entry A1050, Galvanic sludges.

B1040 Scrap assemblies from electrical power generation not contaminated with lubricating oil, PCB or PCT to an extent to render them hazardous

B1050 Mixed non-ferrous metal, heavy fraction scrap, not containing Annex I materials in concentrations sufficient to exhibit Annex III characteristics (³³)

B1060 Waste selenium and tellurium in metallic elemental form including powder

B1070 Waste of copper and copper alloys in dispersible form, unless they contain Annex I constituents to an extent that they exhibit Annex III characteristics

B1080 Zinc ash and residues including zinc alloys residues in dispersible form unless containing Annex I constituents in concentration such as to exhibit Annex III characteristics or exhibiting hazard characteristic H4.3 (³⁴)

B1090 Waste batteries conforming to a specification, excluding those made with lead, cadmium or mercury

B1100 Metal-bearing wastes arising from melting, smelting and refining of metals:

B1115 Waste metal cables coated or insulated with plastics, not included in entry A1190, excluding those destined for Annex IVA operations or any other disposal operations involving, at any stage, uncontrolled thermal processes, such as open-burning

B1120	Spent catalysts excluding liquids used as catalysts, containing any of: — Transition Metals, excluding waste catalysts (spent catalysts, liquid used catalysts or other catalysts) on list A Scandium Vanadium Manganese Cobalt Copper Yttrium Niobium Hafnium Tungsten Titanium Chromium Iron Nickel Zinc Zirconium Molybdenum Tantalum Rhenium — Lanthanides (rare earth metals): Lanthanum Praseodymium Samarium Gadolinium Dysprosium Erbium Ytterbium Cerium Neodymium Europium Terbium Holmium Thulium Lutetium
—	Transition Metals, excluding waste catalysts (spent catalysts, liquid used catalysts or other catalysts) on list A	Scandium Vanadium Manganese Cobalt Copper Yttrium Niobium Hafnium Tungsten	Titanium Chromium Iron Nickel Zinc Zirconium Molybdenum Tantalum Rhenium
—	Lanthanides (rare earth metals):	Lanthanum Praseodymium Samarium Gadolinium Dysprosium Erbium Ytterbium	Cerium Neodymium Europium Terbium Holmium Thulium Lutetium

B1130 Cleaned spent precious-metal-bearing catalysts

B1140 Precious-metal-bearing residues in solid form, which contain traces of inorganic cyanides

B1150 Precious metals and alloy wastes (gold, silver, the platinum group, but not mercury) in a dispersible, non-liquid form with appropriate packaging and labelling

B1160 Precious-metal ash from the incineration of printed circuit boards (note the related entry on list A, A1150)

B1170 Precious-metal ash from the incineration of photographic film

B1180 Waste photographic film containing silver halides and metallic silver

B1190 Waste photographic paper containing silver halides and metallic silver

B1200 Granulated slag arising from the manufacture of iron and steel

B1210 Slag arising from the manufacture of iron and steel including slags as a source of TiO2 and vanadium

B1220 Slag from zinc production, chemically stabilized, having a high iron content (above 20 %) and processed according to industrial specifications (e.g. DIN 4301) mainly for construction

B1230 Mill scaling arising from the manufacture of iron and steel

B1240 Copper oxide mill-scale

B1250 Waste end-of-life motor vehicles, containing neither liquids nor other hazardous components

B2 Wastes containing principally inorganic constituents, which may contain metals and organic materials

B2010 Wastes from mining operations in non-dispersible form:

B2020 Glass waste in non-dispersible form:

B2030 Ceramic wastes in non-dispersible form:

B2040 Other wastes containing principally inorganic constituents:

B2050 Coal-fired power plant fly-ash, not included on list A (note the related entry on list A, A2060)

B2060 Spent activated carbon not containing any Annex I constituents to the extent that they exhibit Annex III characteristics, for example, carbon resulting from the treatment of potable water and processes of the food industry and vitamin production (note the related entry on list A, A4160)

B2070 Calcium fluoride sludge

B2080 Waste gypsum arising from chemical industry processes not included on list A (note the related entry on list A, A2040)

B2090 Waste anode butts from steel or aluminium production made of petroleum coke or bitumen and cleaned to normal industry specifications (excluding anode butts from chlor alkali electrolyses and from metallurgical industry)

B2100 Waste hydrates of aluminium and waste alumina and residues from alumina production excluding such materials used for gas cleaning, flocculation or filtration processes

B2110 Bauxite residue (‘red mud’) (pH moderated to less than 11,5 )

B2120 Waste acidic or basic solutions with a pH greater than 2 and less than 11,5 , which are not corrosive or otherwise hazardous (note the related entry on list A, A4090)

B2130 Bituminous material (asphalt waste) from road construction and maintenance, not containing tar (³⁵) (note the related entry on list A, A3200)

B3 Wastes containing principally organic constituents, which may contain metals and inorganic materials

B3011 (³⁶) Plastic waste (note the related entry A3210, in list A of this Part, and entry Y48, in list A of Part 2)

B3020 Paper, paperboard and paper product wastes The following materials, provided they are not mixed with hazardous wastes: Waste and scrap of paper or paperboard of:

B3026 The following waste from the pre-treatment of composite packaging for liquids, not containing Annex I materials in concentrations sufficient to exhibit Annex III characteristics:

B3027 Self-adhesive label laminate waste containing raw materials used in label material production

B3030 Textile wastes The following materials, provided they are not mixed with other wastes and are prepared to a specification:

B3035 Waste textile floor coverings, carpets

B3040 Rubber wastes The following materials, provided they are not mixed with other wastes:

B3050 Untreated cork and wood waste:

B3060 Wastes arising from agro-food industries provided it is not infectious:

B3065 Waste edible fats and oils of animal or vegetable origin (e.g. frying oils), provided they do not exhibit an Annex III characteristic

B3070 The following wastes:

B3080 Waste parings and scrap of rubber

B3090 Paring and other wastes of leather or of composition leather not suitable for the manufacture of leather articles, excluding leather sludges, not containing hexavalent chromium compounds and biocides (note the related entry on list A, A3100)

B3100 Leather dust, ash, sludges or flours not containing hexavalent chromium compounds or biocides (note the related entry on list A, A3090)

B3110 Fellmongery wastes not containing hexavalent chromium compounds or biocides or infectious substances (note the related entry on list A, A3110)

B3120 Wastes consisting of food dyes

B3130 Waste polymer ethers and waste non-hazardous monomer ethers incapable of forming peroxides

B3140 Waste pneumatic tyres, excluding those destined for Annex IVA operations

B4 Wastes which may contain either inorganic or organic constituents

B4010 Wastes consisting mainly of water-based/latex paints, inks and hardened varnishes not containing organic solvents, heavy metals or biocides to an extent to render them hazardous (note the related entry on list A, A4070)

B4020 Wastes from production, formulation and use of resins, latex, plasticizers, glues/adhesives, not listed on list A, free of solvents and other contaminants to an extent that they do not exhibit Annex III characteristics, e.g. water-based, or glues based on casein starch, dextrin, cellulose ethers, polyvinyl alcohols (note the related entry on list A, A3050)

Part 2

List A (Annex II to the Basel Convention)

Y46 Waste collected from households (⁴⁴)

Y47 Residues arising from the incineration of household wastes

Y48 Plastic waste, including mixtures of such waste, with the exception of the following:

Y49 Electrical and electronic waste:

List B (Waste from Appendix 4, Part II of the OECD Decision) (⁵²)

AA010	2619 00	Dross, scalings and other wastes from the manufacture of iron and steel ()
AA060	2620 50	Vanadium ashes and residues
AA190	8104 20 ex 8104 30	Magnesium waste and scrap that is flammable, pyrophoric or emits, upon contact with water, flammable gases in dangerous quantities
(¹) 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.
AB030		Wastes from non-cyanide based systems which arise from surface treatment of metals
---	---	---
AB070		Sands used in foundry operations
AB120	ex 2812 90	Inorganic halide compounds, not elsewhere specified or included
	ex 38 24
AB150	ex 3824 90	Unrefined calcium sulphite and calcium sulphate from flue gas desulphurisation (FGD)
AC060	ex 3819 00	Hydraulic fluids
---	---	---
AC070	ex 3819 00	Brake fluids
AC080	ex 3820 00	Antifreeze fluids
AC150		Chlorofluorocarbons
AC160		Halons
AC170	ex 4403 10	Treated cork and wood wastes
AD090	ex 3824 90	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 3914 00	Ion exchange resins
	ex 39 15
AD150		Naturally occurring organic material used as a filter medium (such as bio-filters)
RB020	ex 68 15	Ceramic based fibres of physico-chemical characteristics similar to those of asbestos
---	---	---

ANNEX VI

Recovery facility	Waste identification	Period of validity	Total pre-consented quantity
Name and number of the recovery facility	Address	Recovery operation(s) (+ R-code(s))	Technology employed	(code(s))	From	to	(tonnes (Mg))

ANNEX VII

ANNEX VIII

REQUEST FOR INCLUSION IN THE LIST OF COUNTRIES TO WHICH EXPORTS ARE AUTHORISED IN ACCORDANCE WITH ARTICLE 42(2)

ANNEX IX

Part 1 Union legislation designed to ensure the environmentally sound management of waste

1.Directive 2008/98/EC of the European Parliament and of the Council of 19 November 2008 on waste and repealing certain Directives (Waste Framework Directive).

2.In addition to the Waste Framework Directive, the following pieces of Union legislation, setting out requirements for waste treatment operations, are relevant for the purpose of ensuring environmentally sound management of waste:

(a) Council Directive 1999/31/EC of 26 April 1999 on the landfill of waste (⁵³),

(b) Directive 2010/75/EU of the European Parliament and of the Council of 24 November 2010 on industrial emissions.

3.The following pieces of Union legislation, which set out requirements for specific waste streams, are also relevant for the purpose of ensuring environmentally sound management of waste:

(a) European Parliament and Council Directive 94/62/EC of 20 December 1994 on packaging and packaging waste;

(b) Council Directive 96/59/EC of 16 September 1996 on the disposal of polychlorinated biphenyls and polychlorinated terphenyls;

(d) Regulation (EU) 2023/1542 of the European Parliament and of the Council of 12 July 2023 concerning batteries and waste batteries, amending Directive 2008/98/EC and Regulation (EU) 2019/1020 and repealing Directive 2006/66/EC;

(e) Directive 2012/19/EU of the European Parliament and of the Council of 4 July 2012 on waste electrical and electronic equipment (WEEE);

(f) Regulation (EU) 2019/1021 of the European Parliament and of the Council of 20 June 2019 on persistent organic pollutants.

Part 2 International guidance on environmentally sound management of waste

1.Guidelines and guidance documents adopted under the Basel Convention:

(a) Technical guidelines for the environmentally sound disposal of hazardous wastes and other wastes in specially engineered landfill (D5) (⁵⁴)

(b) Technical guidelines on the environmentally sound incineration of hazardous wastes and other wastes as covered by disposal operations D10 and R1 (⁵⁵)

(d) Technical guidelines on the environmentally sound management of biomedical and health care wastes (Y1; Y3) (⁵⁷)

(e) Technical guidelines on the environmentally sound management of waste lead acid batteries (⁵⁸)

(f) General technical guidelines for the environmentally sound management of wastes consisting of, containing or contaminated with persistent organic pollutants (⁵⁹)

(g) Technical guidelines on the environmentally sound management of wastes consisting of, containing or contaminated with 1,1,1 trichloro 2,2 bis (4 chlorophenyl) ethane (DDT) (⁶⁰)

(h) Technical guidelines on the environmentally sound management of wastes consisting of, containing or contaminated with hexabromocyclododecane (HBCD) (⁶¹)

(i) Technical guidelines on the environmentally sound management of wastes consisting of, containing or contaminated with perfluorooctane sulfonic acid (PFOS), its salts and perfluorooctane sulfonyl fluoride (PFOSF) perfluorooctanoic acid (PFOA), its salts and PFOA-related compounds and perfluorohexane sulfonic acid (PFHxS), its salts and PFHxS-related compounds (⁶²)

(j) Technical guidelines on the environmentally sound management of wastes consisting of, containing or contaminated with pentachlorophenol and its salts and esters (PCP) (⁶³)

(k) Technical guidelines on the environmentally sound management of wastes consisting of, containing or contaminated with the pesticides aldrin, alpha hexachlorocyclohexane, beta hexachlorocyclohexane, chlordane, chlordecone, dicofol, dieldrin, endrin, heptachlor, hexachlorobenzene, hexachlorobutadiene, lindane, mirex, pentachlorobenzene, pentachlorophenol and its salts, perfluorooctane sulfonic acid, its salts and perfluorooctane sulfonyl fluoride, technical endosulfan and its related isomers or toxaphene or with hexachlorobenzene as an industrial chemical (POP Pesticides) (⁶⁴)

(l) Technical guidelines on the environmentally sound management of wastes consisting of, containing or contaminated with polychlorinated biphenyls, polychlorinated terphenyls, polychlorinated naphthalenes or polybrominated biphenyls including hexabromobiphenyl (PCBs, PCTs, PCNs or PBBs, including HBB) (⁶⁵)

(m) Technical guidelines on the environmentally sound management of wastes consisting of, containing or contaminated with hexabromodiphenyl ether and heptabromodiphenyl ether, or tetrabromodiphenyl ether and pentabromodiphenyl ether or decabromodiphenyl ether (POP-BDEs) (⁶⁶)

(n) Technical guidelines for the environmentally sound management of wastes containing or contaminated with unintentionally produced polychlorinated dibenzo-p-dioxins, polychlorinated dibenzofurans, hexachlorobenzene, polychlorinated biphenyls, pentachlorobenzene, polychlorinated naphthalenes or hexachlorobutadiene (⁶⁷)

(o) Technical guidelines on the environmentally sound management of wastes consisting of, containing or contaminated with hexachlorobutadiene (⁶⁸)

(p) Technical guidelines on the environmentally sound management of wastes consisting of, containing or contaminated with short-chain chlorinated paraffins (⁶⁹)

(q) Technical guidelines on the environmentally sound management of plastic wastes (⁷⁰)

(r) Technical guidelines for the environmentally sound management of used and waste pneumatic tyres (⁷¹)

(s) Technical guidelines for the environmentally sound management of wastes consisting of, containing or contaminated with mercury or mercury compounds (⁷²)

(t) Technical guidelines for the environmentally sound co-processing of hazardous wastes in cement kilns (⁷³)

(u) Guidance document on the environmentally sound management of used and end-of-life computing equipment (⁷⁴)

(v) Guidance document on environmentally sound management of used and end-of-life mobile phones (⁷⁵)

(w) Framework for the environmentally sound management of hazardous wastes and other wastes (⁷⁶)

(x) Practical manuals for the promotion of the environmentally sound management of wastes (⁷⁷)

2.Guidelines adopted by the OECD:

(a) Technical guidance for the environmentally sound management of specific waste streams: Used and scrap personal computers (⁷⁸)

ANNEX X

Part A

Detailed requirements for third parties conducting audits

1.A third party conducting audits in accordance with Article 46 shall be considered independent from the notifier or person who arranges the shipment as well as from the audited facility if it is documented that:

(a) it is not a part of or under control of these entities;

(b) it has established and operates procedures guaranteeing its impartiality, including: (i) assessment of risks of its impartiality on an ongoing basis; (ii) identification, elimination and mitigation of risks to impartiality resulting from financial, commercial and other types of pressure; (iii) assessment of risk of its impartiality resulting from relationships of its personnel;

(c) it is structured and managed in a way ensuring its independence and impartially, including: (i) it is clearly identifiable within the legal entity, if the legal entity conducts also activities not related to inspections; (ii) it has reporting rules on the performed audit activity; (iii) its personnel has clearly identifiable responsibilities with respect to conducting audits.

2.A third party conducting audits in accordance with Article 46 shall be considered to have appropriate qualifications in the area of audits and waste treatment if it has a sufficient number of qualified personnel, directly or via subcontracting, that is regularly trained and if its personnel involved in conducting such audits has documented professional experience in the following areas:

(a) conducting audits of facilities treating waste;

(b) waste treatment operations;

3.In order to demonstrate compliance with the criteria referred to in paragraphs 1 and 2, a third party conducting audits could refer to its certification with Union or internationally recognised standards relevant for the conduct of audits as defined in Article 46, such as ISO standard 19011:2018 or ISO/IEC standard 17020:2012.

Part B

Criteria designed to demonstrate that a facility manages waste exported from the Union in an environmentally sound manner

1.The audit referred in Article 46(3) shall verify that the facility managing the waste in the country of destination in its actual operations complies with the following conditions:

(a) it is authorised by its competent authorities to import and treat this waste (evidence to be provided notably through production of corresponding permits or licences) and is carrying out its activities in accordance with relevant applicable domestic legislation on environmental protection;

(b) it is designed, constructed and operated in a safe and environmentally sound manner and, in particular, it has the required processes, appropriate waste management technology, organisation and infrastructure in place to treat the waste in question, and insurances covering potential risks and liabilities. To this end, as a minimum, information on the waste treatment methods, including how residual waste is treated, notably through downstream traceability, must be checked;

(c) it establishes and operates management and monitoring systems, procedures and techniques that have the purpose of preventing, reducing, minimising and to the extent practicable eliminating: (i) health and safety risks to workers concerned and to the population in the vicinity of the facility; and (ii) adverse effects on the environment caused by its activities (in particular through adequate measures taken to monitor and address soil, water and air pollution, and other nuisances (odour, noise));

(d) it ensures the traceability of all waste received and treated at the facility, including ensuring that all residual waste generated from their activities are documented and are only transferred to waste management facilities that are authorised to treat such residual waste. To this end, as a minimum, information shall be checked on: — the quantity of waste that the facility is entitled to treat according to its permit/licences, — the quantity of waste that the facility receives and recovers annually, — the quantity of residual waste generated from their activities, as well as evidence that this residual waste is treated in an authorised waste treatment facility, including in the case of export;

(e) it has taken measures designed to save energy and limit the emissions of greenhouse gases linked to its activities;

(f) it establishes and is able to provide records of its waste management activites and import and export of waste for the last five years; if a facility has operated for less than five years, it establishes and is able to provide records of its waste management and waste shipment activities for the time it has operated;

(g) it has not been convicted of having carried out illegal activities linked to import and export of waste or waste management in the last five years;

(h) it has established internal reporting channels and procedures for internal reporting and for follow-up, which enable the facility’s workers to report information on breaches of rules relating to adverse effects on the environment if required by the legislation of the country of destination.

2.Upon verifying compliance of a facility against the above criteria, the independent third party performing the audit shall in particular take into account, as a point of reference and where relevant:

(a) specific requirements for the treatment of certain waste, including as referred to in Part 1 of Annex IX, and on the calculation of the quantity of waste treated, which are mandatory under Union legislation;

(b) the Best Available Techniques conclusions adopted for certain activities under the regime of Directive 2010/75/EU of the European Parliament and of the Council of 24 November 2010 on industrial emissions (⁷⁹).

3.In addition, the guidelines referred to in Part 2 of Annex IX shall also be taken into consideration as points of reference.

ANNEX XI

ADDITIONAL QUESTIONNAIRE FOR MEMBER STATES REPORTING OBLIGATION PURSUANT TO ARTICLE 73(2)

ANNEX XII

ANNEX XIII

Regulation (EC) No 1013/2006	This Regulation
Article 1(1)	Article 1
Article 1(2) to (5)	Article 2
Article 2, points (1), (2), (4), (6), (7a), (9), (10), (12) and (13)	Article 3, second subparagraph
Article 2, point (3)	Article 3, point (1)
Article 2, point (5)	Article 3, point (2)
Article 2, point (7)	Article 3, point (3)
Article 2, point (8)	Article 3, point (4)
Article 2, point (14)	Article 3, point (5)
Article 2, point (15)	Article 3, point (6)
—	Article 3, point (7)
Article 2(11)	Article 3, point (8)
Article 2, point (16)	Article 3, point (9)(b)
Article 2, point (17)	Article 35(1)
Article 2, point (18)	Article 3, point (9)
Article 2, point (19)	Article 3, point (10)
Article 2, point (20)	Article 3, point (11)
Article 2, point (21)	Article 3, point (12)
Article 2, point (22)	Article 3, point (13)
Article 2, point (23)	Article 3, point (14)
Article 2, point (24)	Article 3, point (15)
Article 2, point (25)	Article 3, point (16)
Article 2, point (26)	Article 3, point (17)
Article 2, point (27)	Article 3, point (18)
Article 2, point (28)	Article 3, point (19)
Article 2, point (29)	Article 3, point (20)
Article 2, point (30)	Article 3, point (21)
Article 2, point (31)	Article 3, point (22)
Article 2, point (32)	Article 3, point (23)
Article 2, point (33)	Article 3, point (24)
Article 2, point (34)	Article 3, point (25)
Article 2, point (35)	Article 3, point (26)
Article 2, point (35a)	Article 3, point (27)
—	Article 3, points (28), (29) and (30)
Article 3	Article 4
Article 4	Article 5
Article 5	Article 6
Article 6	Article 7
Article 7(1) and 7(2), second and third subparagraphs	—
Article 7(2), first subparagraph, and (4) and Article 8	Article 8
Article 7(3) and 9	Article 9
Article 10	Article 10
Article 11	Article 11
Article 12	Article 12
Article 13	Article 13
Article 14	Article 14
Article 15	Article 15
Article 16	Article 16
Article 17	Article 17
Article 18	Article 18
Article 19	Article 19
Article 20	Article 20
Article 21	Article 21
Article 22	Article 22
—	Article 23
Article 23	Article 24
Article 24	Article 25
Article 25	Article 26
Article 26	Article 27
Article 27	Article 28
Article 28	Article 29
Article 29	Article 30
Article 30	Article 31
—	Article 32
—	Article 33
Article 31	Article 34
Article 32	Article 35
Article 33	Article 36
Article 34	Article 37
Article 35	Article 38
Article 36	Article 39
Article 37	Articles 40-43
Article 38	Article 44
—	Article 45
—	Article 46
—	Article 47
Article 39	Article 48
Article 40	Article 49
Article 41	Article 50
Article 42	Article 51
Article 43	Article 52
Article 44	Article 53
Article 45	Article 54
Article 46	Article 56
Article 47	Article 57
Article 48	Article 58
Article 49(1) and (2)	Article 59
Article 49(3)	Article 55
Article 50(1)	Article 63
Article 50(2) and (3)	Article 60
Article 50(2a)	Article 62
Article 50(4) to (4e)	Article 61
—	Article 64
Article 50(5) to (7)	Article 65
—	Article 66
—	Article 67
—	Article 68
—	Article 69
—	Article 70
—	Article 71
—	Article 72
Article 51	Article 73(1) to (4), first and fourth subparagraph
—	Article 73(4), second and third subparagraphs, and (5)
Article 52	Article 74
Article 53	Article 75
Article 54	Article 76
Article 55	Article 77
Article 56	Article 78
Article 57	—
Article 58	Article 79
Article 58a	Article 80
Article 59a	Article 81
—	Article 82
—	Article 83
Article 60	Article 84
Articles 61 and 62	Article 85
Article 63	—
Article 64	Article 86
Annex IA, IB and IC	Annex IA, IB and IC
Annex II	Annex II
Annex III	Annex III
Annex IIIA	Annex IIIA
Annex IIIB	Annex IIIB
Annex IV	Annex IV
Annex IVA	—
Annex V	Annex V
Annex VI	Annex VI
Annex VII	Annex VII
—	Annex VIII
—	Annex IX, Part 1
Annex VIII	Annex IX, Part 2
—	Annex X
Annex IX	Annex XI
—	Annex XII
—	Annex XIII