Legal provisions of COM(2021)709 - Shipments of waste

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dossier COM(2021)709 - Shipments of waste.
document COM(2021)709 EN
date April 11, 2024



Title I
General Provisions

Contents

Article 1 - Subject matter

This Regulation lays down measures to protect the environment and human health by preventing or reducing the adverse impacts which may result from the shipment of waste. It establishes procedures and control regimes for the shipment of waste, depending on the origin, destination and route of the shipment, the type of waste shipped and the type of treatment to be applied to the waste at its destination.

Article 2 - Scope

1. This Regulation shall apply to:

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

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

(c)shipments of waste exported from the Union to third countries;

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

2. This Regulation shall not apply to:

(a)the offloading to shore of waste, including waste water and residues, generated by the normal operation of ships and offshore platforms, provided that such waste is subject to the requirements of the International Convention for the Prevention of Pollution from Ships or other binding international instruments;

(b)waste generated on board vehicles, trains, aeroplanes and ships, until the first stop, station, airport or harbour in the Union where the vehicle, train, aeroplane or ship respectively stays for a duration long enough to allow for the offloading of the waste in order to be recovered or disposed of;

(c)shipments of radioactive waste as defined in Article 5 of Council Directive 2006/117/Euratom 54 ;

(d)shipments of animal by-products and derived products as defined in Article 3(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 Annex to Commission Decision 2000/532/EC 55 ;

(e)shipments of the waste referred to in Article 2(1), point (e), and Article 2(2), points (a), (d) and (e), of Directive 2008/98/EC, where such shipments are already covered by other Union legislation;

(f)shipments of waste from the Antarctic into the Union which are in accordance with the requirements of the Protocol on Environmental Protection to the Antarctic Treaty 56 ;

(g)shipments of CO2 for the purposes of geological storage in accordance with Directive 2009/31/EC of the European Parliament and of the Council 57 ;

(h)ships flying the flag of a Member State falling within the scope of Regulation (EU) No 1257/2013, with the exception of ships becoming waste in an area under the national jurisdiction of a Member State, to which Article 36, Title VII and Title VIII apply; 

3. For imports of waste generated by armed forces or relief organisations in situations of crisis, peacemaking or peacekeeping operations where such waste is shipped, by those armed forces or relief organisations concerned or on their behalf, directly or indirectly to the country of destination, only Article 48(6) shall apply.

4. Shipments of waste from the Antarctic to third countries, which transit through the Union, shall be subject to Articles 36 and 56.

5. For shipments of waste exclusively within a Member State, only Article 33 shall apply.

Article 3 - Definitions

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

(1) ‘mixture of wastes’ means waste that results from an intentional or unintentional mixing of two or more different wastes, which are listed in different entries in Annexes III, IIIB and IV, or, where applicable, in different indents or sub-indents of such entries. 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 of the disposal operations under D 13 to D 15 referred to in Annex I to Directive 2008/98/EC;

(3) ‘interim recovery’ means any of the recovery operations under R 12 and R 13 referred to 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 and the environment against adverse effects which may result from such waste; 

(5) ‘consignee’ means the person or undertaking 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 natural or legal person under the national jurisdiction of that Member State who plans or carries out a shipment of waste and to whom the duty to notify is assigned, and who is listed below:

(i) the original waste producer;

(ii) the new waste producer who carries out operations prior to shipment,

(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 categories specified in points (i), (ii) or (iii); 

(v) where all of the persons specified above, are unknown or insolvent, the waste holder;

(b)in the case of 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 plans or carries out a shipment of waste or intends to have, or who has had, a shipment of waste 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) ‘collector’ means any natural or legal person carrying out waste collection as defined in Article 3, point (10), of Directive 2008/98/EC.

(8) ‘competent authority’ means:

(a)in the case of a Member State, the body designated by the Member State concerned in accordance with Article 71;

(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 shipments of waste for recovery or disposal, or transit, as the case may be;

(9) ‘competent authority of dispatch’ means the competent authority for the area from which the shipment is planned to be initiated or is initiated;

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

(11) ‘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 planned or takes place;

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

(13) ‘country of destination’ means any country to which a shipment of waste is planned or takes place 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;

(14) ‘country of transit’ means any country, other than the country of dispatch or destination, through which a shipment of waste is planned or takes place;

(15) ‘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;

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

(17) ‘customs office of export’ means customs office of export as defined in Article 1, point (16), of Commission Delegated Regulation (EU) 2015/2446 58 ;

(18) ‘customs office of exit‘ means customs office of exit as determined in accordance with Article 329 of Commission Implementing Regulation (EU) 2015/2447 59 ;

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

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

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

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

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

(24) ‘shipment’ means the transport of waste destined for recovery or disposal from the point of loading until the waste is recovered or disposed of in the country of destination, which is planned to take place, or takes place:

(a)between a country and another country;

(b)between a country and overseas countries and territories or other areas, 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 the same country; or

(g)from a geographic area not under the national jurisdiction of any country, to a country;

(25) ‘illegal shipment’ means any shipment of waste effected:

(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 or movement documents;

(e)in a way which results in recovery or disposal in contravention of Union or international rules;

(f)contrary to Articles 11, 34, 36, 37, 42, 44, 45, 46 or 47; 

(g)in a way which, in relation to shipments of waste as referred to in Article 4(3) and (5), results in any of the following:

(i) the waste not being listed in Annex III, Annex IIIA or Annex IIIB,

(ii) non-compliance with Article 4(5), 

(iii) non-compliance with Article 18;

(26) ‘inspection’ means an action undertaken by an authority to ascertain whether an establishment, an undertaking, a broker, a dealer, a shipment of waste or the related recovery or disposal complies with the requirements set out in this Regulation;

(27) ‘waste hierarchy’ means waste hierarchy as referred to in Article 4 of Directive 2008/98/EC.

In addition, the definitions of ‘waste’, ‘hazardous waste’, ‘treatment’, ‘disposal’, ‘recovery’, ‘preparing for re-use’, ‘re-use’, ‘recycling’, ‘waste producer’, ‘waste holder’, ‘dealer’ and ‘broker’ laid down in Article 3, points (1), (2), (14), (19), (15), (16), (13), (17), (5), (6), (7) and (8) respectively of Directive 2008/98/EC shall apply.


Title II
Shipments within the Union with or without transit through third countries

Article 4 - Overall procedural framework

1. Shipments of all wastes destined for disposal are prohibited, except if explicitly authorised in accordance with Article 11. In order to obtain authorisation in accordance with Article 11 for a shipment of waste destined for disposal, the procedure of prior written notification and consent laid down in Chapter 1 shall apply. 

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

(a)wastes listed in Annex IV;

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

(c)mixtures of wastes, unless listed in Annex IIIA.

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

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

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

4. Shipments of waste explicitly destined for laboratory analysis or experimental treatment trials to assess either its physical or chemical characteristics or to determine its suitability for recovery or disposal operations shall be subject to the general information requirements laid down in Article 18 where all of the following conditions are fulfilled:

(a)the amount of waste does not exceed the quantity reasonably needed to perform the analysis or trial in each particular case;

(b)the amount of waste does not exceed 150 kg or any higher amount agreed on a case-by-case basis by the competent authorities concerned and the notifier.

5. Paragraph 2 shall apply to shipments of mixed municipal waste collected from private households, from other waste producers or from both, as well as to mixed municipal waste which has been subject to a waste treatment operation that has not substantially altered its properties, where such waste is destined for recovery operations. Shipments of such waste destined for disposal shall be prohibited. 

Chapter 1
Prior written notification and consent

Article 5 - Notification

1. Only notifiers that have received a permit or are registered in accordance with Chapter IV of Directive 2008/98/EC may submit a prior written notification (‘notification’).

Where those notifiers intend to ship waste referred to in Article 4(1) or (2), they shall submit a notification to all competent authorities concerned.

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

Where a shipment is destined to a pre-consented facility pursuant to Article 14, the procedural requirements in paragraphs 6, 8 and 9 of that Article shall apply.

2. The notification shall include the following documents:

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

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

The notifier shall provide the information in the notification document and, when available, the information in the movement document.

When the notifier is not the original waste producer 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, points (6)(a)(ii) or (iii), also signs the notification document.

3. The notification document or annex thereto, shall contain the information and documentation as listed in Part 1 of Annex II. The movement document or an annex thereto, shall contain the information and documentation referred to in Part 2 of Annex II, when available.

4. A notification shall be considered properly carried out when the competent authority of dispatch is satisfied that the notification document and movement document have been completed in accordance with paragraph 3.

5. Where requested by any of the competent authorities concerned, the notifier shall supply additional information and documentation. A list of additional information and documentation that may be requested is set out in Part 3 of Annex II.

A notification shall be considered properly completed when the competent authority of destination is satisfied that the notification document and the movement document that have been properly carried out in accordance with paragraph 3, have been completed with any additional information and documentation as listed in Part 3 of Annex II.

6. Evidence of the contract concluded in accordance with Article 6 or a declaration certifying its existence in accordance with Annex IA shall be provided to the competent authorities concerned at the time of notification.

7. A declaration that a financial guarantee or equivalent insurance has been established in accordance with Article 7 shall be provided by the notifier through completion of the appropriate part of the notification document.

The financial guarantee or equivalent insurance as referred to in Article 7 or, if the competent authorities concerned so allow, a declaration certifying its existence in accordance with 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 first subparagraph, the evidence referred to in that subparagraph may, where the concerned competent authorities so allow, be provided after the notification is submitted, but at the latest before the shipment starts.

8. The notification shall cover the shipment of waste from its initial place of dispatch and including its interim and non-interim recovery or disposal.

Where subsequent interim or non-interim recovery or disposal operations take place in a country other than the first country of destination, the non-interim operation and its destination shall be indicated in the notification and Article 15(6) shall apply.

Only one waste identification code shall be covered for each notification. Where wastes are not classified under one single entry in Annex III, Annex IIIB or Annex IV, also only one waste identification code shall be covered for each notification.

Where mixtures of wastes are not classified under one single entry in Annex III, Annex IIIB or Annex IV but they are listed in Annex IIIA, the code for each fraction of the waste shall be specified in order of importance.

Article 6 - Contract

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

2. The contract shall be concluded and effective at the time of notification and for the duration of the shipment until a certificate is issued in accordance with Article 15(5), Article 16(4), or, where appropriate, Article 15(4).

3. The contract shall include obligations:

(a)on the notifier to take the waste back if the shipment or the recovery or disposal has not been completed as intended or if it has been effected as an illegal shipment, in accordance with Article 22 and Article 24(2);

(b)on the consignee to recover or dispose of the waste if it has been effected as an illegal shipment, in accordance with Article 24(4);

(c)on the facility where the waste is recovered or disposed of, to provide, in accordance with Article 16(4), a certificate that the waste has been recovered or disposed of, in accordance with the notification and the conditions specified therein and the requirements of this Regulation.

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

(a)on the consignee to provide, in accordance with Article 15(4) and, where appropriate, Article 15(5), the certificate(s) from the facility or facilities carrying out the non-interim recovery or disposal operation(s), that all waste received in accordance with the notification and the conditions specified therein and the requirements of 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(6), point (b).

5. Where the waste is shipped between two establishments under the control of the same legal entity, the contract referred to in paragraph 1 may be replaced by a declaration by that legal entity. That declaration shall cover the obligations referred to in paragraph 3.

Article 7 - Financial guarantee or equivalent insurance

1. All shipments of waste for which notification is required shall be subject to the requirement of a financial guarantee or equivalent insurance, covering all the following costs:

(a)costs of transport;

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

(c)costs of storage for 90 days.

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

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

(b)cases where a shipment or the recovery or disposal is illegal, as referred to in Article 24.

3. The financial guarantee or equivalent insurance shall be established by the notifier or by another natural or legal person on its behalf and shall be effective at the time of the notification or, if the competent authority which approves the financial guarantee or equivalent insurance so allows, at the latest when the shipment starts. The financial guarantee or equivalent insurance shall apply to the notified shipment at the latest when the shipment starts.

4. The competent authority of dispatch shall approve the financial guarantee or equivalent insurance, including the form, wording and amount of the cover.

In cases of import into the Union, the competent authority of destination in the Union shall also review the amount of the cover and, if necessary, approve an additional financial guarantee or equivalent insurance.

5. The financial guarantee or equivalent insurance shall be valid for and cover a notified shipment and completion of recovery or disposal of the notified waste.

The financial guarantee or equivalent insurance shall be released when the competent authority concerned has received the certificate referred to in Article 16(4) or, where appropriate, the certificate referred to in Article 15(5) as regards interim recovery operations or disposal operations.

6. By way of derogation from paragraph 5, where the waste shipped is destined for interim recovery operations or disposal operations and a further recovery operation or disposal operation takes place in the country of destination, the financial guarantee or equivalent insurance may be released when the waste leaves the interim facility and the competent authority concerned has received the certificate referred to in Article 16(4). In that case, any further shipment to a recovery or disposal facility shall be covered by a new financial guarantee or equivalent insurance unless the competent authority of destination is satisfied that such a financial guarantee or equivalent insurance is not required. In those circumstances, the competent authority of destination shall be responsible for obligations arising in the case of take-back where the shipment or the further recovery or disposal operation cannot be completed as intended, as referred to in Article 22, or in the case of an illegal shipment, as referred to in Article 24.

7. The competent authority within the Union which has approved the financial guarantee or equivalent insurance shall have access to that guarantee or insurance and shall make use of the funding, including for the purpose of payments to other authorities concerned, in order to meet the obligations arising in accordance with Articles 23 and 25.

8. In the case of a general notification pursuant to Article 13, a financial guarantee or equivalent insurance covering parts of the general notification may be established, instead of one covering the entire general notification. In such cases, the financial guarantee or equivalent insurance shall apply to the notified shipment which it covers at the latest at the start of that shipment.

9. The financial guarantee or equivalent insurance referred to in the paragraph1 shall be released when the competent authority concerned has received the certificate referred to in Article 16(4) or, where appropriate, in Article 15(5) as regards interim recovery or disposal operations for the relevant waste. Paragraph 6 shall apply mutatis mutandis.

10. The Commission shall, at the latest by [OP: Please insert date of two years after the date of entry into force of this Regulation], assess the feasibility of establishing a harmonised calculation method for determining the amount of financial guarantees or equivalent insurances and, if appropriate, adopt an implementing act to establish such a harmonised calculation method. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 77(2).

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

Article 8 - Requests for information and documentation by the competent authorities concerned

1. If the notification is not properly carried out as referred to in Article 5(4), the competent authority of dispatch shall request information and documentation from the notifier in accordance with Article 5(3).

The request for information and documentation referred to in the first subparagraph shall be sent to the notifier within three working days after submission of the notification.

2. The notifier shall provide the information and documentation referred to in paragraph 1 within seven days after the request by the competent authority of dispatch.

3. Where the competent authority of dispatch considers that the notification is still not properly carried out as referred to in Article 5(3) after the requested information and documentation have been added to the notification, or where no information has been provided by the notifier pursuant to paragraph 2, it shall decide that the notification is not valid and shall not be further processed.

The competent authority of dispatch shall inform the notifier and the other competent authorities concerned of the decision referred to in the first subparagraph, within seven days after the requested information and documentation have been added to the notification or where no information has been provided by the notifier pursuant to paragraph 2.

4. Where the notification has been properly carried out, as referred to in Article 5(3), the competent authority of dispatch shall immediately inform the notifier and other competent authorities concerned thereof. 

Where any of the competent authorities concerned considers that additional information and documentation is required to complete the notification as referred to in Article 5(4), it shall, within three working days after receipt of the information as referred to in the first subparagraph, request such information and documentation from the notifier and inform the other competent authorities of that request.

5. The notifier shall provide the information and documentation referred to in paragraph 4 within seven days after the request by the competent authority concerned.

Where any of the competent authorities considers that the notification is still not completed, or the notifier does not provide the requested information, within the deadline set out in the first subparagraph, the competent authority concerned shall, within three working days after the expiry of the deadline set out in the first subparagraph, decide that the notification is not valid and shall not be further processed.

If no decision as referred to in the second subparagraph has been taken within the deadline set, the notification shall be considered completed.

The concerned competent authority shall immediately inform the notifier and the other concerned competent authorities of the decision referred to in the second subparagraph.

6. Where, within 30 days after the submission of the notification, the competent authority of dispatch has not acted in accordance with paragraph 3 or paragraph 4, first subparagraph, it shall provide the notifier with a motivated explanation upon request.

Where, within 30 days after the submission of the notification, a competent authority has not acted under paragraph 4, second subparagraph, or paragraph 5, and has not consented to a shipment pursuant to Article 11(2) or has objected to a shipment pursuant to Article 12 for reasons relating to the notification not being complete as referred to in Article 5(4), it shall provide the notifier with a motivated explanation upon request.

Article 9 - Consents by the competent authorities and time periods for transport, recovery or disposal

1. The competent authorities of destination, dispatch and transit shall take, within 30 days after the submission of the notification, one of the following duly motivated decisions as regards the notified shipment:

(a)consent without conditions;

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

(c)objections in accordance with Article 12.

Tacit consent by the competent authorities of dispatch and transit may be assumed if no objection is lodged within the 30-day time limit referred to in the first subparagraph. That tacit consent shall be valid for the period referred to in the written consent given by the competent authority of destination.

2. The competent authorities of destination, and, where appropriate, dispatch and transit, shall transmit their decision and the reasons thereof to the notifier within the 30-day time limit referred to in paragraph 1. That decision shall be available to all competent authorities concerned.

Where, within 30 days after submission of the notification, the competent authority of destination has not taken a decision under paragraph 1, it shall provide the notifier with a motivated explanation upon request.

3. A written consent to a planned shipment shall expire on the later date as indicated in the notification document. It shall not cover a period of more than one calendar year or any shorter period as indicated in their decision by the competent authorities concerned.

4. The planned shipment may take place only after fulfilment of the requirements set out in Article 16(1), points (a) and (b), and during the period of validity of the tacit or written consent of all competent authorities concerned. A shipment shall have left the country of dispatch by the end of the period of validity of the tacit or written consents of all competent authorities concerned. 

5. The recovery or disposal of waste in relation to a planned shipment shall be completed no later than one calendar year after the receipt of the waste by the facility that recovers or disposes of the shipped waste, unless a shorter period is indicated by the competent authorities concerned in their decision.

6. The competent authorities concerned shall withdraw their tacit or written consent 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 performs the recovery operation or disposal operation;

(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 on, or annexed to, the notification and movement documents. 

7. Any withdrawal of consent shall be transmitted by means of official notice to the notifier, the competent authorities concerned and the consignee.

Article 10 - Conditions for a shipment

1. The competent authorities of dispatch, destination and transit may, within the 30-day time limit referred to in Article 9(1), lay down conditions for their consent to a notified shipment. Such conditions shall be based on one or more of the grounds listed in Article 12.

2. The competent authorities of dispatch, destination and transit may also, within the 30-day time limit referred to in Article 9(1), lay down conditions in respect of the transport of waste within their national jurisdiction. Such transport conditions shall not be more stringent than those laid down in respect of similar shipments occurring wholly within their national jurisdiction and shall take due account of existing agreements, in particular relevant international agreements.

3. The competent authorities of dispatch, destination and transit may also, within the 30-day time limit referred to in Article 9(1), lay down a condition that their consent is to be considered withdrawn if the financial guarantee or equivalent insurance is not applicable at the latest when the notified shipment starts, as required by Article 7(3).

4. Conditions shall be specified in, or annexed to, the notification document by the competent authority that lays them down.

5. The competent authority of destination may also, within the 30-day time limit referred to in Article 9(1), lay down a condition that the facility which receives the waste shall keep a regular record of inputs, outputs and/or balances for wastes and the related recovery operations or disposal operations as specified in the notification, and for the period of validity of the notification. Such records shall be signed by a person legally responsible for the facility and shall be sent to the competent authority of destination within one month of completion of the notified recovery operation or disposal operation.

Article 11 - Prohibition of shipments of waste destined for disposal

1. Where a notification is submitted regarding a planned shipment of waste destined for disposal in accordance with Article 5, the competent authorities of dispatch and of destination shall only give their written consent to that shipment, within the 30-day limit referred to in Article 9(1), if 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 in 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 at Union and national levels as laid down in Directive 2008/98/EC;

(b)the notifier or the consignee has previously not been convicted of illegal shipment or any other illegal act in relation to environmental protection;

(c)the notifier or the facility has not failed to comply with Articles 15 and 16 in connection with past shipments of waste;

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

(e)the waste concerned will be treated in accordance with legally binding environmental protection standards in relation to disposal operations established in Union legislation, 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;

(f)the waste is not mixed municipal waste (waste code 20 03 01 or 20 03 99) collected from private households, from other waste producers or both, or mixed municipal waste which has been subject to a waste treatment operation that has not substantially altered its properties.

2. The competent authorities of transit shall only give their consent to that shipment, within the 30-day limit referred to in Article 9(1), if the conditions set out in paragraph 1, points (b), (c) and (d), of this Article are fulfilled.

3. Where the competent authorities concerned have not authorised a planned shipment of waste destined for disposal within the 30-day time limit referred to in Article 9(1), the notification of that shipment shall cease to be valid and the shipment shall be prohibited in accordance with Article 4(1). In cases where the notifier still intends to carry out the shipment, a new notification shall be submitted, unless all the competent authorities concerned and the notifier agree otherwise.

4. Consents by competent authorities in accordance with paragraph 1 shall immediately be notified to the Commission which shall inform the other Member States thereof.

Article 12 - Objections to shipments of waste destined for recovery

1. Where a notification is submitted regarding a planned 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 motivated objections based on one or more of the following grounds: 

(a)the planned 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, respectively, pursuant to Articles 28 and 29 of Directive 2008/98/EC;  

(c)the planned 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 planned shipment or recovery would not be in accordance with national legislation in the country of dispatch relating to the recovery of waste, including where the planned 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 that Union legislation have been introduced in national legislation transposing such Union legislation;

(ii) the recovery operation in the country of destination takes place under conditions that are broadly 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 60 , 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 established that such shipments would result in domestic waste having to be disposed of or treated in a way that is not consistent with their waste management plans;

(f)the notifier or the consignee has previously been convicted of illegal shipment or any other illegal act in relation to environmental protection.

(g)the notifier or the facility has repeatedly failed to comply with Articles 15 and 16 in connection with past shipments;

(h)the planned shipment or recovery conflicts with obligations resulting from international conventions concluded by the Member State(s) 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 planned for shipment is destined for disposal and not for recovery;

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

2. The competent authorities of transit may, within the 30-day time limit referred to in paragraph 1, raise motivated objections to the planned shipment of waste destined for recovery based only on the grounds set out in paragraph 1, points (c), (f), (g) and (h), of this Article.

3. Where, within the 30-day time limit referred to in paragraph 1, the competent authorities consider that the problems which gave rise to their objections have been resolved, they shall immediately inform the notifier thereof. 

4. Where the problems giving rise to the objections are not resolved within the 30-day time limit referred to in paragraph 1, the notification of the shipment of waste destined for recovery shall cease to be valid. In cases where the notifier still intends to carry out the shipment, a new notification shall be submitted, unless all the competent authorities concerned and the notifier agree otherwise.

5. Objections raised by competent authorities on the grounds set out in paragraph 1, points (d) and (e), of this Article shall be reported by Member States to the Commission in accordance with Article 68.

6. The competent authority of dispatch shall inform the Commission and the other Member States of the national legislation on which objections raised by competent authorities in accordance with paragraph 1, points (d) and (e), may be based, and shall state to which waste and waste recovery operations those objections apply, before such legislation is invoked as grounds for a motivated objection.

Article 13 - General notification

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

(a)the waste contained in the different shipments 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 routing of the different shipments, in particular the points of exit from and entry into each country concerned, as indicated in the notification document is the same. 

2. Where, owing to unforeseen circumstances, the same routing cannot be followed for all shipments, the notifier shall inform the competent authorities concerned by the general notification as soon as possible and before the shipments start where the need for modification is already known.

Where the routing modification is known before the shipments start and involves competent authorities other than those concerned by the general notification, the general notification may not be used and a new notification shall be submitted in accordance with Article 5.

3. The competent authorities concerned may make their agreement to the use of a general notification subject to the subsequent provision of additional information and documentation, in accordance with Article 5(3) and (4).

Article 14 - Pre-consented recovery facilities

1. A legal or natural person owning or exercising control over a recovery facility may submit a request for that facility to be pre-consented to the competent authority which has jurisdiction over the facility, as designated pursuant to Article 71.

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

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

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

(c)a description of technologies employed, including R-code(s), for the recovery operation for which the pre-consent is requested;

(d)the wastes for which the pre-consent is requested, as listed in Annex IV to this Regulation or, where relevant, in the Annex to Decision 2000/532/EC;

(e)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;

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

(g)evidence or attestation that the legal or natural person owning or exercising control over the facility has not been convicted of illegal shipment or any other illegal act in relation to waste management.

3. The Commission is empowered to adopt delegated acts in accordance with Article 76 to amend paragraph 2 as regards the information to be included in the request. 

4. The procedure referred to in paragraphs 5 to 10 of this Article shall apply to pre-consent a facility for which a request was submitted in accordance with paragraph 1.

5. The competent authority shall, within 45 days after the date of receipt of the request referred to in paragraph 1, assess the request and decide whether to approve it; 

6. Where the legal or natural person referred to in paragraph 1 has provided all the information referred to in paragraph 2, the competent authority shall approve the request and issue a pre-consent for the facility concerned. The pre-consent may contain conditions relating to the duration of the pre-consent, the types and quantities of waste covered by the pre-consent, the technologies used or other conditions necessary to ensure that the waste is managed in an environmentally sound manner.

7. By way of derogation from paragraph 6, the competent authority may refuse to approve the request for pre-consent when they are not satisfied that issuing the pre-consent will ensure a high quality treatment of the waste concerned.

8. The decision to approve or refuse the request for pre-consent shall be communicated to the legal or natural person that submitted the request as soon as it is taken by the competent authority and shall be duly motivated.

9. Unless stated otherwise in the decision to approve the request for pre-consent, the pre-consent of a recovery facility shall be valid for seven years.

10. A pre-consent of a recovery facility may be revoked at any time by the competent authority. A decision to revoke a pre-consent shall be duly motivated and communicated to the facility concerned.

11. The legal or natural person referred to in paragraph 1 shall immediately inform the competent authority concerned of any change in the information referred to in paragraph 2. The competent authority concerned shall duly take those changes into account when assessing the request for pre-consent and, if necessary, update the pre-consent.

12. In the case of a general notification submitted in accordance with Article 13 relating to shipments destined to a pre-consented facility, the period of validity of the consent referred to in Article 9(3) and (4) shall be extended to three years. By way of derogation from this rule, the competent authorities concerned may decide to shorten that period in duly justified cases.

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

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

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

(c)the wastes as listed in Annex IV or the wastes to which the pre-consent applies;

(d)the total pre-consented quantity;

(e)the period of validity;

(f)any change in the pre-consent;

(g) any change in the information notified;

(h)any revocation of the pre-consent.

14. By way of derogation from Articles 8, 9, 10 and 12, the consent given in accordance with Article 9(1), the conditions imposed in accordance with Article 10 or the objections raised in accordance with Article 12 by all the competent authorities concerned in respect to a notification for shipments destined to a pre-consented facility shall be subject to a time limit of seven working days after receipt of the information as referred to in Article 8(4),first subparagraph.

15. If one or more competent authorities wish to request additional information in accordance with Article 8(4), second subparagraph, in relation to a notification for shipments to a pre-consented facility, the time periods mentioned in that subparagraph, as well as in Article 8(5), first and second paragraphs, shall be shortened to one day for Article 8(4), second subparagraph, and Article 8(5), second subparagraph, and two days for Article 8(5), first subparagraph, respectively.

16. Notwithstanding paragraph 14, the competent authority of destination may decide that more time is needed in order to receive further information or documentation from the notifier.

In such cases, that competent authority shall, within seven working days of receipt of the information as referred to in the first subparagraph of Article 8(4), inform the notifier.

The total time needed to take one of the decisions as referred to in Article 9(1) shall not exceed 30 days following the date of submission of the notification in accordance with Article 5.

Article 15 - Additional provisions regarding interim recovery operations and interim disposal operations

1. Where a shipment of waste is destined for an interim recovery operation or an interim disposal operation, all the facilities where subsequent interim as well as non-interim recovery operations and interim disposal operations are envisaged shall also be indicated in the notification document in addition to the initial interim recovery operation or interim disposal operation.

2. The competent authorities of dispatch and destination may give their consent to a shipment of waste destined for an interim recovery operation or interim disposal operation only if there are no grounds for objection, in accordance with Article 12, to the shipment(s) of waste to the facilities performing any subsequent interim or non-interim recovery operations or interim disposal operations.

3. Within one day of the receipt of the waste by the facility which carries out the interim recovery operation or interim disposal operation, that facility shall provide confirmation to the notifier that the waste has been received. This confirmation shall be supplied on, or annexed to, the movement document.

4. As soon as possible, but no later than 30 days after completion of the interim recovery operation or interim disposal operation, and no later than one calendar year, or the shorter period referred to in Article 9(5), after the receipt of the waste, the facility carrying out this operation shall, under its responsibility, provide a certificate that the operation has been completed. 

That certificate shall be submitted and contained in, or annexed to, the movement document.

5. When a recovery or disposal facility which carries out an interim recovery operation or interim disposal operation delivers the waste for any subsequent interim or non-interim recovery or disposal operation to a facility located in the country of destination, it shall obtain as soon as possible and no later than one calendar year, or the shorter period referred to in Article 9(5), after delivery of the waste a certificate from that facility that the subsequent non-interim recovery or disposal operation has been completed. 

The said facility that carries out an interim recovery or disposal operation shall promptly transmit, the relevant certificates to the notifier and the competent authorities concerned, identifying the shipments to which the certificates pertain.

6. When a delivery as described in paragraph 5 is made to a facility located in the initial country of dispatch or in another Member State, a new notification shall be required in accordance with this Regulation

7. When a delivery as described in paragraph 5 is made to a facility in a third country, a new notification shall be required in accordance with this Regulation and the provisions concerning the competent authorities concerned shall also apply to the initial competent authority of the initial country of dispatch.

Article 16 - Requirements following consent to a shipment

1. After consent has been given to a notified shipment by the competent authorities concerned, all undertakings involved shall complete, the movement document, or, in the case of a general notification, the movement documents at the points indicated. They shall ensure that the information in the movement document is made electronically available, including during the time of the transport, to the relevant authorities.

2. When the notifier has received written consent from the competent authorities of dispatch, destination and transit or may assume tacit consent in relation to the competent authorities of dispatch and transit, he or she shall provide the actual date of shipment and complete the movement document to the extent possible, at least one working day before the shipment starts.

3. The facility shall, within one day of receipt of the waste, provide confirmation to the notifier and the relevant authorities that the waste has been received.

4. The facility carrying out a non-interim recovery operation or disposal operation shall, as soon as possible and no later than 30 days after completion of that operation, and no later than one calendar year, or the shorter period referred to in Article 9(5), after receipt of the waste, certify, under its responsibility, that the non-interim recovery or disposal has been completed.

5. The certificate referred to in paragraph 4, shall be submitted to the notifier and the relevant authorities, either by the facility carrying out the operation, or, in case it has no access to a system as referred to in Article 26, via the notifier.

Article 17 - Changes in the shipment after consent

1. If any essential change is made to the details and/or conditions of the consented shipment, the notifier shall inform, the competent authorities concerned and the consignee immediately and, where possible, before the shipment starts. Changes in the intended quantity, route, routing, date of shipment or carrier shall constitute essential changes.

2. In cases of essential changes referred to in paragraph 1, a new notification shall be submitted, unless all the competent authorities concerned indicate, that the proposed changes do not require a new notification.

3. Where essential changes referred to in paragraph 1 involve competent authorities other than those concerned in the original notification, a new notification shall be submitted.


Chapter 2

Article 18 - General information requirements

1. Waste referred to in Article 4(3) and (4) that is intended to be shipped shall be subject to the general information requirements set out in paragraphs 2 to 7 of this Article.

2. The person under the national jurisdiction of the country of dispatch who arranges the shipment shall complete and submit the relevant information contained in Annex VII, no later than one day before the shipment takes place.

3. The person referred to in paragraph 2 shall ensure that the information referred to in that paragraph is made electronically available, including during the time of the transport, to the relevant authorities. 

4. The recovery facility or the laboratory and the consignee or, in case they have no access to a system referred to in Article 26, the person referred to in paragraph 2 shall, within one day of receipt of the waste, provide confirmation to the notifier and the relevant authorities that the waste has been received by completing the relevant information contained in Annex VII.

5. The recovery facility shall, as soon as possible and no later than 30 days after completion of the recovery operation, and no later than one calendar year after receipt of the waste, certify, under its responsibility, that the recovery has been completed by completing the relevant information contained in Annex VII.

6. The person referred to in paragraph 2 shall immediately inform the competent authority of dispatch in case a shipment has been prevented from import into the country of destination, rejected by the consignee or cannot be completed as originally intended.

7. The contract referred to in Annex VII between the person who arranges the shipment and the consignee for recovery of the waste shall be effective when the shipment starts. Where the shipment of waste or its recovery cannot be completed as intended or where it has been effected as an illegal shipment, that contract shall include an obligation on the person who arranges the shipment or, where that person is not in a position to complete the shipment of waste or its recovery, on the consignee, to take the waste back or ensure its recovery in an alternative way; and to provide, if necessary, for its storage in the meantime.

8. The person who arranges the shipment or the consignee shall provide a copy of the contract referred to in paragraph 7 to the competent authority concerned upon its request.

9. The information required in Annex VII shall be available for inspection, enforcement, planning and statistical purposes by Member States and the Commission, in accordance with Article 26 and national legislation. 

10. The information referred to in paragraph 2 shall be treated as confidential where this is required by Union or national legislation.

11. Where the waste is shipped between two establishments under the control of the same legal entity, the contract referred to in paragraph 7 may be replaced by a declaration by that legal entity. That declaration shall cover mutatis mutandis the obligations referred to in paragraph 7.


Chapter 3
Mixing waste, documentation and access to information

Article 19 - Prohibition on mixing waste during shipment

From the start of the shipment to the receipt of the waste in 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.

Article 20 - Keeping of documents and information

1. The competent authorities, the notifier, the consignee and the facility which receives the waste shall keep all documents sent to or by the competent authorities in relation to a notified shipment in the Union for at least five years from the date when the shipment starts. In the case of general notifications in accordance with Article 13, that obligation shall apply from the date when the last shipment starts.

2. Information given pursuant to Article 18(1) shall be kept in the Union for at least five years from the date when the shipment starts, by the person who arranges for the shipment, the consignee and the facility which receives the waste.

Article 21 - Public access to notifications

The competent authorities of dispatch or destination shall make publicly available by appropriate means information on notifications of shipments they have consented or objected to, as well as on shipments of waste subject to the general information requirements, where such information is not confidential under national or Union legislation.

Chapter 4
Take-back obligations

Article 22 - Take-back when a shipment cannot be completed as intended

1. Where any of the competent authorities concerned becomes aware that a shipment of waste, including its recovery or disposal, cannot be completed as intended in accordance with the terms of the notification and movement documents and/or contract referred to Article 6, it shall immediately inform the competent authority of dispatch thereof. Where a recovery or disposal facility rejects a shipment received, it shall immediately inform the competent authority of destination.

2. The competent authority of dispatch shall ensure that, except in cases referred to in paragraph 3, the waste in question is taken back to its area of jurisdiction or elsewhere within the country of dispatch by the notifier. The competent authority of dispatch shall identify the notifier following the order indicated in Article 3, point (6). Where that is not possible, that competent authority itself or a natural or legal person on its behalf shall comply with the provisions of this Article.

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

3. The take-back obligation set out in paragraph 2 shall not apply if the competent authorities of dispatch, transit and destination involved are satisfied that the waste can be recovered or disposed of in an alternative way in the country of destination or elsewhere by the notifier or, if that is not possible, by the competent authority of dispatch or by a natural or legal person on its behalf.

The take-back obligation set out in paragraph 2 shall not apply if the waste shipped has, in the course of the operation at the facility concerned, been irreversibly mixed with other waste 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 shall be recovered or disposed of in an alternative way in accordance with the first subparagraph of this paragraph.

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

A new notification, where appropriate, shall be submitted by the initial notifier or, if that is not possible, by any other natural or legal persons identified in accordance with Article 3, point (6) following the order indicated in that provision, or, if that is also impossible, 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 or to the related recovery and disposal operation.

5. In cases of alternative arrangements outside the initial country of destination as referred to in paragraph 3, a new notification, where appropriate, shall be submitted by the initial notifier or, if that is not possible, by any other natural or legal persons identified in accordance with Article 3, point (6) following the order indicated in that provision,  or, if that is also impossible, by the initial competent authority of dispatch or by a natural or legal person on its behalf.

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

6. In cases of alternative arrangements in the initial country of destination as referred to in paragraph 3, a new notification shall not be required and a duly motivated request shall suffice. Such a duly motivated request, seeking agreement to the alternative arrangement, shall be submitted to the competent authority of destination and dispatch by the initial notifier or, if that is not possible, to the competent authority of destination by the initial competent authority of dispatch.

7. If no new notification is to be submitted in accordance with paragraphs 4 or 6, a new movement document shall be completed in accordance with Article 15 or Article 16 by the initial notifier or, if that is not possible, by any other natural or legal persons identified in accordance with Article 3, point (6) following the order indicated in that provision or, if that is also not possible, by the initial competent authority of dispatch or by a natural or legal person on its behalf.

Where a new notification is submitted by the initial competent authority of dispatch in accordance with paragraphs 4 or 5, a new financial guarantee or equivalent insurance shall not be required. Subject to the agreement of all competent authorities concerned, the movement document for the initial shipment may be used for the take-back.

8. The obligation of the notifier and the subsidiary obligation of the country of dispatch to take the waste back or arrange for alternative recovery or disposal shall end when the facility issues the certificate of non-interim recovery or disposal referred to in Article 16(4), or, where appropriate, in Article 15(5). In the case of interim recovery or disposal referred to in Article 7(6), the subsidiary obligation of the country of dispatch shall end when the facility issues the certificate referred to in Article 15(4).

Where a facility issues a certificate of recovery or disposal in such a way that it results in an illegal shipment, with the consequence that the financial guarantee is released, Article 24(4) and Article 25(2) shall apply.

9. Where waste from a shipment which cannot be completed, including its recovery or disposal, is discovered within a Member State, the competent authority with jurisdiction over the area where the waste was discovered shall be responsible for ensuring that arrangements are made for the safe storage of the waste pending its return or non-interim recovery or disposal in an alternative way.

10. Where a notifier specified in Article 3, point (6)(a)(iv), fails to fulfil any of the take-back obligations set out in this Article and Article 23, the original waste producer, the new waste producer or the collector specified in Article 3, points (6)(a)(i), (ii) or (iii), respectively who authorised the dealer or broker to act on its behalf shall be deemed to be the notifier for the purposes of those take-back obligations.

Article 23 - Costs for take-back when a shipment cannot be completed

1. Costs arising from the return of waste from a shipment that cannot be completed, including costs of its transport, 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 its recovery or disposal cannot be completed, storage costs pursuant to Article 22(9) shall be charged in accordance with the following order: 

(a)to the notifier following the order of the list in Article 3, point (6); or, if that is not possible to the person referred to in point (b);

(b)to other natural or legal persons as appropriate; or, if that is also impossible to the person referred to in point (c);

(c)to the competent authority of dispatch; or, if that is also impossible in accordance with point (d);

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

2. This Article shall be without prejudice to Union and national provisions concerning liability.

Article 24 - Take-back when a shipment is illegal

1. Where a competent authority discovers a shipment that it considers to be an illegal shipment, it shall immediately inform the other competent authorities concerned.

2. Where the responsibility of an illegal shipment can be imputed to the notifier, the competent authority of dispatch shall ensure that the waste in question is:

(a)taken back by the notifier de facto, in order to arrange for its disposal or recovery; or, if no notification has been submitted, in accordance with point (b);

(b)taken back by the notifier de jure in order to arrange for its disposal or recovery; or, if that is not possible, in accordance with point (c);

(c)taken back 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; or, if that is also impossible, in accordance with point (d);

(d)alternatively recovered or disposed of in the country of destination or dispatch by the competent authority of dispatch itself or by a natural or legal person on its behalf; or, if that is also impossible, in accordance with point (e);

(e)alternatively recovered or disposed of in another country by the competent authority of dispatch itself or by a natural or legal person on its behalf if all the competent authorities concerned agree.

The take-back, 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 after the competent authority of dispatch becomes aware of or has been advised by the competent authorities of destination or transit of the illegal shipment and informed of the reasons therefor. Such advice may result from information submitted to the competent authorities of destination or transit, inter alia, by other competent authorities.

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

The new notification shall be submitted by the person or authority listed in the first subparagraph, points (a), (b) or (c), and in accordance with that order.

The competent authorities shall not oppose or object to the return of waste of an illegal shipment. In the case of alternative arrangements as referred to in the first subparagraph, points (d) and (e), by the competent authority of dispatch, a new notification shall be submitted by the initial competent authority of dispatch or by a natural or legal person on its behalf unless the competent authorities concerned agree that a duly motivated request by that authority is sufficient.

3. Where a notifier specified in Article 3, point (6)(a)(iv), fails to fulfil any of the take-back obligations set out in this Article and Article 25, the original waste producer, the new waste producer or the collector specified in Article 3, points (6)(a)(i), (ii) or (iii), respectively who authorised that dealer or broker to act on its behalf shall be deemed to be the notifier for the purposes of those take-back obligations.

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

(a)by the consignee; or, if that is not possible, in accordance with point (b);

(b)by 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 after 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 reason(s) therefore. 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.

5. Where no new notification is to be submitted, a new movement document shall be completed in accordance with Articles 15 or 16 by the person responsible for take-back or, if that is not possible, by the initial competent authority of dispatch.

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

6. In cases where responsibility for the illegal shipment cannot be imputed to either the notifier or the consignee, the competent authorities concerned shall cooperate to ensure that the waste in question is recovered or disposed of.

7. In case of interim recovery or disposal referred to in Article 7(6) where an illegal shipment is discovered after completion of the interim recovery operation or interim disposal operation, the subsidiary obligation of the country of dispatch to take the waste back or arrange for alternative recovery or disposal shall end when the facility has issued the certificate referred to in Article 15(4).

Where a facility issues a certificate of recovery or disposal in such a way that it results in an illegal shipment, with the consequence that the financial guarantee is released, paragraph 4 of this Article and Article 25(2) shall apply.

8. Where the waste of an illegal shipment is discovered within a Member State, the competent authority with jurisdiction over the area where the waste was discovered shall be responsible for ensuring that arrangements are made for the safe storage of the waste pending its return or non-interim recovery or disposal in an alternative way.

9. Articles 34 and 36 shall not apply in cases where illegal shipments are returned to the country of dispatch and that country of dispatch is a country covered by the prohibitions set out in those Articles.

10. In the case of an illegal shipment referred to in Article 3, point (25)(g), the person who arranges the shipment shall be subject to the same obligations set out in this Article as the notifier.

11. This Article shall be without prejudice to Union and national provisions concerning liability.

Article 25 - Costs for take-back when a shipment is illegal

1. Costs arising from the take-back of waste of an illegal shipment, including costs of its transport, recovery or disposal pursuant to Article 24(2) and, as of the date on which the competent authority of dispatch becomes aware that a shipment is illegal, storage costs pursuant to Article 24(8), shall be charged to:

(a)the notifier de facto, as referred to in Article 24(2), point (a) as identified following the order indicated in Article 3, point (6); or, if no notification has been submitted, in accordance with point (b);

(b)the notifier de jure or other natural or legal persons as appropriate; or, if that is not possible, in accordance with point (c);

(c)the competent authority of dispatch.

2. Costs arising from recovery or disposal pursuant to Article 24(4), including possible transport and storage costs pursuant to Article 24(7), shall be charged to the consignee; or, if that is not possible, to the competent authority of destination.

3. Costs arising from recovery or disposal pursuant to Article 24(6), including possible transport and storage costs pursuant to Article 24(8), shall be charged to:

(a)the notifier, as identified in accordance with the ranking established in Article 3, point (6), and/or the consignee, depending upon the decision by the competent authorities concerned; or, if that is not possible, in accordance with point (b);

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

(c)the competent authorities of dispatch and destination.

4. In the case of an illegal shipment referred to in Article 3, point (25)(g), the person who arranges the shipment shall be subject to the same obligations set out in this Article as the notifier.

5. This Article shall be without prejudice to Union and national provisions concerning liability.


Chapter 5
General administrative provisions

Article 26 - Electronic submission and exchange of information

1. The following information and documents shall be submitted and exchanged via electronic means, either via the central system referred to in paragraph 2, or via a national system in accordance with paragraph 3:

(a)For waste as referred to in Article 4(1) and (2):

(i) notification of a planned shipment pursuant to Articles 5 and 13;

(ii) request for information and documentation pursuant to Articles 5 and 8;

(iii) submission of information and documentation pursuant to Articles 5 and 8;

(iv) information and decisions pursuant to Article 8;

(v) consent to a notified shipment and if applicable, the official notice of a withdrawal thereof pursuant to Article 9;

(vi) conditions for a shipment pursuant to Article 10;

(vii) objections in case the conditions in Article 11(2) are not fulfilled;

(viii) 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(11) and (15);

(xi) confirmation of receipt of the waste pursuant to Articles 15 and 16;

(xii) certificate for recovery or disposal of the waste pursuant to Articles 15 and 16;

(xiii) prior information regarding the actual start of the shipment pursuant to Article 16;

(xiv) the documents to accompany each transport in accordance with Article 16;

(xv) information on changes in the shipment after consent pursuant to Article 17;

(xvi) if feasible, consents and movement documents to be sent pursuant toTitles IV, V and VI;


(b)For waste referred to in Article 4(3), the information and documentation required under Article 18.

2. The Commission shall operate a central system that allows for the electronic submission and exchange of information and documents referred to in paragraph 1. That central system shall provide a hub that shall be used for the exchange in real time of the information and documents referred to in paragraph 1 between existing national systems for electronic data interchange.

That central system shall also be used by the competent authorities of the Member States that have not set up a national system for electronic data interchange, to submit and exchange directly, by electronic means, the information and documents referred to in paragraph 1.

That central system shall also provide for its interoperability with the environment for electronic freight transport information established under Regulation (EU) 2020/1056 of the European Parliament and of the Council 61 .

Within four years after adoption of the implementing act referred to in paragraph 4, that central system shall provide for its interoperability with the EU single window environment for customs.

3. Member States may operate their own national systems but shall ensure that those systems are interoperable with the central system referred to in paragraph 2, are operated in accordance with the requirements and rules laid down in the implementing acts adopted by the Commission pursuant to paragraph 4 and exchange information and documents with the central system in real time.

4. At the latest by [OP: Please insert the date of 12 months following the date of entry into force of this Regulation], the Commission shall adopt implementing acts to establish:

(a)the requirements necessary for interoperability between the central system referred to in paragraph 2 and national systems, including a data model and a protocol for data exchange;

(b)any other technical and organisational requirements, including on security aspects and data governance, which are necessary for the practical implementation of the electronic submission and exchange of information and documents referred to in paragraph 1.

Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 77(2).

Article 27 - Language

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

2. The notifier shall provide the competent authorities concerned with authorised translations of the documents referred to in paragraph 1 into a language which is acceptable to them, where they so request.

Article 28 - Disagreement on classification issues

1. When deciding whether an object or substance resulting from a production process the primary aim of which is not the production of that object or substance shall be considered to be waste, Member States shall base their decision on the conditions laid down in Article 5 of Directive 2008/98/EC.  

When deciding whether waste which has undergone a recycling or other recovery operation shall be considered to have ceased to be waste, Member States shall base their decision on the conditions laid down in Article 6 of Directive 2008/98/EC.

If the competent authorities of dispatch and of destination cannot agree on the classification as regards the distinction between waste and non-waste, the object or substance shall be treated as if it were waste for the purpose of the shipment. This shall be without prejudice to the right of the country of destination to deal with the shipped material in accordance with its national legislation, following arrival of the shipped material and where such legislation is in accordance with Union or international law.

2. If the competent authorities of dispatch and of destination cannot agree on the classification of a waste as being listed in Annex III, Annex IIIA, Annex IIIB or Annex IV, or not listed in any of those Annexes, the shipment of that waste shall be subject to Article 4(1) and (2).

3. If the competent authorities of dispatch and of destination cannot agree on the classification of the waste treatment operation notified as being recovery or disposal, the provisions of this Regulation regarding disposal shall apply.

4. In order to facilitate the harmonised classification of waste listed in Annex III, Annex IIIA, Annex IIIB or Annex IV in the Union, the Commission is empowered to adopt delegated acts in accordance with Article 76 to supplement this Regulation by establishing criteria, such as contamination thresholds, on the basis of which certain wastes shall be classified in Annex III, IIIA, IIIB or IV.

The Commission is also empowered to adopt delegated acts in accordance with Article 76 to supplement this Regulation by establishing criteria to distinguish between used goods and waste, for specific categories of commodities for which this distinction is of particular importance for the export of waste from the Union.

   Article 29
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 authorities concerned to the notifier.

Article 30 - Border-area agreements

1. In exceptional cases, and where the specific geographical or demographical situation warrants such a step, Member States may conclude bilateral agreements making the notification procedure for shipments of specific flows of waste less stringent in respect of cross-border shipments to the nearest suitable facility located in the border area between the two Member States concerned.

2. The bilateral agreements referred to in paragraph 1 may also be concluded where waste is shipped from and treated in the country of dispatch but transits another Member State.

3. Member States may also conclude bilateral agreements referred to in paragraph 1 with countries that are parties to the Agreement on the European Economic Area.

4. The agreements referred to in this Article shall be notified to the Commission before they take effect.

Chapter 6
Shipments within the Union with transit via third countries

Article 31 - Shipments of waste destined for disposal

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

(a)where the third country is a Party to the Basel Convention, within 60 days, unless it has waived this right in accordance with the terms of that Convention; or

(b)where the third country is not a Party to the Basel Convention, within a period agreed between the competent authorities.

Article 32 - Shipments of waste destined for recovery

1. When a shipment of waste takes place within the Union with transit via one or more third countries to which the Decision of the Council on the Control of Transboundary Movements of Wastes Destined for Recovery Operations (‘the OECD Decision’) does not apply, and the waste is destined for recovery, Article 31 shall apply.

2. When a shipment of waste takes place within the Union, including shipments between localities in the same Member State, with transit via one or more third countries to which the OECD Decision applies, and the waste is destined for recovery, the consent referred to in Article 9 may be provided tacitly, and if no objection has been raised or no conditions have been specified, the shipment may start 30 days after the date of submission of the notification by the notifier in accordance with Article 5.

Title III
Shipments exclusively within a Member State

Article 33 - Regime for shipments exclusively within a Member State

1. Member States shall establish an appropriate regime for the supervision and control of shipments taking place exclusively within their national jurisdiction. That regime shall take account of the need for coherence with the Union system established by Titles II and VII.

2. Member States shall inform the Commission of their regime for supervision and control of shipments of waste. The Commission shall inform the other Member States thereof.


Title IV
Exports from the Union to third countries

Chapter 1
Exports of waste for disposal

Article 34 - Prohibition of exports

1. Exports from the Union of waste destined for disposal are prohibited.

2. The prohibition in paragraph 1 shall not apply to exports of waste destined for disposal to EFTA countries which are also Parties to the Basel Convention.

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

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

(b)where the conditions laid down in Article 11(2) 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 56 in the country of destination.

4. The prohibition paragraph 1 shall not apply to waste that is subject to a take-back obligation pursuant to Articles 22 or 24.

Article 35 - Procedures for exports to EFTA countries

1. Where waste is exported from the Union to an EFTA country that is a Party to the Basel Convention and destined for disposal in that country, the provisions of Title II shall apply mutatis mutandis, with the adaptations and additional provisions set out in paragraphs 2 and 3.

2. The following adaptations shall apply:

(a)the notifier shall submit in accordance with Article 26 the notification request and the information and documentation in accordance with Article 5(3), and at the same time, provide it by post, fax or email with digital signature, to the competent authorities concerned in the countries of transit and destination outside the Union, unless those authorities are connected to the central system referred to in Article 26(2);

(b)the notifier shall submit in accordance with Article 26 any additional information  and documentation in accordance with Article 5(4), and at the same time, provide it by post, fax or email with digital signature, to the competent authorities concerned in the countries of transit and destination outside the Union, unless those authorities are connected to the central system referred to in Article 26(2);

(c)the competent authority of dispatch shall inform the competent authorities concerned in the countries of transit and destination outside the Union of any request for information and documentation from its side and of its decision regarding the planned shipment, by post, fax or email with digital signature, unless those competent authorities are connected to the central system referred to in Article 26(2);

(d)the competent authority of transit outside the Union shall have 60 days after the date of transmission of its acknowledgement of receipt of the 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;

(e)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 the competent authority of transit outside the Union, and not earlier than 61 days after the date of transmission of the acknowledgement of receipt of the notification by the competent authority of transit, unless the competent authority of dispatch has the written consent of the other competent authorities concerned, in which case it may take the decision as referred to in Article 9 before that time limit.

3. The following additional provisions shall apply:

(a)the competent authority of transit in the Union shall send an acknowledgment of receipt of the notification to the notifier and copies to the other competent authorities concerned;

(b)the competent authorities of dispatch and, where appropriate, the competent authorities of transit in the Union shall ensure that the customs office of export and the customs office of exit are informed 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, fax or email with digital signature, or, where the customs office of export has access to it, via the central system referred to in Article 26(2);

(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;

(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 calendar 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 26.

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

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

(b)environmentally sound management of the waste as referred to in Article 56, is ensured.

5. Where waste is exported, it shall be destined for disposal operations within a facility which, under applicable national law, is operating or is authorised to operate in the country of destination.

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

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

(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.


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 36 - Prohibition of exports

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

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

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

(c)wastes listed in Part 2 of Annex V to this Regulation;

(d)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;

(e)mixtures of hazardous wastes and mixtures of hazardous wastes with non-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;

(f)wastes that the country of destination has notified as hazardous under Article 3 of the Basel Convention;

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

(h)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 56, in the country of destination concerned; 

(i)waste referred to in Article 4(5).

2. Paragraph 1 shall not apply to waste that is subject to a take-back obligation pursuant to Articles 22 or 24.

3. Member States may, in exceptional cases, provide, on the basis of documentary evidence provided by the notifier, that a specific hazardous waste listed in Annex V to this Regulation or in the list of waste referred to in Article 7 of Directive 2008/98/EC is excluded from the export prohibition referred to in paragraph 1, where it does not display any of the properties listed in Annex III to Directive 2008/98/EC, taking into account the criteria and applicable cut-off values and concentration limits for the classification of waste as hazardous as specified that Annex. Where a hazardous property of a waste has been assessed by a test and by using the concentrations of hazardous substances as indicated in Annex III to Directive 2008/98/EC, the results of the test shall prevail.

4. The fact that waste is not listed as hazardous in Annex V or in the list of waste as referred to in Article 7 of Directive 2008/98/EC, or that it is listed in Part 1, List B of Annex V, shall not preclude, in exceptional cases, characterisation of such waste as hazardous and therefore subject to the export prohibition if it displays any of the properties listed in Annex III to Directive 2008/98/EC, taking into account the criteria and applicable cut-off values and concentration limits for the classification of waste as hazardous, specified therein. Where a hazardous property of a waste has been assessed by a test and by using the concentrations of hazardous substances as indicated in Annex III to Directive 2008/98/EC, the results of the test shall prevail.

5. In the cases referred to in paragraphs 3 and 4, the Member State concerned shall inform the envisaged country of destination prior to taking a decision to consent to planned shipments to that country. Member States shall notify such cases to the Commission before the end of each calendar year. The Commission shall forward that information to all Member States and to the Secretariat of the Basel Convention. On the basis of the information provided, the Commission may make comments and, where appropriate, adapt Annex V to this Regulation in accordance with Article 72.

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

Article 37 - Prohibition of exports

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

(a)waste listed in Annex III, Annex IIIA or Annex IIIB;

(b)non-hazardous waste 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.

2. Paragraph 1 shall not apply to exports of waste destined for recovery to a country included in the list of countries established in accordance with Article 38 for the waste specified in that list.

Such export may only take place on the condition that the waste is destined to a facility licensed under the domestic legislation of the country concerned, to undertake recovery operations for that waste. In addition, such export shall be subject to the general information requirements laid down in Article 18 or, in case the country concerned so indicates in the request referred to in Article 39, the procedure of prior written notification and consent referred to in Article 35.

Article 38 - Establishment of a list of countries to which exports of non-hazardous waste from the Union for recovery are authorised

1. The Commission is empowered to adopt a delegated act in accordance with Article 76 to supplement this Regulation by establishing a list of countries to which the OECD Decision does not apply and to which exports of non-hazardous waste from the Union for recovery are authorised (“list of countries to which exports are authorised”). This list shall include countries which have submitted a request pursuant to Article 39(1) and have demonstrated compliance with the requirements set out in Article 39(3), based on an assessment carried out by the Commission pursuant to Article 40.

2. The list referred to in paragraph 1 shall include the following information: 

(a)the name of the countries to which export of non-hazardous waste from the Union for recovery is authorised;

(b)the specific waste(s) 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 referred to in point (b);

(d)where available, information on any specific control procedure applying under the domestic legislation of each country referred to in point (a) to the import of the waste(s) referred to in point (b), including an indication of whether such import is subject to the procedure of prior written notification and consent referred to in Article 35.

3. The list referred to in paragraph 1 shall be adopted by [OP Please insert the date 30 months after the date of entry into force of this Regulation], unless no country submits a request pursuant to Article 39(1) or no country complies with the requirements set out in Article 39(3) at that time.

By [OP Please insert the date three months after the date of entry into force of this Regulation], 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 [OP Please insert the date 30 months after the date of entry into force of this Regulation], the countries to which the OECD Decision does not apply shall submit their request pursuant to Article 39(1) by [OP Please insert the date 9 months after the date of entry into force of this Regulation].

4. The Commission shall regularly, and at least every two years following its establishment, update the list of countries to which exports are authorised, in order to: 

(a)add a country whose inclusion is decided in accordance with paragraph 1;

(b)remove a country which ceases to comply with the requirements set out in Article 39;

(c)update the information referred to in paragraph 2, points (b), (c) and (d), based on a request received from the country concerned and, if that request concerns the addition of new waste, provided that the country concerned has demonstrated compliance with the requirements set out in Article 39 with respect to the new waste in question;

(d)include or remove any other element relevant to ensure that the list contains accurate and updated information.

5. In the event of any change to the information provided to the Commission under Article 39(3), the countries included in the list referred to in paragraph 1 shall provide an update of the information specified in the form set out in Annex VIII, together with relevant supporting evidence without delay.

The countries included in the list referred to in paragraph 1 shall in any case, on the fifth year after their initial inclusion, provide to the Commission an update of the information specified in the form set out in Annex VIII, together with relevant supporting evidence.

After receiving information and evidence referred to in the first and second subparagraphs of this paragraph, the Commission may request additional information from the country concerned to demonstrate that it continues to comply with the requirements set out in Article 39.

6. Where information becomes available which shows in a plausible manner that the requirements set out in Article 39 are no longer fulfilled for a country which is already included in the list referred to in paragraph 1, the Commission shall invite that country to provide its views on that information, within a maximum period of two months from its invitation to provide comments, together with relevant supporting evidence demonstrating continued compliance with those requirements. That period may be extended by an additional period of two months where the country concerned makes a reasoned request for such extension.

7. Where the country concerned does not provide its views and the requested supporting evidence within the time limit referred to in the first subparagraph of this paragraph, or where the provided evidence is insufficient to demonstrate continued compliance with the requirements set out in Article 39, the Commission shall remove that country from the list without undue delay.

8. The Commission may at any time contact a country included in the list referred to in paragraph 1 to obtain information which is relevant to ensure that this country continues to comply with the requirements set out in Article 39.

Article 39 - Requirements for inclusion in the list of countries to which exports are authorised 

1. Countries to which the OECD Decision does not apply and which intend to receive certain waste referred to in Article 37(1) from the Union for recovery shall submit a request to the Commission indicating their willingness to receive that waste and to be included in the list referred to in Article 38. Such request and all related documentation or other communication shall be provided in English language.

2. The request referred to in paragraph 1 shall be submitted using the form set out in Annex VIII and shall contain all the information specified therein. 

3. The country making the request shall demonstrate that it has put in place and implements all necessary measures to ensure that the waste concerned will be managed in an environmentally sound manner as referred to in Article 56.

To this 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)amount of total waste generated in the country on a yearly basis, as well as the amount of waste(s) covered by the scope of this request (“waste concerned by the request”), and estimations on how these amounts would develop in the next 10 years;

(ii)an estimation of the country’s current treatment capacity for waste in general, as well as an estimation of the country’s treatment capacity for the waste(s) concerned by the request, and an evaluation of how these capacities would develop in the next 10 years;

(iii)the proportion of domestic waste that is separately collected, as well as any objectives and measures to increase this rate in the future;

(iv)an indication of the proportion of the domestic waste concerned 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 amount 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 or licensing systems for waste treatment facilities;

(ii)permitting or licensing 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 56;

(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 waste shipment;

(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 waste shipment, 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 cases of infringements of the relevant domestic rules.

Article 40 - Assessment of the request for inclusion in the list of countries to which exports are authorised

1. The Commission shall assess the requests submitted pursuant to Article 39 without undue delay and, if it is satisfied that the requirements set out in that Article are complied with, it shall include the country making the request in the list of countries to which exports are authorised. The assessment shall be based on the information and supporting evidence provided by the country making the request, as well as other relevant information, and aim to determine if the country making the request has put in place and implements all necessary measures to ensure that the waste concerned will be managed in an environmentally sound manner as referred to in Article 56. In order to perform this assessment, the Commission shall use, as points of reference, the relevant provisions in the legislation and guidance referred to in Annex IX.

2. Where, during the course of its assessment, the Commission considers that the information provided by the country making the request is incomplete or insufficient to demonstrate compliance with the requirements set out in Article 39, it shall give that country an opportunity to provide additional information within a maximum period of three months. That period may be extended by an additional period of three months where the requesting country makes a reasoned request for such extension.

3. Where the country making the request does not provide the additional information within the time limit referred to in paragraph 2 of this Article, or where the provided additional information is still considered to be incomplete or insufficient to demonstrate compliance with the requirements set out in Article 39, the Commission shall inform without undue delay the country making the request that it cannot be included in the list of countries to which exports are authorised and that its request will no longer be processed. In that case, the Commission shall also inform the country making the request of the reasons for that conclusion. This is without prejudice to the possibility of the country making the request to submit a new request pursuant to Article 39.


Section 3
Exports to countries to which the OECD Decision applies

Article 41 - General regime for exports of waste

1. Where waste listed in Annex III, IIIA, IIIB or IV, waste not classified or mixtures of wastes not classified under one entry in either Annex III or Annex IV are exported from the Union and destined for recovery in countries to which the OECD Decision applies, with or without transit through countries to which the OECD Decision applies, the provisions of Title II shall apply mutatis mutandis, with the adaptations and additional provisions listed in paragraphs 2, 3 and 5.

2. The following adaptations shall apply:

(a)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 disposal operation is to take place in a country to which the OECD Decision does not apply;

(b)waste listed in Annex IIIB shall be subject to the procedure of prior written notification and consent;

(c)the export of waste referred to in Article 4(5) shall be prohibited;

(d)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.

3. As regards exports of waste listed in Annex IV, the adaptations and additional provisions listed in Article 35(2) and Article 35(3), points (a) to (e), shall apply.

In addition, the contract referred to in Article 6 shall contain the following terms and conditions:

(a)where a facility issues an incorrect certificate of recovery 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;

(b)the facility shall, within three days of receipt of the waste for recovery, send signed copies of the completed movement document, except for the certificate of recovery referred to in point (c), to the notifier and the competent authorities concerned;

(c)the facility shall, as soon as possible but no later than 30 days after completion of the recovery, and in any case no later than one calendar year after the receipt of the waste, under its responsibility, certify that the recovery has been completed and shall send signed copies of the movement document containing that certification to the notifier and to the competent authorities concerned.

The notifier shall, within three working days of receipt of the copies referred to in points (b) and (c), make the information contained in those copies available via electronic means in accordance with Article 26.

4. 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 the respective decisions have been met;

(b)Article 35(4), points (b), (c) and (d), is complied with.

5. Where an export as referred to in paragraph 1 of waste listed in Annex IV 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 after the date of transmission of its acknowledgement of receipt of the 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 the competent authority of transit, 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.

6. Where waste is exported, it shall be destined for recovery operations within a facility which, under applicable national law, is operating or is authorised to operate in the country of destination.

7. 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 that customs office thereof. That competent authority shall:

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

(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.

Article 42 - Monitoring of export and safeguard procedure

1. The Commission shall monitor the levels of export of waste from the Union to countries to which the OECD Decision applies, with a view to ensuring that such exports do not lead to serious environmental or human health damages in the country of destination. As part of such monitoring, the Commission shall assess requests from natural or legal persons which are accompanied by relevant information and data showing that export of waste from the Union leads to serious environmental or human health damages in a country to which the OECD Decision applies.

2. In cases where the export of waste from the Union to a country to which the OECD Decision applies has considerably increased within a short period of time, and there is insufficient evidence available demonstrating that the country concerned has the ability to recover this waste in an environmentally sound manner as referred to in Article 56, 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 and the ability of the country concerned to manage the waste in question. The Commission may grant an extension of this time limit if the country concerned makes a reasoned request for an extension thereof.

3. The request referred to in paragraph 2 shall aim to verify that the country concerned has:

(a)put in place and implemented an adequate legal framework for the import and management of the waste concerned, as well as adequate measures to ensure the environmentally sound management of the residual waste generated through the recovery of the waste concerned;

(b)sufficient capacity in its territory allowing the waste concerned to be managed in an environmentally sound manner, taking into consideration the increased volume of waste imported into its territory;

(c)put in place an adequate strategy to address the possible negative impact of an increase in the import of the waste concerned on the collection and management of the waste generated domestically;

(d)put in place and implemented adequate enforcement measures to address possible illegal shipments or treatment of the waste concerned.

4. Where, further to the request referred to in paragraph 2, the country concerned does not provide sufficient evidence as referred to in paragraph 3 that the waste is managed in an environmentally sound manner in accordance with Article 56, the Commission is empowered to adopt delegated acts in accordance with Article 76 to supplement this Regulation by prohibiting the export of the waste concerned to this country.

This prohibition shall be lifted by the Commission, when the Commission has sufficient evidence that the waste concerned will be managed in an environmentally sound manner.


Chapter 3
Additional obligations

Article 43 - Obligations on exporters

1. A natural or legal person shall only export waste from the Union if it can demonstrate that the facilities which are to receive the waste in the country of destination will manage it in an environmentally sound manner as referred to in Article 56.

2. In order to fulfil the obligation referred to in paragraph 1, a natural or legal person intending to export waste from the Union shall ensure that the facilities which will manage the waste in the country of destination have been subject to an audit by an independent and accredited third party with appropriate qualifications.  

3. The audit referred to in paragraph 2 shall verify compliance of the facility concerned with the criteria laid down in Annex X. A legal or natural person shall not export waste to a facility which does not comply with those criteria.

4. A natural or legal person intending to export waste shall ensure that the facility which will manage the waste in the country of destination has been subject to an audit referred to in paragraph 2 prior to exporting waste to the facility concerned and that the audit is repeated at regular intervals, following a risk-based approach, with a minimum frequency of every three years after the first audit.

A natural or legal person exporting waste from the Union shall also carry out an ad-hoc audit without delay in case it receives plausible information that a facility no longer complies with the criteria laid down in Annex X.

5. A natural or legal person that has commissioned or carried out an audit for a given facility in accordance with paragraph 2 shall ensure that such audit be made available to other natural or legal person intending to export waste to the facility in question, under fair commercial conditions.

6. Upon request by a competent authority or an authority involved in inspections, a natural or legal person shall provide documentary evidence that audits as referred to in paragraph 2 have been carried out in all facilities to which they are exporting the waste in question. Such documentary evidence shall be provided in a language acceptable to the competent authorities concerned.

7. Natural or legal persons exporting waste outside the Union shall on a yearly basis make information on how they comply with their obligations under this Article publicly available by electronic means.

8. Where an international agreement between the Union and a third country to which the OECD Decision applies recognises that the facilities in that third country will manage waste in an environmentally sound manner, in accordance with the criteria laid down in Annex X, natural and legal persons which intend to export waste to that third country shall be exempted from the obligation in paragraph 2. 

9. Upon request by a competent authority or an authority involved in inspections, a natural or legal person that is exempted pursuant to paragraph 8, shall provide documentary evidence of the relevant international agreement as mentioned in that paragraph in a language acceptable to the competent authorities concerned.

Article 44 - Obligations on Member States of export

1. Member States shall take all the measures necessary to ensure that legal and natural persons under their national jurisdiction do no export waste in cases where the conditions laid down in Articles 36 to 43 for such export are not met.

2. Member States shall carry out regular verifications, following a risk-based approach, to ensure that natural and legal persons exporting waste from the Union comply with the obligations referred to in Article 43.

Where Member States are in possession of plausible information, which indicates that natural or legal persons exporting waste from the Union are not complying with their obligations under Article 43 they shall carry out the necessary verifications.


Chapter 4
General provisions

Article 45 - Exports to the Antarctic

Exports of waste from the Union to the Antarctic shall be prohibited.

Article 46 - Exports to overseas countries or territories

1. Exports from the Union to an overseas country or territory of waste destined for disposal in that country or territory shall be prohibited.

2. As regards exports of waste destined for recovery in overseas countries or territories, the prohibition set out in Article 36 shall apply mutatis mutandis.

3. As regards exports of waste destined for recovery in overseas countries or territories not covered by the prohibition set out in Article 36, the provisions of Title II shall apply mutatis mutandis.


Title V
Imports into the Union from third countries

Chapter 1
Imports of waste for disposal

Article 47 - Prohibition of imports

1. Imports into the Union of waste destined for disposal shall be prohibited except imports coming from:

(a)countries which are Parties to the Basel Convention;

(b)other countries with which the Union, or the Union and its Member States, have concluded bilateral or multilateral agreements or arrangements compatible with Union legislation and in accordance with Article 11 of the Basel Convention;

(c)other countries with which individual Member States have concluded bilateral agreements or arrangements in accordance with paragraph 2; or

(d)other areas in cases where, on exceptional grounds during situations of crisis, peacemaking, peacekeeping or war, no bilateral agreements or arrangements pursuant to points (b) or (c) can be concluded or where a competent authority in the country of dispatch has either not been designated or is unable to act.

2. In exceptional cases, Member States may conclude bilateral agreements and arrangements for the disposal of specific waste in those Member States, where such waste will not be managed in an environmentally sound manner in the country of dispatch.

These agreements and arrangements shall:

(a)be compatible with Union legislation 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 56; and

(c)guarantee that the waste is produced in the country of dispatch and that disposal will be carried out exclusively in the Member State which has concluded the agreement or arrangement.

(d)be notified to the Commission prior to their conclusion or, in emergency situations, at the latest up to one month after conclusion.

3. Bilateral or multilateral agreements or arrangements referred to in paragraph 1, points (b) and (c), shall be based on the procedural requirements of Article 48.

4. The countries referred to in paragraph 1, points (a), (b) and (c), shall be required to present a prior duly motivated request to the competent authority of the Member State of destination on the basis that they do not have and cannot reasonably acquire the technical capacity and the necessary facilities in order to dispose of the waste in an environmentally sound manner as referred to in Article 56.

Article 48
Procedural requirements for imports

1. Where waste destined for disposal is imported into the Union from countries that are Parties to the Basel Convention, the provisions of Title II shall apply mutatis mutandis, with the adaptations and additional provisions set out in paragraphs 2 and 3.

2. The following adaptations shall apply:

(a)the notifier shall submit the notification request in accordance with Article 26, unless the notifier is not established within the Union and has no access to a system referred to in Article 26, in which case the notification request, and in particular the information and documentation referred to in Article 5(3) shall be provided to the competent authorities concerned by post, fax or email with digital signature;

(b)the notifier shall submit any additional information, and in particular the information and documentation referred to in Article 5(4) in accordance with Article 26, unless the notifier is not established within the Union and has no access to a system referred to in Article 26, in which case that information shall be provided by post, fax or email with digital signature, to the competent authorities concerned;

(c)the notifier, or where the notifier is not established within the Union and has no access to a system referred to in Article 26, the competent authority of destination in the Union, shall ensure that all relevant information is included in that system;

(d)the competent authorities of transit and destination in the Union shall inform the competent authorities concerned in the countries of transit and dispatch outside the Union of any request for information and documentation from their side and of their decision on the planned shipment, by post, fax or email with digital signature, unless the competent authorities in the countries concerned have access to the central system referred to in Article 26(2);

(e)the competent authority of transit outside the Union shall have 60 days after the date of transmission of its acknowledgement of receipt of the 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 46(1), point (d) involving situations of crisis, peacemaking, peacekeeping or war, the consent of the competent authorities of dispatch shall not be required. 

3. The following additional provisions shall apply:

(a)the competent authority of transit in the Union shall provide an acknowledgement of receipt of the notification to the notifier, with copies to the competent authorities concerned;

(b)the competent authorities of destination and, where appropriate, transit in the Union shall ensure that the customs office of entry is informed of their decisions to consent to the shipment;

(c) a copy of the movement document shall be delivered by the carrier to the customs office of entry either by post, 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 26(2); and

(d)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 authorities of destination and transit in the Union that the waste has entered the Union.

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

(a)the notifier has received written consent from the competent authorities of dispatch, destination and, where appropriate, transit and the conditions laid down in that consent have been met;

(b)a contract between the notifier and the consignee as referred to in Article 6 has been concluded and is effective;

(c)a financial guarantee or equivalent insurance as referred to in Article 7 has been established and is effective; and

(d)environmentally sound management as referred to in Article 33 is ensured.

5. Where a customs office of entry discovers an illegal shipment, it shall without delay inform the competent authority in the country of that customs office. That competent authority shall:

(a)without delay inform the competent authority of destination in the Union of the illegal shipment, after which that competent authority shall inform the competent authority of dispatch outside the Union; and

(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.

6. Where waste generated by armed forces or relief organisations in situations of crisis, peacemaking or peacekeeping operations is shipped, by those armed forces or relief organisations or on their behalf, any competent authority of transit and the competent authority of destination in the Union shall be informed in advance concerning the shipment and its destination.

Chapter 2
Imports of waste for recovery

Article 49 - Prohibition of imports

1. All 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 legislation 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, peacekeeping or war, no bilateral agreements or arrangements pursuant to points (c) or (d) can be concluded or where a competent authority in the country of dispatch has either not been designated or is unable to act.

2. In exceptional cases, individual Member States may conclude bilateral agreements and arrangements for the recovery of specific waste in those Member States, where such waste will not be managed in an environmentally sound manner, in the country of dispatch.

In such cases Article 47(2), second subparagraph, shall apply.

3. Bilateral or multilateral agreements or arrangements entered into in accordance with paragraph 1, points (c) and (d), shall be based on the procedural requirements set out in Article 48 in so far as may be relevant.

Article 50 - Procedural requirements for imports from a country to which the OECD Decision applies

1. Where waste destined for recovery is imported into the Union from countries and through countries to which the OECD Decision applies, the provisions of Title II shall apply mutatis mutandis, with the adaptations and additional provisions set out in paragraphs 2 and 3.

2. The following adaptations shall apply:

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

(b)in the cases referred to in Article 49(1), point(e), involving situations of crisis, peacemaking, peacekeeping or war, the consent of the competent authorities of dispatch shall not be required.

3. The following additional provisions shall apply: Article 48(2), points (a) to (e), and Article 48(3), points (b), (c) and (d).

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

(a)the notifier has received written consent from the competent authorities of dispatch, destination and, where appropriate, transit or tacit consent from the competent authority of dispatch outside the Union has been provided or can be assumed and the conditions laid down in the respective decisions have been met;

(b)a contract between the notifier and the consignee as referred to in Article 6 has been concluded and is effective;

(c)a financial guarantee or equivalent insurance as referred to in Article 7 has been established and is effective; and

(d)environmentally sound management as referred to in Article 56 is ensured.

5. Where a customs office of entry discovers an illegal shipment, it shall without delay inform the competent authority in the country of that customs office. That competent authority shall:

(a)without delay inform the competent authority of destination in the Union after which that competent authority shall inform the competent authority of dispatch outside the Union of the illegal shipment; and

(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.

Article 51 - 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 48 shall apply mutatis mutandis.

Chapter 3
Additional obligations

Article 52 - Obligations of Member States of import

1. In the case of imports into the Union, the competent authority of destination in the Union shall require and take the necessary steps to ensure that any waste shipped into its area of jurisdiction is managed without endangering human health and without using processes or methods which could harm the environment, and in accordance with Article 13 of Directive 2008/98/EC and other Union legislation on waste throughout the period of shipment, including recovery or disposal in the country of destination.

2. The competent authority referred to in paragraph 1 shall also prohibit imports of waste from third countries where it has reason to believe that the waste will not be managed in accordance with the requirements set out in paragraph 1.


Chapter 4
Imports from overseas countries or territories

Article 53 - Imports from overseas countries or territories

1. Where waste is imported into the Union from overseas countries or territories, Title II shall apply mutatis mutandis.

2. An overseas country or territory and the Member State to which it is linked may apply national procedures of that Member State to shipments from the overseas country or territory to that Member State in case no other countries are involved in the shipment as transit country.

3. Member States which apply paragraph 2 shall notify the Commission of the national procedures applied.


Title VI
Transit through the Union from and to third countries

Article 54 - 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 48 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, ensure that the customs office of entry and the customs office of exit are informed of their respective decisions to consent to the shipment or, if they have provided tacit consent, of the acknowledgement in accordance with Article 48(3), point (a);

(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.

Article 55 - Transit through the Union of waste destined for recovery

1. Where waste destined for recovery is shipped through Member States from and to a country to which the OECD Decision does not apply, Article 54 shall apply mutatis mutandis.

2. Where waste destined for recovery is shipped through Member States from and to a country to which the OECD Decision applies, Article 50 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, ensure that the customs office of entry and the customs office of exit are informed of their respective decisions to consent to the shipment or, if they have provided tacit consent, of the acknowledgement in accordance with Article 48(3), point (a);

(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.

3. Where waste destined for recovery is shipped through Member States from a country to which the OECD Decision does not apply to a country to which the OECD Decision applies or vice versa, paragraph 1 shall apply as regards the country to which the OECD Decision does not apply and paragraph 2 shall apply as regards the country to which the OECD Decision applies.


Title VII
Environmentally sound management and enforcement

Chapter 1

Article 56 - Environmentally sound management

1. The waste producer, the notifier and any other undertaking involved in a shipment of waste or its recovery or disposal shall take the necessary steps to ensure that any waste shipped is managed without endangering human health and in an environmentally sound manner throughout the period of shipment and during the recovery and disposal of the waste.

2. For the purposes of export of waste, the waste shipped shall be deemed to be managed in an environmentally sound manner as regards the recovery or disposal operation concerned, where it can be demonstrated that the waste will be managed in accordance with human health and environmental protection requirements that are broadly equivalent to the human health and environmental protection requirements laid down in Union legislation. When assessing such broad equivalence, full compliance with requirements stemming from Union legislation shall not be required, but it should be demonstrated that the requirements applied in the country of destination ensure a similar level of protection of human health and the environment than the requirements stemming from Union legislation.


Chapter 2
Enforcement

Section 1
Inspections by the Member States and penalties 

Article 57 - Inspections

1. Member States shall, for the purpose of enforcing this Regulation, carry out inspections of establishments, undertakings, brokers and dealers in accordance with Article 34 of Directive 2008/98/EC, and inspections of shipments of waste and of the related recovery or disposal.

2. Inspections of shipments shall take place at least in one of the following points:

(a)at the point of origin, carried out with the waste producer, waste holder or notifier;

(b)at the point of destination, including interim and non-interim recovery or disposal, carried out with the consignee or the facility;

(c)at the borders of the Union;

(d)during the shipment within the Union.

Article 58 - Documentation and evidence

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

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

(a)as to the origin and destination of the substance or object concerned; and

(b)that it is not waste, including, where appropriate, evidence of functionality.

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

The provisions of this paragraph shall be without prejudice to the application of Article 23(2) and Annex VI to Directive 2012/19/EU of the European Parliament and of the Council 62 .

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

(a)the evidence referred to in paragraph 2 or required under other Union legislation to ascertain that a substance or object is not waste, has not been submitted within the period specified by them; or

(b)they consider the evidence and information available to them to be insufficient to reach a conclusion, or they consider the protection provided against damage referred to in the second subparagraph of paragraph 2 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 24 and 25 and the authorities involved in inspections shall, without delay, inform the competent authority of the country where the inspection concerned took place accordingly.

4. In order to ascertain whether a shipment of waste complies with this Regulation, the authorities involved in inspections may require the notifier, the person who arranges the shipment, the waste holder, the carrier, the consignee and the facility that receives the waste to submit relevant documentary evidence to them within a period specified by them.

5. In order to ascertain whether a shipment of waste subject to the general information requirements set out in Article 18 is destined for recovery operations which are in accordance with Article 56, the authorities involved in inspections may require the person who arranges the shipment to submit relevant documentary evidence, provided by the interim and non-interim recovery facility and, if necessary, approved by the competent authority of destination.

6. Where the evidence referred to in paragraph 4 has not been submitted to the authorities involved in inspections within the period specified by them, or they consider the evidence and information available to them to be insufficient to reach a conclusion, the shipment concerned shall be considered as an illegal shipment and shall be dealt with in accordance with Articles 24 and 25. The authorities involved in inspections shall, without delay, inform the competent authority of the country where the inspection concerned took place accordingly.

7. The Commission is empowered to adopt, by means of implementing acts, a correlation table between the codes of the combined nomenclature, provided for in Council Regulation (EEC) No 2658/87 63 and the entries of waste listed in Annex III, Annex IIIA, Annex IIIB, Annex IV, and Annex V to this Regulation. The Commission shall keep this act updated, in order to reflect changes to that nomenclature and to the entries listed in those Annexes, as well as to include any new waste-related codes of the Harmonised System Nomenclature that the World Customs Organisation may adopt. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 77(2). Commission Implementing Regulation (EU) 2016/1245 64  shall remain in force until the empowerment referred to in the present Article is exercised by the Commission.

Article 59 - Inspection plans

1. Member States shall establish, in respect of their entire geographical territory, one or more plans, either separately or as a clearly defined part of other plans, for inspections to be carried out pursuant to Article 57(1) (‘inspection plan’).

Inspection plans shall be based on a risk assessment covering specific waste streams and sources of illegal shipments, the results of previous inspections and considering, where appropriate, intelligence-based data such as data on investigations by police and customs authorities and analyses of criminal activities. That risk assessment shall aim, inter alia, to identify the minimum number and frequency of inspections required, including physical checks on establishments, undertakings, brokers, dealers and shipments of waste or on the related recovery or disposal.

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

(a)the objectives and priorities of the inspections, including a description of how those objectives and priorities have been identified;

(b)the geographical area covered by the inspection plan;

(c)information on planned inspections, including on physical checks;

(d)the tasks assigned to each authority involved in inspections;

(e)arrangements for cooperation between authorities involved in inspections;

(f)information on the training of inspectors on matters relating to inspections; and

(g)information on the human, financial and other resources for the implementation of the inspection plan.

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

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

5. The Commission shall review the inspection plans notified by the Member States in accordance with paragraph 4 and, if appropriate, draw up reports, based on the review of these plans, on the implementation of this Article. Such reports may include, inter alia, recommendations on priorities of inspections and on enforcement cooperation and coordination between the relevant authorities involved in inspections. Such reports may also be presented, where appropriate, in the meetings of the waste shipment enforcement group established under Article 63.

Article 60 - Penalties

1. Member States shall lay down the rules on administrative penalties applicable to infringements of this Regulation and shall take all measures necessary to ensure that they are applied. The penalties provided for shall be effective, proportionate and dissuasive. Member States shall, without delay, notify the Commission of those rules and of those measures and of any subsequent amendment affecting them.

2. When determining the type and level of penalties to be imposed in case of infringements, the competent authorities of the Member States shall give due regard to the following criteria: 

(a)the nature, gravity and duration of the infringement;

(b)where appropriate, the intentional or negligent character of the infringement;

(c)the financial strength of the natural or legal person held responsible, as indicated for example by the total turnover of the legal person held responsible or the annual income of the natural person held responsible;

(d)the economic benefits derived from the infringement by the natural or legal person held responsible, insofar as they can be determined;

(e)the environmental damage caused by the infringement, insofar as it can be determined;

(f)any action taken by the natural or legal person held responsible to mitigate or remedy the damage caused;

(g)the level of cooperation of the natural or legal person held responsible with the competent authority;

(h)previous infringements by the natural or legal person held responsible; 

(i)any action aiming to circumvent or obstruct administrative controls and

(j)any other aggravating or mitigating factor applicable to the circumstances of the case.

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

(a)fines;

(b)confiscation of revenues gained by the natural or legal person from a transaction related to the infringement;

(c)suspension or revocation 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;

(d)exclusion from public procurement procedures.


Section 2
Enforcement cooperation

Article 61 - Enforcement cooperation at national level

Member States shall establish, as regards all relevant competent authorities involved in enforcement of this Regulation, 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 62 - Enforcement cooperation between Member States

1. Member States shall cooperate, bilaterally and multilaterally, with one another in order to facilitate the prevention and detection of illegal shipments. They shall exchange relevant information on shipments of waste, flows of waste, operators and facilities and share experience and knowledge on enforcement measures, including the risk assessment carried out pursuant to Article 59(1), within established structures, in particular, through the waste shipment enforcement group established under Article 63.

2. Member States shall identify those members of their permanent staff responsible for the cooperation referred to in paragraph 1 and identify the focal points for the physical checks referred to in Article 58(1). That information shall be sent to the Commission which shall distribute to those members a compiled list.

3. At the request of another Member State, a Member State may take enforcement action against persons suspected of being engaged in the illegal shipment of waste who are present in that Member State.

Article 63 - Waste shipment enforcement group

1. An enforcement group shall be established to facilitate and improve cooperation and coordination between the Member States in order to prevent and detect illegal shipments (the ‘waste shipment enforcement group’).

2. The waste shipment enforcement group shall consist of the designated permanent staff responsible for the cooperation referred to in Article 62(2) and may also include further representatives of each Member State's relevant authorities with responsibility for enforcement of this Regulation. It shall be chaired by the representative(s) of the Commission.

3. The waste shipment enforcement group shall be a forum for sharing information and intelligence on general trends relating to illegal shipments of waste, risk-based assessments carried out by Member States, and enforcement activities, as well as for exchanging views on best practices and for facilitating cooperation and coordination between relevant authorities. The waste shipment enforcement group may examine any technical question relating to the enforcement of this Regulation raised by the chairperson, either on his or her own initiative or at the request of the members of the group or the committee referred to in Article 77.

4. The waste shipment enforcement group shall meet at least twice a year. In addition to the members referred to in paragraph 2, the chairperson may invite to the meetings, where appropriate, representatives of other relevant institutions, bodies, offices, agencies or networks.

5. The Commission shall convey the opinions expressed in the waste shipment enforcement group to the committee referred to in Article 77.


Section 3
Actions performed by the Commission

Article 64 - General provisions

1. In order to fight against infringements of the provisions of this Regulation, to support and complement the enforcement activities of the Member States, and to contribute to a uniform application of this Regulation throughout the Union, the Commission shall exercise the powers conferred onto it by Articles 64 to 68.

2. These powers are without prejudice to:

(a)the primary responsibility of the Member States to ensure and enforce compliance with this Regulation; and

(b)the powers conferred onto the Commission or the European Anti-Fraud Office (OLAF), respectively, in other legal acts, in particular in Regulation (EU, Euratom) 883/2013 of the European Parliament and of the Council 65 , Council Regulation 515/97 66 , or Council Regulation 2185/96 67 .

3. The Commission may exercise the powers conferred onto it by this Regulation on its own initiative, on the request of one or more Member States, or on a complaint if there is sufficient suspicion that the carriage of the substance or object concerned or the shipment of waste concerned constitutes an illegal shipment.

4. The Commission may exercise the powers conferred onto it by this Regulation with respect to shipments of waste that fall under the scope of application of this Regulation pursuant to Article 2(1), and in particular with respect to such shipments that affect several countries or that have serious adverse effects on human health and/or the environment.

5. In exercising its powers, the Commission shall take into account the inspections in progress or already carried out in respect of the same shipments by a Member State pursuant to this Regulation.

6. On completion of its actions, the Commission shall draw up a report. If the Commission concludes that the carriage of the substance or object concerned or the shipment of waste concerned constitutes an illegal shipment, it shall inform the competent authorities of the country or countries concerned accordingly and recommend that such an illegal shipment is dealt with in accordance with Articles 24 and 25. Such authorities may apply penalties in accordance with Article 60. The Commission may also recommend certain follow-up to the relevant authorities, and, where necessary inform the Union institutions, bodies, offices and agencies concerned.

7. Reports drawn up on the basis of paragraph 6, 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 of the Member State in which their use proves necessary in the same way and under the same conditions as administrative reports drawn up by national administrative inspectors and shall be subject to the same evaluation rules as those applicable to administrative reports drawn up by national administrative inspectors and shall have the same evidentiary value as such reports;

(c)in judicial proceedings before the Court of Justice of the European Union.

Article 65 - Inspections by the Commission

1. The Commission may carry out inspections of shipments pursuant to Article 57(2) of this Regulation.

2. The Commission shall prepare and conduct inspections in close cooperation with the relevant authorities of the Member State concerned.

The Commission shall give notice in good time of the object, purpose and legal basis of inspections to the focal points referred to in Article 62(2) in the Member State concerned in whose territory the inspection is to be conducted, so that such authorities may provide the requisite assistance. To that end, officials of the Member State concerned may participate in the inspections.

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

3. The staff and other accompanying persons authorised by the Commission to conduct an inspection shall exercise their powers upon production of a written authorisation specifying the subject matter and purpose of the inspection.

4. 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 person who arranges the shipment, the 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 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 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.

5. The notifier, the person who arranges the shipment, the waste holder, the waste carrier, the consignee and the facility that receives the waste shall cooperate with the Commission in the course of its inspections.

6. The authorities of the Member States involved in inspections on the shipments of waste in whose territory the inspection of the Commission is to be conducted shall, at the request of the Commission, provide the necessary assistance to the staff of the Commission.

7. The notifier, the person who arranges the shipment, the waste holder, the waste carrier, the consignee and the facility that receives the waste are required to submit to inspections of the Commission.

8. Where the Commission finds that the notifier, the person who arranges the shipment, the waste holder, the waste carrier, the consignee or the facility that receives the waste opposes an inspection, the Member State concerned shall afford the Commission the necessary assistance, requesting where appropriate the assistance of enforcement authorities, so as to enable the Commission to conduct its inspection. If such an assistance requires authorisation from a judicial authority according to national rules, such authorisation shall be applied for.

Article 66 - Requests for information

1. The Commission may interview any natural or legal person who consents to be interviewed for the purpose of collecting all necessary information relating to the relevant waste shipments.

2. Where such an interview is conducted in the premises of an establishment, undertaking, broker or dealer, the Commission shall inform the focal points referred to in Article 62(2) in the Member State concerned in whose territory the interview takes place. If so requested by the authority of that Member State, its officials may assist the staff of the Commission to conduct the interview.

3. The Commission may request legal or natural persons responsible for an establishment or an undertaking, or any broker and dealer to provide all necessary information relating to the relevant waste shipments. The Commission shall state the legal basis and the purpose of the request, specify what information is required and fix the time-limit within which the information is to be provided.

4. The Commission shall without delay forward a copy of the request to the relevant authorities of the Member State in whose territory the seat of the establishment, undertaking, broker or dealer is situated and to the authorities of the Member State whose territory is affected.

5. Where the establishment, undertaking, broker or dealer does not provide the requested information, or the Commission considers the information it received to be insufficient to reach a conclusion, Article 58(5) shall apply, mutatis mutandis.

Article 67 - Procedural guarantees

1. The Commission shall carry out inspections and request information in full respect of the procedural guarantees of the person who arranges the shipment, the waste holder, the waste carrier, the consignee or the facility that receives the waste, including:

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

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

(c)the right to use any of the official languages of the Member State where the inspection takes place;

(d)the right to comment on facts concerning them; 

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

The Commission shall seek evidence for and against the person who arranges the shipment, 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.

2. The Commission shall carry out inspections and request information in full respect of applicable confidentiality and Union data protection rules.

Article 68 - Mutual assistance

1. In order to ensure compliance with the relevant requirements set out in this Regulation, Member States and the Commission shall provide each other assistance in accordance with this Article.

2. Within the scope of Article 2(1) and without prejudice to Articles 61 and 62 of this Regulation, provisions of Article 2 paragraph 1, indents 3 to 5, 7 and 8, Articles 3, 4(1) until ‘legislation’ and (2), 5 to 14, 15(1) and 16 to 18 of Regulation (EC) No 515/97 shall apply mutatis mutandis to the cooperation between the competent national and Union authorities implementing this Regulation; references to ‘customs and agricultural legislation’ shall be understood to refer to this Regulation.


Title VIII
Final provisions

Article 69 - Reporting

1. Before the end of each calendar year, each Member State shall send the Commission a copy of the report which, in accordance with Article 13(3) of the Basel Convention, it has drawn up and submitted to the Secretariat of that Convention for the previous calendar year.

2. Before the end of each calendar year, Member States shall also draw up a report for the previous year, based on the additional reporting questionnaire in Annex XI, and send it to the Commission. Within a month of transmission of that report to the Commission, Member States shall make the section of that report relating to Articles 57(1) and 60(1), including Table 5 of Annex XI, publicly available, electronically via the internet, together with any explanation that the Member States consider to be appropriate. The Commission shall compile a list of the Member States’ hyperlinks referred to in the section relating to Article 57(1) in Annex XI and make it publicly available on its website.

3. The reports drawn up by Member States in accordance with paragraphs 1 and 2 shall be submitted to the Commission in an electronic version.

4. The Commission shall review the data reported in accordance with this Article and publish a report with the results of its review.

The European Environment Agency shall support the Commission in the task of monitoring the implementation of the Regulation by, when 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 [OP: Please insert date of the end of the fifth year after the date of entry into force of this Regulation] and every four years thereafter. 

Article 70 - 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 and/or sharing of information, the promotion of environmentally sound technologies and the development of appropriate codes of good practice.

Article 71 - 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 72
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 73 - 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 Member States decide to designate such customs offices, no shipment of waste shall be allowed to use any other border crossing points within a Member State for the purposes of entering or leaving the Union.

Article 74 - Notification of, and information regarding, designations

1. Member States shall notify the Commission of designations of:

(a)competent authorities, pursuant to Article 71;

(b)correspondents, pursuant to Article 72;

(c)where relevant, customs offices of entry and exit, pursuant to Article 73.

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

(a)name(s);

(b)postal address(es);

(c)e-mail address(es);

(d)telephone number(s); 

(e)languages acceptable to the competent authorities.

3. Member States shall immediately notify the Commission of any changes in the information referred to in paragraph 2.

4. The information referred to in paragraph 2, as well as any changes in that information shall be submitted to the Commission in electronically.

5. The Commission shall publish on its web-site lists of the designated competent authorities, correspondents and, where relevant, customs offices of entry and exit, and shall update those lists as appropriate.

Article 75 - Amendment of Annexes I to X

1. The Commission is empowered to adopt delegated acts in accordance with Article 76 to amend Annexes IA, IB, IC, II, III, IIIA, IIIB, IV, V, VI and VII in order to take account of changes agreed under the Basel Convention and the OECD Decision, or in case of Annex IC, in order to adapt it to the implementation of Article 26 after [OP: Please insert the date two years after the date of entry into force of the Regulation ].

2. The Commission is empowered to adopt delegated acts in accordance with Article 76 to amend Annex IIIA, in order to, following the submission of a request by a Member State or on its own initiative, include in that Annex mixtures of two or more wastes listed in Annex III, where those wastes are not mixed to an extent which prevents their recycling in an environmentally sound manner, and, where necessary, provide that one or more of the entries in Annex IIIA shall not apply for exports to countries to which the OECD Decision does not apply.

3. The Commission is empowered to adopt delegated acts in accordance with Article 76 to amend Annex IIIB, in order to, following the submission of a request by a Member State or on its own initiative, include in that Annex wastes not listed in Annex III, Annex IV or Annex V, and provide that one or more of the entries in Annex IIIB shall not apply for exports to countries to which the OECD Decision does not apply.

4. The Commission is empowered to adopt delegated acts in accordance with Article 76 to amend the form and content of the information referred to in that Annex.

5. The Commission is empowered to adopt delegated acts in accordance with Article 76 to amend Annex IX, in order to update the lists of Union legislation and international guidance as regards environmentally sound management.

6. The Commission is empowered to adopt delegated acts in accordance with Article 76 to amend Annex X as regards the criteria contained in that Annex.

Article 76 - Exercise of the delegation

1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.

2. The delegation of power referred to in Articles 14(3), 28(4), 38(1), 42(4) and 75 shall be conferred on the Commission for a period of five years from the date of entry into force of this Regulation. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period.

3. The delegation of power referred to in Articles 14(3), 38(1), 42(4) and 75 may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making.

5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

6. A delegated act adopted pursuant to Articles 14(3), 28(4), 38(1), 42(4) and 75 shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.

Article 77 - Committee procedure

1. The Commission shall be assisted by the committee established by Article 39 of Directive 2008/98/EC. That committee is a committee within the meaning of Regulation (EU) No 182/2011.

2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.

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 78 - Amendment to Regulation (EU) No 1257/2013

In Article 6(2) of Regulation (EU) No 1257/2013, 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 become waste in 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 79 - Amendment to Regulation (EU) No 2020/1056

In Article 2(1)(a) of Regulation (EU) No 2020/1056, point (iv) is replaced by the following:

“(iv) Article 16(1) and Article 18(3) of Regulation (EU) No [OP please insert the number of this act]; this Regulation is without prejudice to controls by customs offices provided for in relevant provisions of Union legal acts;”

Article 80 - Review

By 31 December 2035, the Commission shall, taking into account, inter alia, the reports drawn up in accordance with Article 69, and the review referred to in Article 59(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.

Article 81 - Repeal and transitional provisions

1. Regulation (EC) No 1013/2006 is repealed with effect from [OP: Please insert the date two months after the date of entry into force of this Regulation]. 

However, the provisions set out in Articles 4, 7, 8 and 9, Article 14(4) and (5), and Articles 15, 16, 18, 26, 35, 38, 41, 42, 43, 44, 45, 47 and 48, 50, 51, 54 and 55 of Regulation (EC) No 1013/2006 shall continue to apply until [OP: Please insert the date two years after the date of entry into force of this Regulation] and Article 37 of that Regulation shall continue to apply until [OP: Please insert the date three years after the date of entry into force of this Regulation ].

References to the repealed Regulation shall be construed as references to this Regulation and shall be read in accordance with the correlation table set out in Annex XII.

2. Regulation (EC) No 1013/2006 shall also continue to apply to shipments that have been notified in accordance with Article 4 of that Regulation and for which the competent authority of destination has given its acknowledgement in accordance with Article 8 of that Regulation before [OP: Please insert the date two months after the date of entry into force of this Regulation]. For those shipments, the provisions of this Regulation shall not apply.

3. Shipments for which the competent authorities concerned have given their consent in accordance with Article 9 of Regulation (EC) No 1013/2006 shall be completed not later than one year from [OP: Please insert the date one year after the date of entry into force of this Regulation].

Article 82 - Entry into force and application

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

It shall apply from two months after the entry into force of the Regulation.

However, Articles 5, 8 and 9, Article 14(14) and (15), Articles 15, 16, 18, Article 26(1), (2) and (3), and Articles 35, 41, 47, 48, 49, 50, 51, 54 and 55 from [OP: Please insert the date two years after the date of entry into force of the Regulation] and Articles 37, 38, 39, 40, 43 and 44 shall apply from [OP: Please insert the date three years after the date of entry into force of the Regulation].

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