Article 2A

Meaning of “Directive 2008/98/EC”

1. In this Regulation, “Directive 2008/98/EC^” means (except in the expression “Directive 2008/98/EC as amended from time to time”) Directive 2008/98/EC as amended by-

1. Commission Regulation (EU) No 1357/2014;
2. Commission Directive (EU) 2015/1127; and
3. Council Regulation (EU) 2017/997,

and read in accordance with paragraphs 2 to 6.

2.  Article 2 of Directive 2008/98/EC is to be read as if-

1. in paragraph 2 in the words before point (a), for “other Community legislation” there were substituted “retained EU law”;
2. after paragraph 2 there were inserted-

“2A. In paragraph 2(d) “Directive 2006/21/EC of the European Parliament and of the Council of 15 March 2006 on the management of waste from extractive industries” means Directive 2006/21/EC read as if-

1. in Article 2 of Directive 2006/21/EC-
   1. in paragraph 2(c), “Article 11(3)(j) of Directive 2000/60/EC of the European Parliament and of the Council of 23 October 2000 establishing a framework for Community action in the field of water policy” had the meaning given in paragraph 2B;
   2. paragraphs 3 and 4 were omitted;
2. in Article 3(1) of Directive 2006/21/EC, for “Article 1(a) of Directive 75/442/EC” there were substituted “Article 3(1) of Directive 2008/98/EC”.

2B. For the purposes of paragraph 2A(a)(i), “Article 11(3)(j) of Directive 2000/60/EC of the European Parliament and of the Council of 23 October 2000 establishing a framework for Community action in the field of water policy” means Article 11(3)(j) of Directive 2000/60/EC read as if—

1. the reference to “Member States” were a reference to the Minister for the Environment;
2. in the words after the final indent, “environmental objectives” in relation to the Gibraltar River Basin District has the same meaning as in the Public Health (Water Framework) Rules 2004.”.

3. Article 5 of Directive 2008/98/EC is to be read as if paragraph 2 were omitted.

4. Article 6 of Directive 2008/98/EC is to be read as if-

1. paragraphs 1 to 3 were omitted;
2. in paragraph 4-
   1. in the first sentence, for the words from the beginning to “Member States” there were substituted “Except where Council Regulation (EU) No 333/2011, Commission Regulation (EU) No 1179/2012 or Commission Regulation (EU) No 715/2013 applies, the competent authority of destination and dispatch determined in accordance with section 98D of the Public Health Act”;
   2. the second sentence were omitted.

5. Article 7 of Directive 2008/98/EC is to be read as if-

1. in paragraph 1-
   1. the first and second sentences were omitted;
   2. in the third sentence, for “shall be binding” there were substituted “shall, subject to paragraph 1A, be binding”;
2. after paragraph 1, there were inserted-

“1A.      Paragraph 1 is subject to-

1. a designation by the Minister under section 192KA(8) of the Public Health Act, that a specific waste is to be treated as hazardous waste;
2. a designation by the Minister under section 192KA(8A) of the Public Health Act, that specific waste is to be treated as non-hazardous waste”;
3. paragraphs 2, 3 and 5 were omitted;

4. after paragraph 6, there were inserted-
   
   “6A.   In this Article, the “list of waste” means the list established by Commission Decision 2000/532/EC.;

5. paragraph 7 were omitted.

6. Annex 3 to Directive 2008/98/EC is to be read as if-

1. in the entry for HP 9, in the second sentence, “in the Member States” were omitted;
2. in the entry for HP 15, in the sentence immediately after Table 9, for “Member States” there were substituted “the competent authority of destination and dispatch determined in accordance with section 98D of the Public Health Act”.

 

Article 2B

References to EU country, non-EU country, EFTA country and third country

In this Regulation-

1. a reference to an EU country is a reference to a country which is a member State on exit day;
2. a reference to a non-EU country is a reference to a country other than Gibraltar which is not a member State on exit day;
3. a reference to an EFTA country is a reference to a non-EU country which is a party to the EEA agreement on exit day;
4. a reference to a third country is a reference to a country other than Gibraltar.

 

Article 2C

References to competent authority

1. In this Regulation, a reference to the ‘competent authority’-

1. in relation to Gibraltar, is to be read in accordance with paragraphs 3 and 4;
2. in relation to an EU country, is a reference to the body designated by that country in accordance with Article 53 of Regulation (EC) No. 1013/2006 as it has effect in EU law as amended from time to time; or
3. in relation to a non-EU country that is a Party to the Basel Convention, is a reference to the body designated by that country as the competent authority in accordance with Article 5 of the Convention; or
4. in relation to any country not referred to in points (a) to (c), is a reference to 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).

2. In this Regulation-

1. ‘competent authority of dispatch’ means the competent authority for the area from which the shipment is planned to be initiated or is initiated;
2. ‘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;
3. ‘competent authority of transit’ means the competent authority for any country, other than that of the competent authority of dispatch or destination, through which the shipment is planned or takes place.

3. For the competent authority of dispatch, or the competent authority of destination, in Gibraltar see section 98D of the Public Health Act.

4. For the competent authority of transit in Gibraltar see section 98E of the Public Health Act.

  

 

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, the competent authorities of destination and dispatch may, within 30 days following the date of transmission of the acknowledgement of the competent authority of destination in accordance with Article 8, raise reasoned objections based on one or more of the following grounds:

1. Omitted
2. that 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 objecting country; or

3. that 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;
   
   This shall not apply if:

   1. Omitted

   2. 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,

   3. Omitted

4. that the notifier or the consignee has previously been convicted of illegal shipment or some other illegal act in relation to environmental protection. In this case, the competent authorities of dispatch and destination may refuse all shipments involving the person in question in accordance with national legislation; or

5. that the notifier or the facility has repeatedly failed to comply with Articles 15 and 16 in connection with past shipments; or

6. that the planned shipment or recovery conflicts with obligations resulting from international conventions concluded by the objecting country; or

7. that 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 do not justify the recovery, having regard to economic and/or environmental considerations; or

8. that the waste shipped is destined for disposal and not for recovery; or

9. that the waste will be treated-

   1. in a relevant facility in Gibraltar which does not apply best available techniques within the meaning given by Article 3(10) of Directive 2010/75/EU in compliance with the permit of the facility; or
   2. in an installation within the meaning given by Article 3(3) of Directive 2010/75/EU as amended from time to time in an EU country which does not apply the best available techniques within the meaning given by Article 3(10) of that Directive in compliance with the permit of the installation;

10. that 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 legislation (also in cases where temporary derogations are granted); or

11. that the waste concerned will not be treated in accordance with a plan established under Part VA of the Public Health Act or Article 28 of Directive 2008/98/EC as amended from time to time.

1A. In paragraph 1 “relevant facility” has the meaning given by Article 11(1A).

2. The competent authority(ies) of transit may, within the 30-day time limit referred to in paragraph 1, raise reasoned objections to the planned shipment based only on paragraph 1(b), (d), (e) and (f).

3. If, 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 in writing, with copies to the consignee and to the other competent authorities concerned.

4. If the problems giving rise to the objections are not resolved within the 30-day time limit referred to in paragraph 1, the notification 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 in accordance with paragraph 1(c) shall be recorded by the competent authority.

 

Article 13

General notification

1. The notifier may submit a general notification to cover several shipments if, in the case of each shipment:

1. the waste has essentially similar physical and chemical characteristics; and
2. the waste is shipped to the same consignee and the same facility; and
3. the route of the shipment as indicated in the notification document is the same.

2. If, owing to unforeseen circumstances, the same route cannot be followed, the notifier shall inform the competent authorities concerned as soon as possible and, if possible, before the shipment starts if the need for modification is already known.

Where the route modification is known before the shipment starts 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.

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 the second subparagraph, points 2 and 3 of Article 4.

 

Article 14

Pre-consented recovery facilities

1. The competent authorities of destination which have jurisdiction over specific recovery facilities may decide to issue pre-consents to such facilities.

Such decisions shall be limited to a specific period and may be revoked at any time.

2. In the case of a general notification submitted in accordance with Article 13, the period of validity of the consent referred to in Article 9(4) and (5) may be extended to up to three years by the competent authority of destination in agreement with the other competent authorities concerned.

3. Competent authorities which decide to issue a pre-consent to a facility in accordance with paragraphs 1 and 2 shall, where appropriate, ensure the OECD Secretariat is informed of

1. the name, registration number and address of the recovery facility;
2. the description of technologies employed, including R-code(s);
3. the wastes as listed in Annexes IV and IVA or the wastes to which the decision applies;
4. the total pre-consented quantity;
5. the period of validity;
6. any change in the pre-consent;
7. any change in the information notified; and
8. any revocation of the pre-consent.

For this purpose the form set out in Annex VI shall be used.

4. By way of derogation from Articles 9, 10 and 12, the consent given in accordance with Article 9, conditions imposed in accordance with Article 10 or objections raised in accordance with Article 12 by the competent authorities concerned shall be subject to a time limit of seven working days following the date of transmission of the acknowledgement of the competent authority of destination in accordance with Article 8.

5. Notwithstanding paragraph 4, the competent authority of dispatch may decide that more time is needed in order to receive further information or documentation from the notifier.

In such cases, the competent authority shall, within seven working days, inform the notifier in writing with copies to the other competent authorities concerned.

The total time needed shall not exceed 30 days following the date of transmission of the acknowledgement of the competent authority of destination in accordance with Article 8.

 

Article 15

Additional provisions regarding interim recovery and disposal operations

Shipments of waste destined for interim recovery or disposal operations shall be subject to the following additional provisions:

 

Article 16

Requirements following consent to a shipment

After consent has been given to a notified shipment by the competent authorities involved, all undertakings involved shall complete the movement document, or, in the case of a general notification, the movement documents at the points indicated, sign it or them and retain a copy or copies. The following requirements shall be fulfilled:

 

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, including changes in the intended quantity, route, routing, date of shipment or carrier, the notifier shall inform the competent authorities concerned and the consignee immediately and, where possible, before the shipment starts.

2. In such cases a new notification shall be submitted, unless all the competent authorities concerned consider that the proposed changes do not require a new notification.

3. Where such changes involve competent authorities other than those concerned in the original notification, a new notification shall be submitted.

 

CHAPTER 2

General information requirements

Article 18

Waste to be accompanied by certain information

 

1. Waste as referred to in Article 3(2) and (4) that is intended to be shipped shall be subject to the following procedural requirements:

1. In order to assist the tracking of shipments of such waste, the person under the jurisdiction of the country of dispatch who arranges the shipment shall ensure that the waste is accompanied by the document contained in Annex VII.
2. The document contained in Annex VII shall be signed by the person who arranges the shipment before the shipment takes place and shall be signed by the recovery facility or the laboratory and the consignee when the waste in question is received.

2. 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 and shall include an obligation, where the shipment of waste or its recovery cannot be completed as intended or where it has been effected as an illegal shipment, 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 (for example, is insolvent), on the consignee, to:

1. take the waste back or ensure its recovery in an alternative way; and
2. provide, if necessary, for its storage in the meantime.

The person who arranges the shipment or the consignee shall provide a copy of the contract upon request by the competent authority concerned.

3. For inspection, enforcement, planning and statistical purposes, the competent authority in Gibraltar may in accordance with national legislation require information as referred to in paragraph 1 on shipments covered by this Article.

4. The information referred to in paragraph 1 shall be treated as confidential where this is required national legislation.

 

CHAPTER 3

General requirements

Article 19

Prohibition on mixing waste during shipment

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

 

Article 20

Keeping of documents and information

 

1. All documents sent to or by the competent authorities in relation to a notified shipment shall be kept for at least three years from the date when the shipment starts, by the competent authorities, the notifier, the consignee and the facility which receives the waste.

2. Information given pursuant to Article 18(1) shall be kept for at least three 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

A competent authority of dispatch or destination may make publicly available by appropriate means, such as the Internet, information on notifications of shipments it has consented to, where such information is not confidential under national 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 in the second subparagraph, point 4 of Article 4 and in Article 5, it shall immediately inform the competent authority of dispatch. 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 as identified in accordance with the ranking established in point 15 of Article 2, or, if impracticable, by that competent authority itself or by a natural or legal person on its behalf.

This 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 in writing by the competent authorities of destination or transit that the consented shipment of waste or its recovery or disposal cannot be completed 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 in paragraph 2 shall not apply if the competent authorities of dispatch, transit and destination involved in disposing of or recovering the waste 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 impracticable, by the competent authority of dispatch or by a natural or legal person on its behalf.

The take-back obligation 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.

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 reasoned request by the initial competent authority of dispatch is sufficient.

A new notification, where appropriate, shall be submitted by the initial notifier or, if impracticable, by any other natural or legal persons identified in accordance with point 15 of Article 2, or, if impracticable, by the initial competent authority of dispatch or by a natural or legal person on its behalf.

No competent authority shall 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 impracticable, by any other natural or legal persons identified in accordance with point 15 of Article 2, or, if impracticable, by the initial competent authority of dispatch or by a natural or legal person on its behalf.

When such a new notification is submitted by the notifier, this notification 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 reasoned request shall suffice. Such a duly reasoned request, seeking agreement to the alternative arrangement, shall be transmitted to the competent authority of destination and dispatch by the initial notifier or, if impracticable, 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 impracticable, by any other natural or legal persons identified in accordance with point 15 of Article 2, or, if impracticable, by the initial competent authority of dispatch or by a natural or legal person on its behalf.

If 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.

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 as referred to in Article 16(e) or, where appropriate, in Article 15(e). In the cases of interim recovery or disposal referred to in Article 6(6), the subsidiary obligation of the country of dispatch shall end when the facility issues the certificate referred to in Article 15(d).

If a facility issues a certificate of recovery or disposal in such a way as to result in an illegal shipment, with the consequence that the financial guarantee is released, Article 24(3) and Article 25(2) shall apply.

9. Where waste from a shipment which cannot be completed, including its recovery or disposal, is discovered, 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.

 

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, from 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:

1. to the notifier as identified in accordance with the ranking established in point 15 of Article 2; or, if impracticable;
2. to other natural or legal persons as appropriate; or, if impracticable;
3. to the competent authority of dispatch; or, if impracticable;
4. as otherwise agreed between the competent authorities concerned.

2. This Article shall be without prejudice to 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. If an illegal shipment is the responsibility of the notifier, the competent authority of dispatch shall ensure that the waste in question is:

1. taken back by the notifier de facto; or, if no notification has been submitted;
2. taken back by the notifier de jure; or, if impracticable;
3. taken back by the competent authority of dispatch itself or by a natural or legal person on its behalf; or, if impracticable;
4. 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 impracticable;
5. 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.

This take-back, recovery or disposal 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 in writing by the competent authorities of destination or transit of the illegal shipment and 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.

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

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

No competent authority shall oppose or object to the return of waste of an illegal shipment. In the case of alternative arrangements as referred to in (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 reasoned request by that authority is sufficient.

3. If an illegal shipment is the responsibility of the consignee the competent authority of destination shall ensure that the waste in question is recovered or disposed of in an environmentally sound manner:

1. by the consignee; or, if impracticable,
2. by the competent authority itself or by a natural or legal person on its behalf.

This recovery or disposal 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 in writing by the competent authorities of dispatch or transit of the illegal shipment and informed of the reason(s) therefor. Such advice may result from information submitted to the competent authorities of dispatch and transit, inter alia, by other competent authorities.

To this end, the competent authorities concerned shall cooperate, as necessary, in the recovery or disposal of the waste.

4. If no new notification is to be submitted, a new movement document shall be completed in accordance with Article 15 or 16 by the person responsible for take-back or, if impracticable, by the initial competent authority of dispatch.

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

5. In particular 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.

6. In the cases of interim recovery or disposal referred to in Article 6(6) where an illegal shipment is discovered after completion of the interim recovery or 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(d).

If a facility issues a certificate of recovery or disposal in such a way as to result in an illegal shipment, with the consequence that the financial guarantee is released, paragraph 3 and Article 25(2) shall apply.

7. Where the waste of an illegal shipment is discovered, 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.

8. 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.

9. In the case of an illegal shipment as defined in point 35(g) of Article 2, the person who arranges the shipment shall be subject to the same obligations established in this Article as the notifier.

10. This Article shall be without prejudice to 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, from the date on which the competent authority of dispatch becomes aware that a shipment is illegal, storage costs pursuant to Article 24(7), shall be charged to:

1. the notifier de facto, as identified in accordance with the ranking established in point 15 of Article 2; or, if no notification has been submitted;
2. the notifier de jure or other natural or legal persons as appropriate; or, if impracticable;
3. the competent authority of dispatch.

2. Costs arising from recovery or disposal pursuant to Article 24(3), including possible transport and storage costs pursuant to Article 24(7), shall be charged to:

1. the consignee; or, if impracticable;
2. the competent authority of destination.

3. Costs arising from recovery or disposal pursuant to Article 24(5), including possible transport and storage costs pursuant to Article 24(7), shall be charged to:

1. the notifier, as identified in accordance with the ranking established in point 15 of Article 2, and/or the consignee, depending upon the decision by the competent authorities involved; or, if impracticable,
2. other natural or legal persons as appropriate; or, if impracticable,
3. the competent authorities of dispatch and destination.

4. In the case of an illegal shipment as defined in point 35(g) of Article 2, the person who arranges the shipment shall be subject to the same obligations established in this Article as the notifier.

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

CHAPTER 5

General administrative provisions

Article 26

Format of the communications

1. The information and documents listed below may be submitted by post:

1. notification of a planned shipment pursuant to Articles 4 and 13;
2. request for information and documentation pursuant to Articles 4, 7 and 8;
3. submission of information and documentation pursuant to Articles 4, 7 and 8;
4. written consent to a notified shipment pursuant to Article 9;
5. conditions for a shipment pursuant to Article 10;
6. objections to a shipment pursuant to Articles 11 and 12;
7. information on decisions to issue pre-consents to specific recovery facilities pursuant to Article 14(3);
8. written confirmation of receipt of the waste pursuant to Articles 15 and 16;
9. certificate for recovery or disposal of the waste pursuant to Articles 15 and 16;
10. prior information regarding actual start of the shipment pursuant to Article 16;
11. information on changes in the shipment after consent pursuant to Article 17; and
12. written consents and movement documents to be sent pursuant to Titles IV, V and VI.

2. Subject to the agreement of the competent authorities concerned and the notifier, the documents referred to in paragraph 1 may alternatively be submitted using any of the following methods of communication:

1. by fax; or
2. by fax followed by post; or
3. by e-mail with digital signature. In this case, any stamp or signature required shall be replaced by the digital signature; or
4. by e-mail without digital signature followed by post.

3. The documents to accompany each transport in accordance with Article 16(c) and Article 18 may be in an electronic form with digital signatures if they can be made readable at any time during the transport and if this is acceptable to the competent authorities concerned.

4. Subject to the agreement of the competent authorities concerned and of the notifier, the information and documents listed in paragraph 1 may be submitted and exchanged by means of electronic data interchange with electronic signature or electronic authentication in accordance with Regulation (EU) No 910/2014 of the European Parliament and of the Council on electronic identification and trust services for electronic transactions in the internal market, or a comparable electronic authentication system which provides the same level of security.

5.  The Minister may, if the condition in paragraph 6 is met, make regulations setting out the technical and organisational requirements for the practical implementation of electronic data interchange for the submission of documents and information with a view to facilitating the implementation of paragraph 4.

6.  The condition is that the Minister-

1. has taken into consideration any relevant international standards, and
2. is satisfied that the requirements set out in the regulations are in conformity with Regulation (EU) No 910/2014 or provide at least the same level of security as provided for under that Regulation.

Article 27

Language

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

2. The notifier shall provide the competent authorities concerned with authorised translation(s) into a language which is acceptable to them, should they so request.

 

Article 28

Disagreement on classification issues

1. If the competent authorities of dispatch and of destination cannot agree on the classification as regards the distinction between waste and non-waste, the subject matter shall be treated as if it were waste. 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 retained EU or international law.

2. If the competent authorities of dispatch and of destination cannot agree on the classification of the notified waste as being listed in Annex III, IIIA, IIIB or IV, the waste shall be regarded as listed in Annex IV.

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

4. Paragraphs 1 to 3 shall apply only for the purposes of this Regulation, and shall be without prejudice to rights of interested parties to resolve any dispute related to these questions before a court of law or tribunal.

 

Article 29

Administrative costs

Appropriate and proportionate administrative costs of implementing the notification and supervision procedures and usual costs of appropriate analyses and inspections may be charged to the notifier.

 

Article 30

Omitted

 

CHAPTER 6

Shipments with transit via third countries

Article 31

Shipments of waste destined for disposal

Where a shipment of waste takes place within Gibraltar with transit via one or more third countries, and the waste is destined for disposal, the competent authority of dispatch shall, in addition to the provisions of this Title, ask the competent authority in the third countries whether it wishes to send its written consent to the planned shipment:

 

Article 32

Shipments of waste destined for recovery

 

1. When a shipment of waste takes place within Gibraltar with transit via one or more non-EU countries to which 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 Gibraltar, with transit via one or more non-EU 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 lodged or no conditions have been specified, the shipment may start 30 days after the date of transmission of the acknowledgement by the competent authority of destination in accordance with Article 8.

TITLE III

Omitted

Article 33

Omitted

TITLE IV

EXPORTS TO THIRD COUNTRIES

CHAPTER 1

Exports of waste for disposal

Article 34

Export prohibitions etc.

1. All exports of waste from Gibraltar destined for disposal shall be prohibited.

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

3. However, exports of waste for disposal to an EFTA country Party to the Basel Convention shall also be prohibited:

1. where the EFTA country prohibits imports of such waste; or
2. if the competent authority of dispatch has reason to believe that the waste will not be managed in an environmentally sound manner, as referred to in Article 49, in the country of destination concerned.

4. This provision shall be without prejudice to the take-back obligations as laid down in Articles 22 and 24.

5. Where a person proposes to export waste destined for disposal in an EU or EFTA country, the Government shall be required to present a prior duly reasoned request to the competent authority of the EU or EFTA country of destination on the basis that technical capacity and the necessary facilities in order to dispose of the waste in an environmentally sound manner do not exist, or cannot reasonably be acquired, in Gibraltar.

 

Article 35

Procedures when exporting to the UK, EU or EFTA countries

1. Where waste is exported from Gibraltar and destined for disposal in the United Kingdom, EU or EFTA countries Parties to the Basel Convention, the provisions of Title II shall apply, with the adaptations and additions listed in paragraphs 2 and 3.

2. Where waste is exported with transit via one or more non-EU countries, the following adaptations shall apply:

1. the competent authority of transit outside Gibraltar shall have 60 days following the date of transmission of its acknowledgement of receipt of the notification in which to request additional information on the notified shipment, to provide, if the country concerned has decided not to require prior written consent and has informed the other Parties thereof in accordance with Article 6(4) of the Basel Convention, tacit consent or to give a written consent with or without conditions; and
2. the competent authority of dispatch in Gibraltar 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, and not earlier than 61 days following the date of transmission of the acknowledgement by the competent authority of transit. The competent authority of dispatch may take the decision before the conclusion of the 61-day time limit if it has the written consent of the other competent authorities concerned.

3. The following additional provisions shall apply:

1. Omitted
2. Omitted
3. Omitted
4. Omitted
5. if, 42 days after the waste has left Gibraltar, the competent authority of dispatch has received no information from the facility about receipt of the waste, it shall without delay inform the competent authority of destination; and
6. where waste is destined for disposal in an EFTA country Party to the Basel Convention, the contract referred to in the second subparagraph, point 4 of Article 4 and in Article 5 shall stipulate that:
   1. if 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,
   2. within three days of receipt of the waste for disposal, the facility shall send signed copies of the completed movement document, except for the certificate of disposal referred to in subpoint iii, to the notifier and the competent authorities concerned, and
   3. as soon as possible but no later than 30 days after completion of disposal, and no later than one calendar year following the receipt of the waste the facility shall, under its responsibility, certify that the disposal has been completed and shall send signed copies of the movement document containing this certification to the notifier and to the competent authorities concerned.

4. The shipment may take place only if:

1. the notifier has received written consent from the competent authorities of dispatch, destination and, where appropriate, transit and if the conditions laid down are met;
2. a contract between the notifier and consignee has been concluded and is effective, as required in the second subparagraph, point 4 of Article 4 and in Article 5;
3. a financial guarantee or equivalent insurance has been established and is effective, as required in the second subparagraph, point 5 of Article 4 and in Article 6; and
4. environmentally sound management, as referred to in Article 49, is ensured.

5. Where waste is destined for disposal in an EFTA country Party  to the Basel Convention, 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. If a customs officer discovers an illegal shipment, that officer must-

1. without delay inform the competent authority of dispatch; and

2. ensure detention of the waste until the competent authority of dispatch has decided otherwise.

 

CHAPTER 2

Exports of waste for recovery

Section 1

Exports to non-EU, non-OECD Decision countries

Article 36

Exports prohibition

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

1. wastes listed as hazardous in Annex V;
2. wastes listed in Annex V, Part 3;
3. hazardous wastes not classified under one single entry in Annex V;
4. mixtures of hazardous wastes and mixtures of hazardous wastes with non-hazardous wastes not classified under one single entry in Annex V;
5. wastes that the country of destination has notified to be hazardous under Article 3 of the Basel Convention;
6. wastes the import of which has been prohibited by the country of destination; or
7. 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 49, in the country of destination concerned.

2. This provision shall be without prejudice to the take-back obligations as set out in Articles 22 and 24.

3. A competent authority may, in an exceptional case, adopt a procedure to determine, on the basis of documentary evidence provided in an appropriate way by the notifier, that a specific hazardous waste listed in Annex V is excluded from the export prohibition if it does not display any of the properties listed in Annex III to Directive 2008/98/EC, taking into account, as regards the properties H3 to H8, H10 and H11 defined in that Annex, the limit values laid down in Commission Decision 2000/532/EC.

4. The fact that waste is not listed as hazardous in Annex V, or that it is listed in Annex V, Part 1, List B, 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, as regards the properties H3 to H8, H10 and H11 defined in that Annex, the limit values laid down in Commission Decision 2000/532/EC, as provided for in Articles 3(2) and 7 of Directive 2008/98/EC  and in the introductory paragraph of Annex III to this Regulation.

5. In the cases referred to in paragraphs 3 and 4, the competent authority shall inform the envisaged country of destination prior to taking a decision. The Minister shall ensure that the Secretariat of the Basel Convention is informed by the end of each calendar year of the occasions where a paragraph 3 and 4 have been applied during the course of that year. On the basis of the information provided, the Minister may make comments and, where appropriate, amend Annex V in accordance with Article 58.

6. For the purposes of this Article, Liechtenstein shall be deemed to be a country to which the OECD Decision applies.

 

Article 37

Procedures when exporting waste listed in Annex III or IIIA

1. In the case of waste which is listed in Annex III or IIIA and the export of which is not prohibited under Article 36, the Minister may send a written request to each non-EU country to which the OECD Decision does not apply, seeking:

Each non-EU country to which the OECD Decision does not apply shall be given the following options:

2. The Minister may, by regulations, amend Commission Regulation (EC) No 1418/2007 in order to take into account any replies received pursuant to paragraph 1 on or after 1 January 2021.

If a country has not issued a confirmation as referred to in paragraph 1 or if a country for any reason has not been contacted, paragraph 1(b) shall apply.

3. If a country indicates in its reply that certain shipments of waste are not subject to any control, Article 18 shall apply mutatis mutandis to such shipments.

4. 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.

5. In the case of a shipment of waste not classified under one single entry in Annex III or a shipment of mixtures of wastes not classified under one single entry in Annex III or IIIA or a shipment of waste classified in Annex IIIB, and provided that the export is not prohibited pursuant to Article 36, paragraph 1(b) of this Article shall apply.

6. For the purposes of this Article, Liechtenstein shall be deemed to be a country to which the OECD Decision applies.

 

Section 2

Exports to EU or OECD-Decision countries

Article 38

Exports of waste listed in Annexes III, IIIA, IIIB, IV and IVA

 

1. Where waste listed in Annexes III, IIIA, IIIB, IV and IVA, waste not classified or mixtures of wastes not classified under one single entry in either Annex III, IV or IVA are exported from Gibraltar and destined for recovery in an EU country or country to which the OECD Decision applies, with or without transit through one or more EU countries or countries to which the OECD Decision applies, the provisions of Title II shall apply, with the adaptations and additions listed in paragraphs 2, 3 and 5.

2. Except where waste is destined for recovery in an EU country, the following adaptations shall apply:

1. 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 or disposal operation is to take place in a non-EU country to which the OECD Decision does not apply;
2. waste listed in Annex IIIB shall be subject to the procedure of prior written notification and consent;
3. the consent as required in accordance with Article 9 may be provided in the form of tacit consent from the competent authority of destination.

3. As regards exports of waste listed in Annexes IV and IVA, the following additional provisions shall apply:

1. Omitted
2. Omitted
3. Omitted
4. if, 42 days after the waste has left Gibraltar, the competent authority of dispatch in Gibraltar has received no information from the facility about receipt of the waste, it shall without delay inform the competent authority of destination; and
5. except where waste is destined for recovery in an EU country, the contract referred to in the second subparagraph, point 4 of Article 4 and in Article 5 shall stipulate that:
   1. if 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,
   2. within three days of receipt of the waste for recovery, the facility shall send signed copies of the completed movement document, except for the certificate of recovery referred to in subpoint iii, to the notifier and the competent authorities concerned, and
   3. as soon as possible but no later than 30 days after completion of recovery, and no later than one calendar year following the receipt of the waste the facility shall, under its responsibility, certify that the recovery has been completed and shall send signed copies of the movement document containing this certification to the notifier and to the competent authorities concerned.

4. The shipment may take place only if:

1. the notifier has received written consent from the competent authorities of dispatch, destination and, where appropriate, transit or, if tacit consent from the competent authority of destination in any non-EU country or tacit consent from the competent authority of transit in any country is provided or can be assumed and if the conditions laid down are met;
2. Article 35(4)(b), (c) and (d) is complied with.

5. If an export as described in paragraph 1 of waste listed in Annexes IV and IVA is in transit through a non-EU country to which the OECD Decision does not apply, the following adaptations shall apply:

1. the competent authority of transit shall have 60 days following the date of transmission of its acknowledgement of receipt of the notification in which to request additional information on the notified shipment, to provide, if the country concerned has decided not to require prior written consent and has informed the other Parties thereof in accordance with Article 6(4) of the Basel Convention, tacit consent or to give a written consent with or without conditions; and
2. the competent authority of dispatch shall take the decision to consent to the shipment as referred to in Article 9 only after having received tacit or written consent from that competent authority of transit, and not earlier than 61 days following the date of transmission of the acknowledgement of the competent authority of transit. The competent authority of dispatch may take the decision before the conclusion of the 61-day time limit if it has the written consent of the other competent authorities concerned.

6. Except where waste is destined for recovery in an EU country, 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. If a customs officer discovers an illegal shipment, that officer must-

1. without delay inform the competent authority of dispatch; and
2. ensure detention of the waste until the competent authority of dispatch has decided otherwise.

8. For the purposes of this Article, Liechtenstein shall be deemed to be a country to which the OECD Decision applies.

 

CHAPTER 3

General provisions

Article 39

Exports to the Antarctic

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

 

Article 40

Exports to overseas countries or territories

 

1. Exports from Gibraltar of waste destined for disposal in overseas countries or territories 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.

3. As regards exports of waste destined for recovery in overseas countries or territories not covered by the prohibition set out in paragraph 2, the provisions of Title II shall apply mutatis mutandis.

 

TITLE V

IMPORTS FROM THIRD COUNTRIES

CHAPTER 1

Imports of waste for disposal

Article 41

Imports prohibited except from a country Party to the Basel Convention or with an agreement in place or from other areas during situations of crisis or war

1. Imports into Gibraltar of waste destined for disposal shall be prohibited except those from:

1. countries which are Parties to the Basel Convention; or
2. other countries with which Gibraltar has concluded bilateral or multilateral agreements or arrangements compatible with retained EU law and in accordance with Article 11 of the Basel Convention; or
3. other countries with which Gibraltar has concluded bilateral agreements or arrangements in accordance with paragraph 2; or
4. 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, the Minister may conclude bilateral agreements and arrangements for the disposal of specific waste in Gibraltar, where such waste will not be managed in an environmentally sound manner, as referred to in Article 49, in the country of dispatch.

These agreements and arrangements shall be compatible with retained EU law and in accordance with Article 11 of the Basel Convention.

These agreements and arrangements shall guarantee that the disposal operations will be carried out in an authorised facility and will comply with the requirements for environmentally sound management.

These agreements and arrangements shall also guarantee that the waste is produced in the country of dispatch and that disposal will be carried out exclusively in Gibraltar.

3. Bilateral or multilateral agreements or arrangements entered into in accordance with paragraph 1(b) and (c) shall be based upon the procedural requirements of Article 42.

4. The countries referred to in paragraph 1(a), (b) and (c) shall be required to present a prior duly reasoned request to the competent authority 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.

 

Article 42

Procedural requirements for imports from a country Party to the Basel Convention or from other areas during situations of crisis or war

1. Where waste is imported into Gibraltar and destined for disposal from countries Parties to the Basel Convention, the provisions of Title II shall apply, with the adaptations and additions listed in paragraphs 2.

2. The following adaptations shall apply:

1. the competent authority of transit in any non-EU country shall have 60 days following the date of transmission of its acknowledgement of receipt of the notification in which to request additional information on the notified shipment, to provide, if the country concerned has decided not to require prior written consent and has informed the other Parties thereof in accordance with Article 6(4) of the Basel Convention, tacit consent or to give a written consent with or without conditions; and
2. in the cases referred to in Article 41(1)(d) involving situations of crisis, peacemaking, peacekeeping or war, the consent of the competent authorities of dispatch shall not be required.

3. Omitted

4. The shipment may take place only if:

1. the notifier has received written consent from the competent authorities of dispatch, destination and, where appropriate, transit and if the conditions laid down are met;
2. a contract between the notifier and consignee has been concluded and is effective, as required in the second subparagraph, point 4 of Article 4 and in Article 5;
3. a financial guarantee or equivalent insurance has been established and is effective, as required in the second subparagraph, point 5 of Article 4 and in Article 6; and
4. environmentally sound management, as referred to in Article 49, is ensured.

5. If a customs officer discovers an illegal shipment, that officer must-

1. without delay inform the competent authority of destination; and
2. ensure detention of the waste until the competent authority of destination has decided otherwise.

 

CHAPTER 2

Imports of waste for recovery

Article 43

Imports prohibited except from an OECD Decision country or a country Party to the Basel Convention or with an agreement in place or from other areas during situations of crisis or war

1. All imports into Gibraltar of waste destined for recovery shall be prohibited except those from:

1. countries to which the OECD Decision applies; or
2. other countries which are Parties to the Basel Convention; or
3. other countries with which Gibraltar has concluded bilateral or multilateral agreements or arrangements compatible with retained EU law and in accordance with Article 11 of the Basel Convention; or
4. other countries with which Gibraltar has have concluded bilateral agreements or arrangements in accordance with paragraph 2; or
5. 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, the Minister may conclude bilateral agreements and arrangements for the recovery of specific waste in Gibraltar, where such waste will not be managed in an environmentally sound manner, as referred to in Article 49, in the country of dispatch.

In such cases Article 41(2) shall apply.

3. Bilateral or multilateral agreements or arrangements entered into in accordance with paragraph 1(c) and (d) shall be based upon the procedural requirements of Article 42 in so far as may be relevant.

Article 44

Procedural requirements for imports from an EU or OECD Decision country or from other areas during situations of crisis or war

1. Where waste destined for recovery is imported into Gibraltar from or through an EU country or country to which the OECD Decision applies, the provisions of Title II shall apply, with the adaptations and additions listed in paragraphs 2.

2. The following adaptations shall apply:

1. the consent as required in accordance with Article 9 may be provided in the form of tacit consent from the competent authority of dispatch in any non-EU country;
2. where waste is imported from a non-EU country to which the OECD Decision applies, with or without transit via another country, prior written notification in accordance with Article 4 may be submitted by the notifier; and
3. in the cases referred to in Article 43(1)(e) involving situations of crisis, peacemaking, peacekeeping or war, the consent of the competent authorities of dispatch shall not be required.

3. Omitted

4. The shipment may take place only if:

1. the notifier has received written consent from the competent authorities of dispatch, destination and, where appropriate, transit or if tacit consent from the competent authority of dispatch in any non-EU country is provided or can be assumed and if the conditions laid down are met;
2. a contract between the notifier and consignee has been concluded and is effective, as required in the second subparagraph, point 4 of Article 4 and in Article 5;
3. a financial guarantee or equivalent insurance has been established and is effective, as required in the second subparagraph, point 5 of Article 4 and in Article 6; and
4. environmentally sound management, as referred to in Article 49, is ensured.

5. If a customs officer discovers an illegal shipment, that officer must-

1. without delay inform the competent authority of destination; and

2. ensure detention of the waste until the competent authority of destination has decided otherwise.

 

Article 45

Procedural requirements for imports from a non-EU, non-OECD Decision country Party to the Basel Convention or from other areas during situations of crisis or war

Where waste destined for recovery is imported into Gibraltar:

Article 42 shall apply mutatis mutandis.

 

CHAPTER 3

General provisions

Article 46

Imports from overseas countries or territories

1. Where waste is imported into Gibraltar from overseas countries or territories, Title II shall apply.

2. One or more overseas countries and territories listed in points (a) to (n) of Article 2(26) and Gibraltar may apply national procedures to shipments from the overseas country or territory to Gibraltar.

3. Where paragraph 2 applies, the Minister must ensure that the Secretariat of the Basel Convention is notified of the national procedures applied.

 

TITLE VI

TRANSIT THROUGH GIBRALTAR FROM AND TO THIRD COUNTRIES

CHAPTER 1

Transit of waste for disposal

Article 47

Transit through Gibraltar of waste destined for disposal

Where waste destined for disposal is shipped through Gibraltar from and to third countries, Article 42 shall apply mutatis mutandis.

 

CHAPTER 2

Transit of waste for recovery

Article 48

Transit through Gibraltar of waste destined for recovery

 

1. Where waste destined for recovery is shipped through Gibraltar from and to a non-EU country to which the OECD Decision does not apply, Article 47 shall apply mutatis mutandis.

2. Where waste destined for recovery is shipped through Gibraltar from and to an EU country or a country to which the OECD Decision applies, Article 44 shall apply mutatis mutandis.

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

TITLE VII

OTHER PROVISIONS

CHAPTER 1

Additional obligations

Article 49

Protection of the environment

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

2. In the case of an export from Gibraltar to a non-EU country, the competent authority of dispatch in Gibraltar shall:

1. require and endeavour to secure that any waste exported is managed in an environmentally sound manner throughout the period of shipment, including recovery as referred to in Articles 36 and 38 or disposal as referred to in Article 34, in the country of destination;
2. prohibit an export of waste if it has reason to believe that the waste will not be managed in accordance with the requirements of point (a).

Environmentally sound management may, inter alia, be assumed as regards the waste recovery or disposal operation concerned, if the notifier or the competent authority in the country of destination can demonstrate that the facility which receives the waste will be operated in accordance with human health and environmental protection standards that are broadly equivalent to standards established in retained EU law.

This assumption shall, however, be without prejudice to the overall assessment of environmentally sound management throughout the period of shipment and including recovery or disposal in the country of destination.

For the purposes of seeking guidance on environmentally sound management, the guidelines listed in Annex VIII may be considered.

3. In the case of an import into Gibraltar from a non-EU country, the competent authority of destination in Gibraltar shall:

1. 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 throughout the period of shipment, including recovery or disposal in the country of destination;
2. prohibit an import of waste if it has reason to believe that the waste will not be managed in accordance with the requirements of point (a).

 

Article 50

Enforcement

1. Omitted

2. Omitted

2a. The Minister shall ensure that, in respect of Gibraltar, one or more plans are maintained, either separately or as a clearly defined part of other plans, for inspections carried out for the purposes of the enforcement of this Regulation (‘inspection plan’). Inspection plans shall be based on a risk assessment covering specific waste streams and sources of illegal shipments and considering, if available and 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 of inspections required, including physical checks on establishments, undertakings, brokers, dealers and shipments of waste or on the related recovery or disposal. An inspection plan shall include the following elements:

1. the objectives and priorities of the inspections, including a description of how those priorities have been identified;
2. the geographical area covered by that inspection plan;
3. information on planned inspections, including on physical checks;
4. the tasks assigned to each authority involved in inspections;
5. arrangements for cooperation between authorities involved in inspections;
6. information on the training of inspectors on matters relating to inspections; and
7. information on the human, financial and other resources for the implementation of that inspection plan.

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.

3. Inspections of shipments may take place in particular:

1. at the point of origin, carried out with the producer, holder or notifier;
2. at the point of destination, including interim and non-interim recovery or disposal, carried out with the consignee or the facility;
3. at the frontiers of the Gibraltar; and/or
4. during the shipment within the Gibraltar. 

4. Inspections of shipments shall include the verification of documents, the confirmation of identity and, where appropriate, physical checking of the waste. 

4a. 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, without prejudice to Part II of the Environment (Waste) Regulations 2007, 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:

1. as to the origin and destination of the substance or object concerned; and
2. 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.

4b. The authorities involved in inspections may conclude that the substance or object concerned is waste where:

• the evidence referred to in paragraph 4a or required under other retained EU law to ascertain that a substance or object is not waste, has not been submitted within the period specified by them, or
• 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 4a to be insufficient.

In such circumstances, 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.

4c. 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 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.

In order to ascertain whether a shipment of waste falling under the general information requirements of Article 18 is destined for recovery operations which are in accordance with Article 49, 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.

4d. Where the evidence referred to in paragraph 4c 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. 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.

4e. The Minister may, by regulations, amend the correlation table in Commission Implementing Regulation (EU) 2016/1245 in order to-

1. reflect changes to the combined nomenclature provided for in Council Regulation (EEC) No 2658/87;
2. reflect changes to the entries of waste listed in Annexes 3, 3A, 3B, 4, 4A and 5;
3. include any new waste-related codes of the Harmonised System Nomenclature that the World Customs Organisation may adopt.

5. The competent authorities in Gibraltar shall, where appropriate, cooperate, bilaterally and multilaterally, with the competent authorities of EU countries in order to-

1. facilitate the prevention and detection of illegal shipments;

2. exchange relevant information on shipments of waste, flows of waste, operators and facilities; and

3. share experience and knowledge on enforcement measures, including the risk assessment carried out pursuant to paragraph 2a of this Article.

6. Each competent authority in Gibraltar shall identify those members of its permanent staff responsible for the cooperation referred to in paragraph 5 and identify the focal point(s) for the physical checks referred to in paragraph 4. The Minister shall, before the end of each calendar year, ensure that the information is sent to the Secretariat of the Basel Convention.

 

Article 51

Reports

1. The Minister must, before the end of each calendar year-

1. prepare the report for the previous calendar year referred to in Article 13(3) of the Basel Convention; and
2. ensure that it is transmitted to the Secretariat of the Basel Convention in accordance with that Article.

2. The Minister must, before the end of each calendar year-

1. prepare a further report for the previous calendar year based on the questionnaire and table in Annex 9; and
2. publish the further report in a manner which the Minister considers appropriate.

 

Article 52

International cooperation

Gibraltar, where appropriate and necessary, 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 53 & 54

Omitted

 

Article 55

Designation of frontier crossing points

The Minister may designate places at which waste entering or leaving Gibraltar is controlled. If the Minister decides to designate such places, a shipment of waste must not be allowed to use any other places within Gibraltar for the purposes of entering or leaving Gibraltar.

 

Article 56

Notification of, and information regarding, designations

1. The Minister must ensure that the Secretariat of the Basel Convention is informed of designations of:

1. competent authorities;
2. Omitted
3. where appropriate, frontier crossing points, designated pursuant to Article 55.

2. In relation to those designations, the Minister must ensure that the Secretariat of the Basel Convention is informed of the following information:

1. name(s);
2. postal address(es);
3. e-mail address(es);
4. telephone number(s);
5. fax number(s); and
6. languages acceptable to the competent authorities.

3. The Minister must ensure that the Secretariat of the Basel Convention is informed is immediately notified of any changes in this information.

4. Omitted

5. The Minister shall publish on a website lists of the competent authorities in Gibraltar and frontier crossing points designated pursuant to Article 55, and shall update these lists as appropriate.

 

CHAPTER 2

Other provisions

Article 57

Omitted

 

Article 58

Amendment of the Annexes

1. The Commission shall be empowered to adopt delegated acts in accordance with Article 58a to amend the following:

1. Annexes IA, IB, IC, II, III, IIIA, IIIB, IV, V, VI and VII to take account of changes agreed under the Basel Convention and the OECD Decision;
2. Annex V to reflect agreed changes to the list of waste adopted in accordance with Article 7 of Directive 2008/98/EC;
3. Annex VIII to reflect decisions taken under relevant international conventions and agreements.

Article 58a

Omitted

 

Article 59

Deleted

Article 59a

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 60

Omitted

Article 61

Repeals

1. Regulation (EEC) No 259/93 and Decision 94/774/EC are hereby repealed with effect from 12 July 2007.

2. References made to the repealed Regulation (EEC) No 259/93 shall be construed as being made to this Regulation.

3. Decision 1999/412/EC is hereby repealed with effect from 1 January 2008.

 

Articles 62 to 64

Omitted

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ANNEX IA

Notification document for transboundary movements/shipments of waste 

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ANNEX IB

Movement document for transboundary movements/shipments of waste 

ANNEX IC

SPECIFIC INSTRUCTIONS FOR COMPLETING THE NOTIFICATION AND MOVEMENT DOCUMENTS

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

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

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

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

II. Purpose of the notification and movement documents

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

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

III. General requirements

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

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

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

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

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

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

IV. Specific instructions for completing the notification document

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

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

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

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

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

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

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

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

21. Block 10 (See Annex II, Part 1, point 5): Provide the required information (give destination of the shipment by ticking either disposal or recovery facility, registration number only where applicable and actual site of disposal or recovery if it is different from the address of the facility). If the disposer or recoverer is also the consignee, state here ‘Same as block 2’. If the disposal or recovery operation is a D13–D15 or R12 or R13 operation (according to Annex I or II of Directive 2008/98/EC), the facility performing the operation should be mentioned in block 10, as well as the location where the operation will be performed. In such a case, corresponding information on the subsequent facility or facilities, where any subsequent R12/R13 or D13–D15 operation and the D1–D12 or R1–R11 operation or operations takes or take place or may take place should be provided in an annex. If the recovery or disposal facility is a facility (within the meaning of regulation 2(1) of the Pollution Prevention and Control Regulations 2013), evidence (e.g. a declaration certifying its existence) of a valid permit issued in accordance with the those regulations must be provided in an annex.

22. Block 11 (See Annex II, Part 1, points 5, 19 and 20): Indicate the type of recovery or disposal operation by using R-codes or D-codes of Annex I or II of Directive 2008/98/EC (see also the list of abbreviations and codes attached to the notification document) . If the disposal or recovery operation is a D13–D15 or R12 or R13 operation, corresponding information on the subsequent operations (any R12/R13 or D13–D15 as well as D1–D12 or R1–R11) should be provided in an annex. Also indicate the technology to be employed. If the waste is destined for recovery, provide the planned method of disposal for the non-recoverable fraction after recovery, the amount of recovered material in relation to non-recoverable waste, the estimated value of the recovered material and the cost of recovery and the cost of disposal of the non-recoverable fraction in an annex. In addition, in cases of imports into Gibraltar of wastes destined for disposal, indicate a prior duly motivated request from the country of dispatch according Article 41(4) of this Regulation under ‘reason for export’ and attach this request in an annex. Some third countries outside the OECD may, based on the Basel Convention, also require that the reason for export is specified.

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

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

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

1. Subheading (i): Basel Convention Annex VIII codes should be used for wastes that are subject to the procedure of prior written notification and consent (see Part I of Annex IV of this Regulation); Basel Annex IX codes should be used for wastes that are not usually subject to the procedure of prior written notification and consent but which, for a specific reason such as contamination by hazardous substances (cf. paragraph 1 of Annex III of this Regulation) or different classification according to national regulations , are subject to the procedure of prior written notification and consent (see Part I of Annex III of this Regulation). Basel Annexes VIII and IX can be found in Annex V of this Regulation, in the text of the Basel Convention as well as in the Instruction Manual available from the Secretariat of the Basel Convention. If a waste is not listed in Annexes VIII or IX of the Basel Convention, insert ‘not listed’.
2. Subheading (ii): OECD member countries should use OECD codes for wastes listed in Part II of Annexes III and IV of this Regulation, i.e. wastes that have no equivalent listing in the Annexes of the Basel Convention or that have a different level of control under this Regulation from the one required by the Basel Convention. If a waste is not listed in Part II of Annexes III and IV of this Regulation, insert ‘not listed’.
3. Subheading (iii): The codes included in Commission Decision 2000/532/EC should be used. [F11 Such codes may also be included in Annex IIIB of this Regulation.]
4. Subheadings (iv) and (v): Where applicable, national identification codes other than the EC list of wastes used in the country of dispatch and, if known, in the country of destination should be used. [F11 Such codes may be included in Annexes IIIA, IIIB or IVA of this Regulation.]

5. Subheading (vi): If useful or required by the relevant competent authorities, add here any other code or additional information that would facilitate the identification of the waste.
   
   Such codes may be included in Annexes IIIA, IIIB or IVA of this Regulation. In that case, the Annex number should be stated in front of the codes. As regards Annex IIIA, the relevant code(s) as indicated in Annex IIIA should be used, as appropriate in sequence. Certain Basel entries such as B1100 and B3020 are restricted to particular waste streams only, as indicated in Annex IIIA.

6. Subheading (vii): State the appropriate Y-code or Y-codes according to the ‘Categories of wastes to be controlled’ (see Annex I of the Basel Convention and Appendix 1 of the OECD Decision), or according to the ‘Categories of wastes requiring special consideration’ given in Annex II of the Basel Convention (see Annex IV Part I of this Regulation or Appendix 2 of the Basel Instruction Manual), if it or they exist(s). Y-codes are not required by this Regulation and the OECD Decision except where the waste shipment falls under one of the three ‘Categories requiring special consideration’ under the Basel Convention (Y46, Y47 and Y48 or Annex II wastes), in which case the Basel Y-code should be indicated. Nevertheless, indicate the Y-code or Y-codes for wastes defined as hazardous according Article 1(1)(a) of the Basel Convention in order to fulfil the reporting requirements under the Basel Convention.

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

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

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

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

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

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

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

29. Block 18: Indicate the number of annexes containing any additional information supplied with the notification document . Each annex must include a reference to the notification number to which it relates, which is indicated in the corner of block 3.

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

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

V. Specific instructions for completing the movement document

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

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

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

35. Blocks 3 and 4: Reproduce the same information on the notifier and consignee as given in blocks 1 and 2 in the notification document.

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

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

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

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

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

41. Blocks 10 and 11: Reproduce the information given in blocks 10 and 11 in the notification document. If the disposer or recoverer is also the consignee, write in block 10: ‘Same as block 4’. If the disposal or recovery operation is a D13–D15 or R12 or R13 operation (according to Annex I or II of Directive 2008/98/EC), the information on the facility performing the operation provided in block 10 is sufficient. No further information on any subsequent facilities performing R12/R13 or D13–D15 operations and the subsequent facility(ies) performing the D1–D12 or R1–R11 operation(s) needs to be included in the movement document.

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

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

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

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

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

47. Receipt of the waste consignment must be certified by any facility performing any disposal or recovery operation, including any D13–D15 or R12 or R13 operation. A facility performing any D13D15 or R12/R13 operation or a D1–D12 or R1–11 operation subsequent to a D13–D15 or R12 or R13 operation in the same country, is not, however, required to certify receipt of the consignment from the D13–D15 or R12 or R13 facility. Thus, block 18 does not need to be used for the final receipt of the consignment in such a case. Indicate also the type of disposal or recovery operation by using R-codes or D codes of Annex I or II of Directive 2008/98/EC and the approximate date by which the disposal or recovery of waste will be completed.

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

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

50. Blocks 20, 21 and 22: The blocks must be used for control by customs officers. 

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ANNEX II

INFORMATION AND DOCUMENTATION RELATED TO NOTIFICATION

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

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

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

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

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

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

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

If the recovery or disposal facility is listed in Annex I, Category 5 of Directive 2010/75/EU, evidence (e.g. a declaration certifying its existence) of a valid permit issued in accordance with the Pollution Prevention and Control Regulations 2013 shall be provided.

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

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

8. Country of dispatch and relevant competent authority.

9. Countries of transit and relevant competent authorities.

10. Country of destination and relevant competent authority.

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

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

13. Means of transport envisaged.

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

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

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

17. Estimated maximum and minimum quantities.

18. Type of packaging envisaged.

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

20 If the waste is destined for recovery:

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

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

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

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

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

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

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

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

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

2. Copy of the permit issued in accordance with the Pollution Prevention and Control  Regulations 2013 or Articles 4 and 5 of Directive 2010/75/EU as amended from time to time.

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

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

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

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

7. Chemical analysis of the composition of the waste.

8. Description of the production process of the waste.

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

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

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

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

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

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

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ANNEX III

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

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

Part I

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

Wastes listed in Annex IX to the Basel Convention.

For the purposes of this Regulation:

Part II

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

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

 

 

 

 

Other wastes containing metals

 

 

 

 

Glass waste in non-dispersible form

Ceramic wastes in non-dispersible form

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

Solid plastic wastes

Wastes arising from tanning and fellmongery operations and leather use

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ANNEX IIIA

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

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

1. increases the risks associated with the wastes sufficiently to render them appropriate for submission to the procedure of prior written notification and consent, when taking into account the hazardous characteristics listed in Annex III to Directive 2008/98/EC; or
2. prevents the recovery of the wastes in an environmentally sound manner.

1. mixtures of wastes classified under Basel entries B1010 and B1050;
2. mixtures of wastes classified under Basel entries B1010 and B1070;
3. mixtures of wastes classified under Basel entries B3040 and B3080;
4. mixtures of wastes classified under (OECD) entry GB040 and under Basel entry B1100 restricted to hard zinc spelter, zinc-containing drosses, aluminium skimmings (or skims) excluding salt slag and wastes of refractory linings, including crucibles, originating from copper smelting;
5. mixtures of wastes classified under (OECD) entry GB040, under Basel entry B1070 and under Basel entry B1100 restricted to wastes of refractory linings, including crucibles, originating from copper smelting.

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

 

ANNEX IIIB

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

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

2. The following wastes are included in this Annex:

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

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

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ANNEX IV

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

Part I

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

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

For the purposes of this Regulation:

Part II

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

Metal bearing wastes

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

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

Wastes which may contain either inorganic or organic constituents

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

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ANNEX IVA

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

 

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ANNEX V

WASTE SUBJECT TO THE EXPORT PROHIBITION IN ARTICLE 36

Introductory notes

1. Omitted

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

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

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

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

Part 1

List A (Annex VIII to the Basel Convention)

A1 METAL AND METAL BEARING WASTES

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

• Antimony
• Arsenic
• Beryllium
• Cadmium
• Lead
• Mercury
• Selenium
• Tellurium
• Thallium

but excluding such wastes specifically listed on list B.

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

• Antimony; antimony compounds
• Beryllium; beryllium compounds
• Cadmium; cadmium compounds
• Lead; lead compounds
• Selenium; selenium compounds
• Tellurium; tellurium compounds

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

• Arsenic; arsenic compounds
• Mercury; mercury compounds
• Thallium; thallium compounds

A1040 Wastes having as constituents any of the following:

• Metal carbonyls
• Hexavalent chromium compounds

A1050 Galvanic sludges

A1060 Waste liquors from the pickling of metals

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

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

A1090 Ashes from the incineration of insulated copper wire

A1100 Dusts and residues from gas cleaning systems of copper smelters

A1110 Spent electrolytic solutions from copper electrorefining and electrowinning operations

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

A1130 Spent etching solutions containing dissolved copper

A1140 Waste cupric chloride and copper cyanide catalysts

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

A1160 Waste lead-acid batteries, whole or crushed

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

A1180 Waste electrical and electronic assemblies or scrap containing components such as accumulators and other batteries included on list A, mercury-switches, glass from cathode‐ray tubes and other activated glass and PCB-capacitors, or contaminated with Annex I constituents (e.g. cadmium, mercury, lead, polychlorinated biphenyl) to an extent that they possess any of the characteristics contained in Annex III (note the related entry on list B, B1110)

A1190 Waste metal cables coated or insulated with plastics containing or contaminated with coal tar, PCB, lead, cadmium, other organohalogen compounds or other Annex I constituents, to the extent that they exhibit Annex III characteristics

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

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

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

A2030 Waste catalysts but excluding such wastes specified on list B

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

A2050 Waste asbestos (dusts and fibres)

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

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

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

A3020 Waste mineral oils unfit for their originally intended use

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

A3040 Waste thermal (heat transfer) fluids

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

A3060 Waste nitrocellulose

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

A3080 Waste ethers not including those specified on list B

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

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

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

A3120 Fluff - light fraction from shredding

A3130 Waste organic phosphorous compounds

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

A3150 Waste halogenated organic solvents

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

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

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

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

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

AC3210 Plastic waste, including mixtures of such wastes, containing or contaminated with Basel Convention, Annex I constituents to an extent that it exhibits a Basel Convention, Annex III characteristic.

A4 WASTES WHICH MAY CONTAIN EITHER INORGANIC OR ORGANIC CONSTITUENTS

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

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

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

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

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

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

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

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

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

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

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

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

• any congenor of polychlorinated dibenzo-furan
• any congenor of polychlorinated dibenzo-p-dioxin

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

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

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

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

List B (Annex IX to the Basel Convention)

B1 METAL AND METAL BEARING WASTES

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

• Precious metals (gold, silver, the platinum group, but not mercury)
• Iron and steel scrap
• Copper scrap
• Nickel scrap
• Aluminium scrap
• Zinc scrap
• Tin scrap
• Tungsten scrap
• Molybdenum scrap
• Tantalum scrap
• Magnesium scrap
• Cobalt scrap
• Bismuth scrap
• Titanium scrap
• Zirconium scrap
• Manganese scrap
• Germanium scrap
• Vanadium scrap
• Scrap of Hafnium, Indium, Niobium, Rhenium and Gallium
• Thorium scrap
• Rare earths scrap
• Chromium scrap

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

• Antimony scrap
• Beryllium scrap
• Cadmium scrap
• Lead scrap (but excluding lead-acid batteries)
• Selenium scrap
• Tellurium scrap

B1030 Refractory metals containing residues

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

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

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

B1060 Waste Selenium and Tellurium in metallic elemental form including powder

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

B1080 Zinc ash and residues including zinc alloys residues in dispersible form unless containing Annex I constituents in concentration such as to exhibit Annex III characteristics 

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

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

• Hard zinc spelter
• Zinc-containing drosses:
  • Galvanising slab zinc top dross (>90 % Zn)
  • Galvanising slab zinc bottom dross (>92 % Zn)
  • Zinc die casting dross (>85 % Zn)
  • Hot dip galvanisers slab zinc dross (batch) (>92 % Zn)
  • Zinc skimmings
• Aluminium skimmings (or skims) excluding salt slag
• Slags from copper processing for further processing or refining not containing arsenic, lead or cadmium to an extent that they exhibit Annex III hazard characteristics
• Wastes of refractory linings, including crucibles, originating from copper smelting
• Slags from precious metals processing for further refining
• Tantalum bearing tin slags with less than 0,5 % tin

B1110 Electrical and electronic assemblies:

• Electronic assemblies consisting only of metals or alloys
• Waste electrical and electronic assemblies or scrap(including printed circuit boards) not containing components such as accumulators and other batteries included on list A, mercury-switches, glass from cathode-ray tubes and other activated glass and PCB-capacitors, or not contaminated with Annex I constituents (e.g. cadmium, mercury, lead, polychlorinated biphenyl) or from which these have been removed, to an extent that they do not possess any of the characteristics contained in Annex III (note the related entry on list A, A1180)
• Electrical and electronic assemblies (including printed circuit boards, electronic components and wires) destined for direct re-use and not for recycling or final disposal

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

B1120 Spent catalysts excluding liquids used as catalysts, containing any of:

B1130 Cleaned spent precious-metal-bearing catalysts

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

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

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

B1170 Precious-metal ash from the incineration of photographic film

B1180 Waste photographic film containing silver halides and metallic silver

B1190 Waste photographic paper containing silver halides and metallic silver

B1200 Granulated slag arising from the manufacture of iron and steel

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

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

B1230 Mill scaling arising from the manufacture of iron and steel

B1240 Copper oxide mill-scale

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

B2 WASTES CONTAINING PRINCIPALLY INORGANIC CONSTITUENTS, WHICH MAY CONTAIN METALS AND ORGANIC MATERIALS

B2010 Wastes from mining operations in non-dispersible form:

• Natural graphite waste
• Slate waste, whether or not roughly trimmed or merely cut, by sawing or otherwise
• Mica waste
• Leucite, nepheline and nepheline syenite waste
• Feldspar waste
• Fluorspar waste
• Silica wastes in solid form excluding those used in foundry operations

B2020 Glass waste in non-dispersible form:

• Cullet and other waste and scrap of glass except for glass from cathode-ray tubes and other activated glasses

B2030 Ceramic wastes in non-dispersible form:

• Cermet wastes and scrap (metal ceramic composites)
• Ceramic based fibres not elsewhere specified or included

B2040 Other wastes containing principally inorganic constituents:

• Partially refined calcium sulphate produced from flue-gas desulphurisation (FGD)
• Waste gypsum wallboard or plasterboard arising from the demolition of buildings
• Slag from copper production, chemically stabilised, having a high iron content (above 20 %) and processed according to industrial specifications (e.g. DIN 4301 and DIN 8201) mainly for construction and abrasive applications
• Sulphur in solid form
• Limestone from the production of calcium cyanamide (having a pH less than 9)
• Sodium, potassium, calcium chlorides
• Carborundum (silicon carbide)
• Broken concrete
• Lithium-Tantalum and Lithium-Niobium containing glass scraps

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

B2060 Spent activated carbon [X4not containing any Annex I constituents to the extent that they exhibit] Annex III characteristics, for example, carbon resulting from the treatment of potable water and processes of the food industry and vitamin production (note the related entry on list A A4160)

B2070 Calcium fluoride sludge

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

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

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

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

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

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

B3 WASTES CONTAINING PRINCIPALLY ORGANIC CONSTITUENTS, WHICH MAY CONTAIN METALS AND INORGANIC MATERIALS

B3011 Plastic waste listed below, provided it is destined for recycling/reclamation in an environmentally sound manner and almost free from contamination and other types of wastes:

—Plastic waste almost exclusively consisting of one nonhalogenated polymer, including but not limited to the following polymers:

 

 

• Polyethylene (PE)
• Polypropylene (PP)
• Polystyrene (PS)
• Acrylonitrile butadiene styrene (ABS)
• Polyethylene terephthalate (PET)
• Polycarbonates (PC)
• Polyethers

—Plastic waste almost exclusively consisting of one cured resin or condensation product including, but not limited to the following resins:

 

 

• Urea formaldehyde resins
• Phenol formaldehyde resins
• Melamine formaldehyde resins
• Epoxy resins
• Alkyd resins

—Plastic waste, except post-consumer waste, almost exclusively consisting of one of the following fluorinated polymers:

 

 

• Perfluoroethylene/propylene (FEP)
• Perfluoro alkoxyl alkane
• Tetrafluoroethylene/per fluoro vinyl ether (PFA)
• Tetrafluoroethylene/per fluoro methylvinyl ether (MFA)
• Polyvinylfluoride (PVF)
• Polyvinylidenefluoride (PVDF)

—Mixtures of plastic wastes, consisting of polyethylene (PE), polypropylene (PP) or polyethylene terephthalate (PET), provided they are destined for separate recycling/reclamation of each material and in an environmentally sound manner, and almost free from contamination and other types of wastes.

In this entry, “recycling/reclamation” means either of the following, as evidenced by contractual or relevant official documentation—

1. the recycling/reclamation of organic substances which are not used as solvents, or
2. if needed, temporary storage limited to one operation, provided that it is followed by the recycling/reclamation of organic substances which are not used as solvents.

B3020 Paper, paperboard and paper product wastes

The following materials, provided they are not mixed with hazardous wastes:

Waste and scrap of paper or paperboard of:

• unbleached paper or paperboard or of corrugated paper or paperboard
• other paper or paperboard, made mainly of bleached chemical pulp, not coloured in the mass
• paper or paperboard made mainly of mechanical pulp (for example, newspapers, journals and similar printed matter)
• other, including but not limited to

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

• Non-separable plastic fraction
• Non-separable plastic-aluminium fraction

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

B3030 Textile wastes

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

• Silk waste (including cocoons unsuitable for reeling, yarn waste and garnetted stock)
  • not carded or combed
  • other
• Waste of wool or of fine or coarse animal hair, including yarn waste but excluding garnetted stock
  • noils of wool or of fine animal hair
  • other waste of wool or of fine animal hair
  • waste of coarse animal hair
• Cotton waste (including yarn waste and garnetted stock)
  • yarn waste (including thread waste)
  • garnetted stock
  • other
• Flax tow and waste
• Tow and waste (including yarn waste and garnetted stock) of true hemp (Cannabis sativa L.)
• Tow and waste (including yarn waste and garnetted stock) of jute and other textile bast fibres (excluding flax, true hemp and ramie)
• Tow and waste (including yarn waste and garnetted stock) of sisal and other textile fibres of the genus Agave
• Tow, noils and waste (including yarn waste and garnetted stock) of coconut
• Tow, noils and waste (including yarn waste and garnetted stock) of abaca (Manila hemp or Musa textilis Nee)
• Tow, noils and waste (including yarn waste and garnetted stock) of ramie and other vegetable textile fibres, not elsewhere specified or included
• Waste (including noils, yarn waste and garnetted stock) of man-made fibres
  • of synthetic fibres
  • of artificial fibres
• Worn clothing and other worn textile articles
• Used rags, scrap twine, cordage, rope and cables and worn out articles of twine, cordage, rope or cables of textile
  • sorted
  • other

B3035 Waste textile floor coverings, carpets

B3040 Rubber wastes

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

• Waste and scrap of hard rubber (e.g. ebonite)
• Other rubber wastes (excluding such wastes specified elsewhere)

B3050 Untreated cork and wood waste:

• Wood waste and scrap, whether or not agglomerated in logs, briquettes, pellets or similar forms
• Cork waste: crushed, granulated or ground cork

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

• Wine lees
• Dried and sterilised vegetable waste, residues and byproducts, whether or not in the form of pellets, or a kind used in animal feeding, not elsewhere specified or included
• Degras; residues resulting from the treatment of fatty substances or animal or vegetable waxes
• Waste of bones and horn-cores, unworked, defatted, simply prepared (but not cut to shape), treated with acid or degelatinised
• Fish waste
• Cocoa shells, husks, skins and other cocoa waste
• Other wastes from the agro-food industry excluding by-products which meet national and international requirements and standards for human or animal consumption

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

B3070 The following wastes:

• Waste of human hair
• Waste straw
• Deactivated fungus mycelium from penicillin production to be used as animal feed

B3080 Waste parings and scrap of rubber

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

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

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

B3120 Wastes consisting of food dyes

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

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

B4 WASTES WHICH MAY CONTAIN EITHER INORGANIC OR ORGANIC CONSTITUENTS

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

B4020 Wastes from production, formulation and use of resins, latex, plasticisers, glues/adhesives, not listed on list A, free of solvents and other contaminants to an extent that they do not exhibit Annex III characteristics, [X4e.g. water-based, or glues based on casein, starch, dextrin, cellulose ethers,] polyvinyl alcohols (note the related entry on list A, A3050)

B4030 Used single use cameras, with batteries not included on list A

Part 3

List A (Annex II to the Basel Convention)

Y46 Waste collected from households

Y47 Residues arising from the incineration of household wastes

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

Metal bearing wastes

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

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

Wastes which may contain either inorganic or organic constituents

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

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ANNEX VI

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ANNEX VII

INFORMATION ACCOMPANYING SHIPMENTS OF WASTE AS REFERRED TO IN ARTICLE 3(2) AND (4) 

 

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ANNEX VIII

GUIDELINES ON ENVIRONMENTALLY SOUND MANAGEMENT (ARTICLE 49)

 

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

1. Technical Guidelines on the Environmentally Sound Management of Biomedical and Health Care Wastes (Y1; Y3) 

II. Guidelines adopted by the OECD:

Technical guidance for the environmentally sound management of specific waste streams:

Used and scrap personal computers 

III. Guidelines adopted by the International Maritime Organization (IMO):

Guidelines on ship recycling

IV. Guidelines adopted by the International Labour Organization (ILO):

Safety and health in shipbreaking: guidelines for Asian countries and Turkey

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ANNEX IX

QUESTIONNAIRE FOR REPORTS PURSUANT TO ARTICLE 51(2)

 

QUESTIONNAIRE FOR REPORTS PURSUANT TO ARTICLE 51(2)

Information on illegal shipments of waste Has there been any case of an illegal shipment of waste? (Please tick P as appropriate) Yes £  No £  If yes, please complete table 1 for any cases which have been closed during the reporting period. Please provide information on how illegal shipments of waste are prevented, detected and penalised: …………………………………………………………………………………………………………………………………………… …………………………………………………………………………………………………………………………………………… …………………………………………………………………………………………………………………………………………… …………………………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………………………   Summary information on the outcome of the inspections carried out in enforcing this Regulation, including: Number of inspections, including physical checks, of establishments, undertakings, brokers and dealers, related to shipments of waste: Number of inspections of shipments of waste, including physical checks: Number of supposed illegalities concerning establishments, undertakings, brokers and dealers, related to shipments of waste: Number of supposed illegal shipments ascertained during the inspections: Additional remarks: …………………………………………………………………………………………………………………………………………… …………………………………………………………………………………………………………………………………………… …………………………………………………………………………………………………………………………………………… …………………………………………………………………………………………………………………………………………… …………………………………………………………………………………………………………………………………………… Information on the inspection plan(s) Number of inspection plan(s) for the entire geographical territory: The date of adoption of the inspection plan(s) and the period covered by them: The latest review date of the inspection plan(s): The authorities involved in inspections and the cooperation amongst those authorities: Indicate the persons or bodies to which concerns or irregularities can be reported: …………………………………………………………………………………………………………………………………………… …………………………………………………………………………………………………………………………………………… …………………………………………………………………………………………………………………………………………… …………………………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………………………

 Table 1