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Regulation (EC) No 1013/2006 of the European Parliament and of the CouncilShow full title

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

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TITLE IU.K.SCOPE AND DEFINITIONS

Article 1U.K.Scope

1.This Regulation establishes procedures and control regimes for the shipment of waste, depending on the origin, destination and route of the shipment, the type of waste shipped and the type of treatment to be applied to the waste at its destination.

[F12.This Regulation shall apply to shipments of waste—

(a)exported from the United Kingdom to a third country, with or without transit through another third country (see Titles 2 and 4, read together);

(b)imported into the United Kingdom from a third country, with or without transit through another third country (see Titles 2 and 5, read together);

(c)from one third country to another with transit through the United Kingdom (see Titles 2 and 6, read together);

(d)from one place in the United Kingdom to another with transit through a third country (see Articles 31 and 32)].

3.The following shall be excluded from the scope of this Regulation:

(a)the offloading to shore of waste, including waste water and residues, generated by the normal operation of ships and offshore platforms, provided that such waste is subject to the requirements of the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto (Marpol 73/78), or other binding international instruments;

(b)waste generated on board vehicles, trains, aeroplanes and ships, until such waste is offloaded in order to be recovered or disposed of;

(c)shipments of radioactive waste as defined in Article 2 of Council Directive 92/3/Euratom of 3 February 1992 on the supervision and control of shipments of radioactive waste between Member States and into and out of the Community(1);

(d)shipments which are subject to the approval requirements of Regulation (EC) No 1774/2002;

(e)shipments of [F2decommissioned explosives, waste waters or mining waste (see paragraph 6)], where such shipments are already covered by other [F3retained EU law] containing similar provisions;

(f)shipments of waste from the Antarctic into the [F4United Kingdom] which are in accordance with the requirements of the Protocol on Environmental Protection to the Antarctic Treaty (1991);

(g)imports F5... of waste generated by armed forces or relief organisations in situations of crisis, peacemaking or peacekeeping operations where such waste is shipped, by the armed forces or relief organisations concerned or on their behalf, directly or indirectly to the country of destination. [F6In such cases, the competent authority of destination and the competent authority of transit in the United Kingdom shall be informed in advance concerning the shipment and its destination;]

[F7(h ) shipments of CO 2 for the purposes of geological storage in accordance with [F8—

(i)Directive 2009/31/EC as amended from time to time; or

(ii)Chapter 3 of Part 1 of the Energy Act 2008 and any other legislation which, immediately before exit day, implemented Directive 2009/31/EC;]]

[F9(i ) ships [F10falling within] the scope of Regulation (EU) No 1257/2013 of the European Parliament and of the Council (3) . ]

4.Shipments of waste from the Antarctic to countries outside the [F11United Kingdom], which transit through the [F11United Kingdom], shall be subject to Articles 36 and 49.

F125.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F136.In paragraph 3(e), ‘decommissioned explosives, waste waters or mining waste’ means the waste referred to in paragraph 1(e) or 2(a) or (d) of Article 2 of Directive 2008/98/EC.]

Textual Amendments

Article 2U.K.Definitions

For the purposes of this Regulation:

1.

‘waste’ is as defined in [F14Article 3(1) of Directive 2008/98/EC];

2.

‘hazardous waste’ is as defined in [F15Articles 3(2) and 7 of Directive 2008/98/EC];

3.

‘mixture of wastes’ means waste that results from an intentional or unintentional mixing of two or more different wastes and for which mixture no single entry exists in Annexes III, IIIB, IV and IVA. Waste shipped in a single shipment of wastes, consisting of two or more wastes, where each waste is separated, is not a mixture of wastes;

4.

‘disposal’ is as defined [F16by Article 3(19) of Directive 2008/98/EC];

5.

‘interim disposal’ means disposal operations D 13 to D 15 as defined in [F17Annex 1 to Directive 2008/98/EC];

6.

‘recovery’ is as defined [F18by Article 3(15) of Directive 2008/98/EC];

7.

‘interim recovery’ means recovery operations R 12 and R 13 as defined in [F19Annex 2 to Directive 2008/98/EC];

7a.

‘[F20re-use’ is as defined in Article 3(13) of Directive 2008/98/EC F21...;]

8.

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

9.

‘producer’ is anyone whose activities produce waste (original producer) and/or anyone who carries out pre-processing, mixing or other operations resulting in a change in the nature or composition of this waste (new producer) (as defined in [F22Article 3(5) of Directive 2008/98/EC]);

10.

‘holder’ is the producer of the waste or the natural or legal person who is in possession of it (and as defined in [F23Article 3(6) of Directive 2008/98/EC]);

11.

‘collector’ is anyone carrying out waste collection as defined in [F24Article 3(10) of Directive 2008/98/EC];

12.

‘dealer’ is anyone who acts in the role of principal to purchase and subsequently sell waste, including such dealers who do not take physical possession of the waste, and as referred to in [F25Article 3(7) of Directive 2008/98/EC];

13.

‘broker’ is anyone arranging the recovery or disposal of waste on behalf of others, including such brokers who do not take physical possession of the waste, as referred to in [F26Article 3(8) of Directive 2008/98/EC];

14.

‘consignee’ means the person or undertaking under the jurisdiction of the country of destination to whom or to which the waste is shipped for recovery or disposal;

15.

‘notifier’ means:

(a)

in the case of a shipment originating from [F27the United Kingdom], any natural or legal person under the jurisdiction of [F28the United Kingdom] who intends to carry out a shipment of waste or intends to have a shipment of waste carried out and to whom the duty to notify is assigned. The notifier is one of the persons or bodies listed below, selected in accordance with the ranking established in this listing:

(i)

the original producer, or

(ii)

the licensed new producer who carries out operations prior to shipment, or

(iii)

a licensed collector who, from various small quantities of the same type of waste collected from a variety of sources, has assembled the shipment which is to start from a single notified location, or

(iv)

a registered dealer who has been authorised in writing by the original producer, new producer or licensed collector specified in (i), (ii) and (iii) to act on his/her behalf as notifier,

(v)

a registered broker who has been authorised in writing by the original producer, new producer or licensed collector specified in (i), (ii) and (iii) to act on his/her behalf as notifier,

(vi)

where all of the persons specified in (i), (ii), (iii), (iv) and (v) if applicable, are unknown or insolvent, the holder.

Should a notifier specified in (iv) or (v) fail to fulfil any of the take-back obligations set out in Articles 22 to 25, the original producer, new producer or licensed collector specified in (i), (ii) or (iii) respectively who authorised that dealer or broker to act on his/her behalf shall be deemed to be the notifier for the purposes of the said take-back obligations. In circumstances of illegal shipment notified by a dealer or broker specified in (iv) or (v), the person specified in (i), (ii) or (iii) who authorised that dealer or broker to act on his/her behalf shall be deemed to be the notifier for the purposes of this Regulation;

(b)

[X1[F29in the case of import of waste into, or transit of waste through, the United Kingdom], any of the following natural or legal persons under the jurisdiction of the country of dispatch who intends to carry out a shipment of waste or intends to have, or who has had, a shipment of waste carried out, being either:

(i)

the person designated by the law of the country of dispatch; or, in the absence of any such designation,

(ii)

the holder at the time the export took place;]

16.

‘Basel Convention’ means the Basel Convention of 22 March 1989 on the control of transboundary movements of hazardous wastes and their disposal;

17.

‘OECD Decision’ means Decision C(2001)107/Final of the OECD Council concerning the revision of Decision C(92)39/Final on control of transboundary movements of wastes destined for recovery operations;

18.

F30. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

19.

F30. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

20.

F30. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

21.

F30. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

22.

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

23.

‘country of destination’ means any country to which a shipment of waste is planned or takes place for recovery or disposal therein, or for the purpose of loading prior to recovery or disposal in an area not under the national jurisdiction of any country;

24.

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

25.

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

26.

[F31‘overseas countries and territories’ means—

(a)

Anguilla,

(b)

Bermuda,

(c)

British Antarctic Territory,

(d)

British Indian Ocean Territory,

(e)

Cayman Islands,

(f)

Falkland Islands,

(g)

Gibraltar,

(h)

Montserrat,

(i)

Pitcairn, Henderson, Ducie and Oeno Islands,

(j)

St Helena, Ascension and Tristan da Cunha,

(k)

South Georgia and the South Sandwich Islands,

(l)

The Sovereign Base Areas of Akrotiri and Dhekelia,

(m)

Turks and Caicos Islands,

(n)

British Virgin Islands, and

(o)

any overseas country or territory not mentioned above which is listed in Annex 2 to the Treaty on the Functioning of the European Union.]

27.

‘customs office of export from the Community’ is the customs office as defined in Article 161(5) of Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code(6);

28.

‘customs office of exit from the Community’ is the customs office as defined in Article 793(2) of Commission Regulation (EEC) No 2454/93 of 2 July 1993 laying down provisions for the implementation of Council Regulation (EEC) No 2913/92 establishing the Community Customs Code(7);

29.

‘customs office of entry into the Community’ is the customs office where waste brought into the customs territory of the Community [F32or into the territory of the EFTA countries] shall be conveyed to in accordance with Article 38(1) of Regulation (EEC) No 2913/92;

30.

‘import’ means any entry of waste into the [F33United Kingdom] but excluding transit through the [F33United Kingdom];

31.

‘export’ means the action of waste leaving the [F34United Kingdom] but excluding transit through the [F34United Kingdom];

32.

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

33.

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

34.

‘shipment’ means the transport of waste destined for recovery or disposal which is planned or takes place:

(a)

between a country and another country; or

(b)

between a country and overseas countries and territories or other areas, under that country's protection; or

(c)

between a country and any land area which is not part of any country under international law; or

(d)

between a country and the Antarctic; or

(e)

from one country through any of the areas referred to above; or

(f)

within a country through any of the areas referred to above and which originates in and ends in the same country; or

(g)

from a geographic area not under the jurisdiction of any country, to a country;

35.

‘illegal shipment’ means any shipment of waste effected:

(a)

without notification to all competent authorities concerned pursuant to this Regulation; or

(b)

without the consent of the competent authorities concerned pursuant to this Regulation; or

(c)

with consent obtained from the competent authorities concerned through falsification, misrepresentation or fraud; or

(d)

in a way which is not specified materially in the notification or movement documents; or

(e)

in a way which results in recovery or disposal in contravention of [F35retained EU law] or international rules; or

(f)

contrary to Articles 34, 36, 39, 40, 41 and 43; or

(g)

which, in relation to shipments of waste as referred to in Article 3(2) and (4), has resulted from:

(i)

the waste being discovered not to be listed in Annexes III, IIIA or IIIB, or

(ii)

non-compliance with Article 3(4),

(iii)

the shipment being effected in a way which is not specified materially in the document set out in Annex VII[F36;]

35a.

[F20‘inspection’ means actions undertaken by the authorities involved to ascertain whether an establishment, an undertaking, a broker, a dealer, a shipment of waste or the related recovery or disposal complies with the relevant requirements set out in this Regulation.]

Editorial Information

Textual Amendments

[F37Article 2AU.K.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—

(a)Commission Regulation (EU) No 1357/2014 (1);

(b)Commission Directive (EU) 2015/1127(2); and

(c)Council Regulation (EU) 2017/997(3),

and read in accordance with paragraphs 2 to 6.

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

(a)in paragraph 2—

(i)in the words before point (a), for “other Community legislation” there were substituted “retained EU law”;

(ii)for point (d), in relation to Scotland, there were substituted—

“(d)extractive waste, which has the same meaning as in regulation 2(1) of the Management of Extractive Waste (Scotland) Regulations 2010(4).”;

(iiifor point (d), in relation to Northern Ireland, there were substituted—

“(d)extractive waste, which has the same meaning as in regulation 2(2) of the Planning (Management of Waste from Extractive Industries) Regulations (Northern Ireland) 2015(5).”;

(b)after paragraph 2 there were inserted—

“2A. In paragraph 2(d), as it relates to England and Wales, “Directive 2006/21/EC of the European Parliament and of the Council of 15 March 2006 on the management of waste from extractive industries(6)” means Directive 2006/21/EC read as if—

(a)in Article 2 of Directive 2006/21/EC—

(i)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(7)” had the meaning given in paragraph 2B;

(ii)paragraphs 3 and 4 were omitted;

(b)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—

(a)the reference to “Member States” were a reference to—

(i)in relation to England, the Secretary of State or the Environment Agency;

(ii)in relation to Northern Ireland, the Department of Agriculture, Environment and Rural Affairs;

(iii)in relation to Scotland, the Scottish Ministers or the Scottish Environment Protection Agency;

(iv)in relation to Wales, the Welsh Ministers or the Natural Resources Body for Wales;

(b)in the words after the final indent, “environmental objectives”—

(i)in relation to the Northumbria River Basin District, means the objectives referred to in the Water Environment (Water Framework Directive) (England and Wales) Regulations 2017) as applied by regulation 5 of the Water Environment (Water Framework Directive) (Northumbria River Basin District) Regulations 2003 (S.I. 2003/3245);

(ii)in relation to the Solway Tweed River Basin District, has the same meaning as in regulation 2 of the Water Environment (Water Framework Directive) (Solway Tweed River Basin District) Regulations 2004;

(iii)in relation to a river basin district within the meaning of the Water Environment (Water Framework Directive) (England and Wales) Regulations 2017, has the same meaning as in those regulations.”.

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—

(a)paragraphs 1 to 3 were omitted;

(b)in paragraph 4—

(i)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 regulation 6 of the Transfrontier Shipment of Waste Regulations 2007”;

(ii)the second sentence were omitted.

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

(a)in paragraph 1—

(i)the first and second sentences were omitted;

(ii)in the third sentence, for “shall be binding” there were substituted “shall, subject to paragraph 1A, be binding”;

(b)after paragraph 1, there were inserted—

“1A.

Paragraph 1 is subject to—

(a)a determination by the Secretary of State under regulation 8(1) of the Hazardous Waste (England and Wales) Regulations 2005, or by the Welsh Ministers under regulation 8(1) of the Hazardous Waste (Wales) Regulations 2005, or by the Department of Agriculture, Environment and Rural Affairs under regulation 9(1) of the Hazardous Waste Regulations (Northern Ireland) 2005, that a specific batch of waste is to be treated as hazardous waste;

(b)a decision made by the Secretary of State under regulation 9(1) of the Hazardous Waste (England and Wales) Regulations 2005, or by the Welsh Ministers under regulation 9(1) of the Hazardous Waste (Wales) Regulations 2005, or by the Department of Agriculture, Environment and Rural Affairs under regulation 10(1) of the Hazardous Waste Regulations (Northern Ireland) 2005, that a specific batch of waste is to be treated as non-hazardous waste;

(c)the treating of a specific batch of waste as hazardous or, as the case may be, non-hazardous, in accordance with regulations 8(2) or 9(2) of the Hazardous Waste (England and Wales) Regulations 2005, regulations 8(2) or 9(2) of the Hazardous Waste (Wales) Regulations 2005 or regulations 9(2) or 10(2) of the Hazardous Waste Regulations (Northern Ireland) 2005;

(d)regulations (if any) made by the Secretary of State under section 62A(1) of the Environmental Protection Act 1990 or by the Welsh Ministers under section 62A(2) of that Act (lists of waste displaying hazardous properties);

(e)a determination by the Scottish Ministers that a specific batch or type of waste—

(i)is to be treated as hazardous waste because the Scottish Ministers consider that the waste displays one or more of the hazardous properties listed in Annex 3;

(ii)is to be treated as non-hazardous waste because the Scottish Ministers consider that the waste displays none of the hazardous properties listed in Annex 3.”;

(c)paragraphs 2, 3 and 5 were omitted;

(d)after paragraph 6, there were inserted—

“6A.

In this Article, the “list of waste” means the list established by Commission Decision 2000/532/EC.”;

(e)paragraph 7 were omitted.

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

(a)in the entry for HP 9, in the second sentence, “in the Member States” were omitted;

(b)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 regulation 6 of the Transfrontier Shipment of Waste Regulations 2007”.

Textual Amendments

Article 2BU.K.References to EU country, non-EU country, EFTA country and third country

In this Regulation—

(a)a reference to an EU country is a reference to a country which is a member State on exit day;

(b)a reference to a non-EU country is a reference to a country other than the United Kingdom which is not a member State on exit day;

(c)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;

(d)a reference to a third country is a reference to a country other than the United Kingdom.

Textual Amendments

Article 2CU.K.References to competent authority

1.n this Regulation, a reference to the ‘competent authority’—

(a)in relation to the United Kingdom, is to be read in accordance with paragraphs 3 and 4;

(b)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

(c)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

(d)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—

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

(b)‘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;

(c)‘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.The competent authority of dispatch, or the competent authority of destination, in the United Kingdom is—

(a)where the area concerned is in England or the English area, the Environment Agency;

(b)where the area concerned is in Wales or the Welsh area, the Natural Resources Body for Wales;

(c)where the area concerned is in Scotland or the Scottish area, the Scottish Environment Protection Agency;

(d)where the area concerned is in Northern Ireland or the Northern Irish area, the Department of Agriculture, Environment and Rural Affairs,

and “English area”, “Welsh area”, “Scottish area” and “Northern Irish area” have the meanings given by regulation 4(1) of the Transfrontier Shipment of Waste Regulations 2007.

4.The competent authority of transit in the United Kingdom is the Environment Agency.]

Textual Amendments

TITLE IIU.K.SHIPMENTS F38... WITH OR WITHOUT TRANSIT THROUGH THIRD COUNTRIES

Article 3U.K.Overall procedural framework

1.Shipments of the following wastes shall be subject to the procedure of prior written notification and consent as laid down in the provisions of this Title:

(a)if destined for disposal operations:

all wastes;

(b)if destined for recovery operations:

(i)

wastes listed in Annex IV, which include, inter alia, wastes listed in Annexes II and VIII to the Basel Convention,

(ii)

wastes listed in Annex IVA,

(iii)

wastes not classified under one single entry in either Annex III, IIIB, IV or IVA,

(iv)

mixtures of wastes not classified under one single entry in either Annex III, IIIB, IV or IVA unless listed in Annex IIIA.

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

(a)waste listed in Annex III or IIIB;

(b)mixtures, not classified under one single entry in Annex III, of two or more wastes listed in Annex III, provided that the composition of these mixtures does not impair their environmentally sound recovery and provided that such mixtures are listed in Annex IIIA, in accordance with Article 58.

3.For wastes listed in Annex III, in exceptional cases, the relevant provisions shall apply as if they had been listed in Annex IV, if they display any of the hazardous characteristics listed in Annex III to Directive [F392008/98/EC]. These cases shall be treated in accordance with Article 58.

4.Shipments of waste explicitly destined for laboratory analysis to assess either its physical or chemical characteristics or to determine its suitability for recovery or disposal operations shall not be subject to the procedure of prior written notification and consent as described in paragraph 1. Instead, the procedural requirements of Article 18 shall apply. The amount of such waste exempted when explicitly destined for laboratory analysis shall be determined by the minimum quantity reasonably needed to adequately perform the analysis in each particular case, and shall not exceed 25 kg.

5.Shipments of mixed municipal waste (waste entry 20 03 01) collected from private households, including where such collection also covers such waste from other producers, to recovery or disposal facilities shall, in accordance with this Regulation, be subject to the same provisions as shipments of waste destined for disposal.

Textual Amendments

CHAPTER 1U.K.Prior written notification and consent

Article 4U.K.Notification

Where the notifier intends to ship waste as referred to in Article 3(1)(a) or (b), he/she shall submit a prior written notification to and through the competent authority of dispatch and, if submitting a general notification, comply with Article 13.

When a notification is submitted, the following requirements shall be fulfilled:

1.

notification and movement documents:

Notification shall be effected by means of the following documents:

(a)

the notification document set out in Annex IA; and

(b)

the movement document set out in Annex IB.

In submitting a notification, the notifier shall fill in the notification document and, where relevant, the movement document.

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

The notification document and the movement document shall be issued to the notifier by the competent authority of dispatch;

2.

information and documentation in the notification and movement documents:

The notifier shall supply on, or annex to, the notification document information and documentation as listed in Annex II, Part 1. The notifier shall supply on, or annex to, the movement document information and documentation referred to in Annex II, Part 2, to the extent possible at the time of notification.

A notification shall be considered properly carried out when the competent authority of dispatch is satisfied that the notification document and movement document have been completed in accordance with the first subparagraph;

3.

additional information and documentation:

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

A notification shall be considered properly completed when the competent authority of destination is satisfied that the notification document and the movement document have been completed and that the information and documentation as listed in Annex II, Parts 1 and 2, as well as any additional information and documentation requested in accordance with this paragraph and as listed in Annex II, Part 3, have been supplied by the notifier;

4.

conclusion of a contract between the notifier and the consignee:

The notifier shall conclude a contract as described in Article 5 with the consignee for the recovery or disposal of the notified waste.

Evidence of this contract or a declaration certifying its existence in accordance with Annex IA shall be supplied to the competent authorities involved at the time of notification. A copy of the contract or such evidence to the satisfaction of the competent authority concerned shall be provided by the notifier or consignee upon request by the competent authority;

5.

establishment of a financial guarantee or equivalent insurance:

A financial guarantee or equivalent insurance shall be established as described in Article 6. A declaration to this effect shall be made by the notifier through completion of the appropriate part of the notification document set out in Annex IA.

The financial guarantee or equivalent insurance (or if the competent authority so allows, evidence of that guarantee or insurance or a declaration certifying its existence) shall be supplied as part of the notification document at the time of notification or, if the competent authority so allows, pursuant to national legislation, at such time before the shipment starts;

6.

Coverage of the notification:

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

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

Only one waste identification code shall be covered for each notification, except for:

(a)

wastes not classified under one single entry in either Annex III, IIIB, IV or IVA. In this case, only one type of waste shall be specified;

(b)

mixtures of wastes not classified under one single entry in either Annex III, IIIB, IV or IVA unless listed in Annex IIIA. In this case, the code for each fraction of the waste shall be specified in order of importance.

Article 5U.K.Contract

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

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

3.The contract shall include obligations:

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

(b)on the consignee to recover or dispose of the waste if it has been effected as an illegal shipment, in accordance with Article 24(3); and

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

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

(a)the obligation on the facility of destination to provide, in accordance with Article 15(d) and, where appropriate, Article 15(e), the certificates that the waste has been recovered or disposed of in accordance with the notification and the conditions specified therein and the requirements of this Regulation; and

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

5.If the waste is shipped between two establishments under the control of the same legal entity, the contract may be replaced by a declaration by the entity in question undertaking to recover or dispose of the notified waste.

Article 6U.K.Financial guarantee

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

(a)costs of transport;

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

(c)costs of storage for 90 days.

2.The financial guarantee or equivalent insurance is intended to cover costs arising in the context of:

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

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

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

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

However, in cases of import [F40from a country other than an EU country], the competent authority of destination F41... shall review the amount of cover and, if necessary, approve an additional financial guarantee or equivalent insurance.

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

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

6.By way of derogation from paragraph 5, if the waste shipped is destined for interim recovery or disposal operations and a further recovery or disposal operation takes place in the country of destination, the financial guarantee or equivalent insurance may be released when the waste leaves the interim facility and the competent authority concerned has received the certificate referred to in Article 15(d). In this case, any further shipment to a recovery or disposal facility shall be covered by a new financial guarantee or equivalent insurance unless the competent authority of destination is satisfied that such a financial guarantee or equivalent insurance is not required. In these circumstances, the competent authority of destination shall be responsible for obligations arising in the case of an illegal shipment or for take-back where the shipment or the further recovery or disposal operation cannot be completed as intended.

7.The competent authority F42... which has approved the financial guarantee or equivalent insurance shall have access thereto and shall make use of the funding, including for the purpose of payments to other authorities concerned, in order to meet the obligations arising in accordance with Articles 23 and 25.

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

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

F439.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Article 7U.K.Transmission of the notification by the competent authority of dispatch

1.Once the notification has been properly carried out, as described in the second subparagraph, point 2 of Article 4, the competent authority of dispatch shall retain a copy of the notification and transmit the notification to the competent authority of destination with copies to any competent authority(ies) of transit, and shall inform the notifier of the transmission. This shall be done within three working days of receipt of the notification.

2.If the notification is not properly carried out, the competent authority of dispatch shall request information and documentation from the notifier in accordance with the second subparagraph, point 2 of Article 4.

This shall be done within three working days of receipt of the notification.

In such cases the competent authority of dispatch shall have three working days following the receipt of the information and/or documentation requested in which to comply with paragraph 1.

3.Once the notification has been properly carried out, as described in the second subparagraph, point 2 of Article 4, the competent authority of dispatch may decide, within three working days, not to proceed with the notification, if it has objections to the shipment in accordance with Articles 11 and 12.

It shall immediately inform the notifier of its decision and of these objections.

4.If, within 30 days of receipt of the notification, the competent authority of dispatch has not transmitted the notification as required under paragraph 1, it shall provide the notifier with a reasoned explanation upon his/her request. This shall not apply when the request for information, referred to in paragraph 2, has not been complied with.

Article 8U.K.Requests for information and documentation by the competent authorities concerned and acknowledgement by the competent authority of destination

1.Following the transmission of the notification by the competent authority of dispatch, if any of the competent authorities concerned considers that additional information and documentation is required as referred to in the second subparagraph, point 3 of Article 4, it shall request such information and documentation from the notifier and inform the other competent authorities of such request. This shall be done within three working days of receipt of the notification. In such cases the competent authorities concerned shall have three working days following the receipt of the information and documentation requested in which to inform the competent authority of destination.

2.When the competent authority of destination considers that the notification has been properly completed, as described in the second subparagraph, point 3 of Article 4, it shall send an acknowledgement to the notifier and copies to the other competent authorities concerned. This shall be done within three working days of receipt of the properly completed notification.

3.If, within 30 days of receipt of the notification, the competent authority of destination has not acknowledged the notification as required under paragraph 2, it shall provide the notifier, upon his/her request, with a reasoned explanation.

Article 9U.K.Consents by the competent authorities of destination, dispatch and transit and time periods for transport, recovery or disposal

1.The competent authorities of destination, dispatch and transit shall have 30 days following the date of transmission of the acknowledgement by the competent authority of destination in accordance with Article 8 in which to take one of the following duly reasoned decisions in writing as regards the notified shipment:

(a)consent without conditions;

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

(c)objections in accordance with Articles 11 and 12.

Tacit consent by the competent authority of transit may be assumed if no objection is lodged within the said 30-day time limit.

2.The competent authorities of destination, dispatch and, where appropriate, transit shall transmit their decision and the reasons therefor to the notifier in writing within the 30-day time limit referred to in paragraph 1, with copies to the other competent authorities concerned.

3.The competent authorities of destination, dispatch and, where appropriate, transit shall signify their written consent by appropriately stamping, signing and dating the notification document or their copies thereof.

4.A written consent to a planned shipment shall expire one calendar year after it is issued or on such later date as is indicated in the notification document. However, this shall not apply if a shorter period is indicated by the competent authorities concerned.

5.Tacit consent to a planned shipment shall expire one calendar year after the expiry of the 30-day time limit referred to in paragraph 1.

6.The planned shipment may take place only after fulfilment of the requirements of Article 16(a) and (b) and during the period of validity of the tacit or written consents of all competent authorities.

7.The recovery or disposal of waste in relation to a planned shipment shall be completed no later than one calendar year from the receipt of the waste by the facility, unless a shorter period is indicated by the competent authorities concerned.

8.The competent authorities concerned shall withdraw their consent when they have knowledge that:

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

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

(c)the waste is not recovered or disposed of in compliance with the permit of the facility that performs the said operation; or

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

9.Any withdrawal of consent shall be transmitted by means of official notice to the notifier with copies to the other competent authorities concerned and to the consignee.

Article 10U.K.Conditions for a shipment

1.The competent authorities of dispatch, destination and transit may, within 30 days following the date of transmission of the acknowledgement of the competent authority of destination in accordance with Article 8, lay down conditions in connection with their consent to a notified shipment. Such conditions may be based on one or more of the reasons specified in either Article 11 or Article 12.

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

3.The competent authorities of dispatch, destination and transit may also, within the 30-day time limit referred to in paragraph 1, lay down a condition that their consent is to be considered withdrawn if the financial guarantee or equivalent insurance is not applicable at the latest when the notified shipment starts, as required by Article 6(3).

4.Conditions shall be transmitted to the notifier in writing by the competent authority that lays them down, with copies to the competent authorities concerned.

Conditions shall be supplied on, or annexed to, the notification document by the relevant competent authority.

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

Article 11U.K.Objections to shipments of waste destined for disposal

1.Where a notification is submitted regarding a planned shipment of waste destined for disposal, 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 F44...:

(a)that the planned shipment or disposal would not be in accordance with measures taken to implement [F45Article 4(2)(b) and (d) and (9)(a) of the Basel Convention], to prohibit generally or partially or to object systematically to shipments of waste; or

(b)that the planned shipment or disposal 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

(c)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

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

(e)that the [F46country of destination] wishes to exercise its right pursuant to Article 4(1) of the Basel Convention to prohibit the import of hazardous waste or of waste listed in Annex II to that Convention; or

(f)that the planned shipment or disposal conflicts with obligations resulting from international conventions concluded by the [F47objecting country]; or

[F48(g)that the planned shipment or disposal is not, while taking into account geographical circumstances or the need for specialised installations for certain types of waste, in accordance with—

(ithe UK Plan within the meaning given by regulation 11A of the Transfrontier Shipment of Waste Regulations 2007; or

(iia plan established under Article 28 of Directive 2008/98/EC as amended from time to time;

(h)that the waste will be treated—

(iin a relevant facility in the United Kingdom 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

(iiin 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;]

(i)that the waste is mixed municipal waste collected from private households (waste entry 20 03 01); or

(j)that the waste concerned will not be treated in accordance with legally binding environmental protection standards in relation to disposal operations established in F49... legislation (also in cases where temporary derogations are granted).

[F501A.In paragraph (1)(h), “relevant facility” means—

(a)in relation to England and Wales, a “Part A installation” within the meaning of regulation 2(1) of the Environmental Permitting (England and Wales) Regulations 2016;

(b)in relation to Northern Ireland, an “installation” or “mobile plant” within the meaning of regulation 2(1) of the Pollution Prevention and Control (Industrial Emissions) Regulations (Northern Ireland) 2013;

(c)in relation to Scotland, an “installation” or “mobile plant” within the meaning of regulation 2(1) of the Pollution Prevention and Control (Scotland) Regulations 2012.]

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

3.In the case of hazardous waste produced in [F51the country] of dispatch in such a small quantity overall per year that the provision of new specialised disposal installations within that [F52country] would be uneconomic, paragraph 1(a) shall not apply.

The competent authority of destination shall cooperate with the competent authority of dispatch which considers that this paragraph and not paragraph 1(a) should apply, with a view to resolving the issue bilaterally.

F53...

4.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.

5.If the problems giving rise to the objections have not been 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.

F546.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Article 12U.K.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 F55...:

F56(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)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

(c)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 dispatchF57...;

This shall not apply if:

F58(i). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(ii)the recovery operation in the country of destination takes place under conditions that are broadly equivalent to those prescribed in the national legislation of the country of dispatch,

F59(iii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)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

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

(f)that the planned shipment or recovery conflicts with obligations resulting from international conventions concluded by the [F60objecting country]; or

(g)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

(h)that the waste shipped is destined for disposal and not for recovery; or

[F61(i)that the waste will be treated—

(i)in a relevant facility in the United Kingdom 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

(ii)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;]

(j)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 F62... legislation (also in cases where temporary derogations are granted); or

[F63(k)that the waste concerned will not be treated in accordance with a plan established under the relevant regulations or Article 28 of Directive 2008/98/EC as amended from time to time.]

[F641A.In paragraph 1—

  • “relevant facility” has the meaning given by Article 11(1A);

  • “relevant regulations” means—

    (a)

    in relation to England and Wales, the Waste (England and Wales) Regulations 2011;

    (b)

    in relation to Northern Ireland, the Waste Regulations (Northern Ireland) 2011;

    (c)

    in relation to Scotland, the National Waste Management Plan for Scotland Regulations 2007.]

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 F65... in accordance with paragraph 1(c) shall be reported by [F66the competent authority to the Secretary of State].

F676.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Article 13U.K.General notification

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

(a)the waste has essentially similar physical and chemical characteristics; and

(b)the waste is shipped to the same consignee and the same facility; and

(c)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 14U.K.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 [F68, where appropriate, inform], the OECD Secretariat of:

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

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

(c)the wastes as listed in Annexes IV and IVA or the wastes to which the decision applies;

(d)the total pre-consented quantity;

(e)the period of validity;

(f)any change in the pre-consent;

(g)any change in the information notified; and

(h)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.

Textual Amendments

Article 15U.K.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:

(a)

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

(b)

The competent authorities of dispatch and destination may give their consent to a shipment of waste destined for an interim recovery or disposal operation only if there are no grounds for objection, in accordance with Articles 11 or 12, to the shipment(s) of waste to the facilities performing any subsequent interim or non-interim recovery or disposal operations.

(c)

Within three days of the receipt of the waste by the facility which carries out this interim recovery or disposal operation, that facility shall provide confirmation in writing that the waste has been received.

This confirmation shall be supplied on, or annexed to, the movement document. The said facility shall send signed copies of the movement document containing this confirmation to the notifier and to the competent authorities concerned.

(d)

As soon as possible, but no later than 30 days after completion of the interim recovery or disposal operation, and no later than one calendar year, or a shorter period in accordance with Article 9(7), following the receipt of the waste, the facility carrying out this operation shall, under its responsibility, certify that the interim recovery or disposal has been completed.

This certificate shall be contained in, or annexed to, the movement document.

The said facility shall send signed copies of the movement document containing this certificate to the notifier and to the competent authorities concerned.

(e)

When a recovery or disposal facility which carries out an interim recovery or disposal operation delivers the waste for any subsequent interim or non-interim recovery or disposal operation to a facility located in the country of destination, it shall obtain as soon as possible but no later than one calendar year following delivery of the waste, or a shorter period in accordance with Article 9(7), a certificate from that facility that the subsequent non-interim recovery or disposal operation has been completed.

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

(f)

When a delivery as described in subparagraph (e) is made to a facility respectively located:

(i)

in the initial country of dispatch F69..., a new notification shall be required in accordance with the provisions of this Title, or

(ii)

in a third country, a new notification shall be required in accordance with the provisions of this Regulation, with the addition that the provisions concerning the competent authorities concerned shall also apply to the initial competent authority of the initial country of dispatch.

Textual Amendments

Article 16U.K.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:

(a)

Completion of the movement document by the notifier: once the notifier has received consent from the competent authorities of dispatch, destination and transit or, in relation to the competent authority of transit, can assume tacit consent, he/she shall insert the actual date of shipment and otherwise complete the movement document to the extent possible.

(b)

Prior information regarding actual start of shipment: the notifier shall send signed copies of the then completed movement document, as described in point (a), to the competent authorities concerned and to the consignee at least three working days before the shipment starts.

(c)

Documents to accompany each transport: the notifier shall retain a copy of the movement document. The movement document and copies of the notification document containing the written consents and the conditions of the competent authorities concerned shall accompany each transport. The movement document shall be retained by the facility which receives the waste.

(d)

Written confirmation of receipt of the waste by the facility: within three days of receipt of the waste, the facility shall provide confirmation in writing that the waste has been received.

This confirmation shall be contained in, or annexed to, the movement document.

The facility shall send signed copies of the movement document containing this confirmation to the notifier and to the competent authorities concerned.

(e)

Certificate for non-interim recovery or disposal by the facility: as soon as possible, but no later than 30 days after completion of the non-interim recovery or disposal operation, and no later than one calendar year, or a shorter period in accordance with Article 9(7), following receipt of the waste, the facility carrying out the operation shall, under its responsibility, certify that the non-interim recovery or disposal has been completed.

This certificate shall be contained in, or annexed to, the movement document.

The facility shall send signed copies of the movement document containing this certificate to the notifier and to the competent authorities concerned.

Article 17U.K.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 2U.K.General information requirements

Article 18U.K.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:

(a)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.

(b)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:

(a)take the waste back or ensure its recovery in an alternative way; and

(b)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, [F70the competent authority in the United Kingdom] 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 F71... national legislation.

Textual Amendments

CHAPTER 3U.K.General requirements

Article 19U.K.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 20U.K.Keeping of documents and information

1.All documents sent to or by the competent authorities in relation to a notified shipment shall be kept F72... 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 F73... 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.

Textual Amendments

Article 21U.K.Public access to notifications

[F74A competent authority] of dispatch or destination may make publicly available by appropriate means, such as the Internet, information on notifications of shipments [F75it has] consented to, where such information is not confidential under national F76... legislation.

Textual Amendments

CHAPTER 4U.K.Take-back obligations

Article 22U.K.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 F77..., 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.

Textual Amendments

Article 23U.K.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:

(a)to the notifier as identified in accordance with the ranking established in point 15 of Article 2; or, if impracticable;

(b)to other natural or legal persons as appropriate; or, if impracticable;

(c)to the competent authority of dispatch; or, if impracticable;

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

2.This Article shall be without prejudice to F78... national provisions concerning liability.

Textual Amendments

Article 24U.K.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:

(a)taken back by the notifier de facto; or, if no notification has been submitted;

(b)taken back by the notifier de jure; or, if impracticable;

(c)taken back by the competent authority of dispatch itself or by a natural or legal person on its behalf; or, if impracticable;

(d)alternatively recovered or disposed of in the country of destination or dispatch by the competent authority of dispatch itself or by a natural or legal person on its behalf; or, if impracticable;

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

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:

(a)by the consignee; or, if impracticable,

(b)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 F79..., 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 F80... national provisions concerning liability.

Textual Amendments

Article 25U.K.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:

(a)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;

(b)the notifier de jure or other natural or legal persons as appropriate; or, if impracticable;

(c)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:

(a)the consignee; or, if impracticable;

(b)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:

(a)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,

(b)other natural or legal persons as appropriate; or, if impracticable,

(c)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 F81... national provisions concerning liability.

Textual Amendments

CHAPTER 5U.K.General administrative provisions

Article 26U.K.Format of the communications

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

(a)notification of a planned shipment pursuant to Articles 4 and 13;

(b)request for information and documentation pursuant to Articles 4, 7 and 8;

(c)submission of information and documentation pursuant to Articles 4, 7 and 8;

(d)written consent to a notified shipment pursuant to Article 9;

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

(f)objections to a shipment pursuant to Articles 11 and 12;

(g)information on decisions to issue pre-consents to specific recovery facilities pursuant to Article 14(3);

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

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

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

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

(l)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:

(a)by fax; or

(b)by fax followed by post; or

(c)by e-mail with digital signature. In this case, any stamp or signature required shall be replaced by the digital signature; or

(d)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.

[F364. 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 [F82Regulation (EU) No 910/2014], or a comparable electronic authentication system which provides the same level of security.

[F835.The Secretary of State 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 Secretary of State—

(a)has taken into consideration any relevant international standards, and

(b)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.]]

Textual Amendments

Article 27U.K.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 28U.K.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 [F84retained 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.

Textual Amendments

Article 29U.K.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.

F85Article 30U.K.Border-area agreements

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

CHAPTER 6U.K.Shipments F86... with transit via third countries

Article 31U.K.Shipments of waste destined for disposal

Where a shipment of waste takes place within the [F87United Kingdom] 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:

(a)

in the case of Parties to the Basel Convention, within 60 days, unless it has waived this right in accordance with the terms of that Convention; or

(b)

in the case of countries not Parties to the Basel Convention, within a period agreed between the competent authorities.

Textual Amendments

Article 32U.K.Shipments of waste destined for recovery

1.When a shipment of waste takes place within the [F88United Kingdom] with transit via one or more [F89non-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 the [F90United Kingdom,] with transit via one or more [F91non-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.

Textual Amendments

Textual Amendments

Textual Amendments

F92TITLE IIIU.K.SHIPMENTS EXCLUSIVELY WITHIN MEMBER STATES

Article 33U.K.Application of this Regulation to shipments exclusively within Member States

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

TITLE IVU.K.EXPORTS F93... TO THIRD COUNTRIES

CHAPTER 1U.K.Exports of waste for disposal

Article 34U.K.Export [F94prohibitions etc.]

1.All exports of waste from the [F95United Kingdom] destined for disposal shall be prohibited.

2.The prohibition in paragraph 1 shall not apply to exports of waste destined for disposal in [F96EU 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:

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

(b)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.

[F975.Where a person proposes to export waste destined for disposal in an EU or EFTA country, the Secretary of State 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 the United Kingdom.]

Textual Amendments

Article 35U.K.Procedures when exporting to [F98EU or] EFTA countries

1.Where waste is exported from the [F99United Kingdom] and destined for disposal in [F100EU or] EFTA countries Parties to the Basel Convention, the provisions of Title II shall apply F101..., with the adaptations and additions listed in paragraphs 2 and 3.

2.[F102Where waste is exported with transit via one or more non-EU countries, the] following adaptations shall apply:

(a)the competent authority of transit outside the [F103United Kingdom] 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

(b)the competent authority of dispatch in the [F104United Kingdom] 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 F105..., 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:

F106(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F106(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F106(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F106(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(e)if, 42 days after the waste has left the [F107United Kingdom], the competent authority of dispatch F108... has received no information from the facility about receipt of the waste, it shall without delay inform the competent authority of destination; and

(f)[F109where 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:

(i)

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,

(ii)

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

(iii)

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:

(a)the notifier has received written consent from the competent authorities of dispatch, destination and, where appropriate, transit F110... and if the conditions laid down are met;

(b)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;

(c)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

(d)environmentally sound management, as referred to in Article 49, is ensured.

5.Where waste is [F111destined 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.

[F1126.If a general customs official discovers an illegal shipment, the official shall without delay inform the relevant authority which shall—

(a)where the dispatch of the waste was not in the area of the relevant authority, without delay inform the competent authority of dispatch; and

(b)ensure detention of the waste until the competent authority of dispatch has decided otherwise and, where the discovery is not in the area of the competent authority of dispatch, has communicated that decision in writing to the relevant authority.

7.In paragraph 6—

  • “general customs official” means a general customs official designated under section 3(1) of the Borders, Citizenship and Immigration Act 2009;

  • “relevant authority” means—

    (a)

    where the discovery occurs in England or the English area, the Environment Agency;

    (b)

    where the discovery occurs in Wales or the Welsh area, the Natural Resources Body for Wales;

    (c)

    where the discovery occurs in Scotland or the Scottish area, the Scottish Environment Protection Agency;

    (d)

    where the discovery occurs in Northern Ireland or the Northern Irish area, the Department of Agriculture, Environment and Rural Affairs,

and “English area”, “Welsh area”, “Scottish area” and “Northern Irish area” have the meanings given by regulation 4(1) of the Transfrontier Shipment of Waste Regulations 2007.]

Textual Amendments

CHAPTER 2U.K.Exports of waste for recovery

Section 1U.K.Exports to [F113non-EU,] non-OECD Decision countries

Article 36U.K.Exports prohibition

1.Exports from the [F114United Kingdom] of the following wastes destined for recovery in [F115non-EU countries] to which the OECD Decision does not apply are prohibited:

(a)wastes listed as hazardous in Annex V;

(b)wastes listed in Annex V, Part 3;

(c)hazardous wastes not classified under one single entry in Annex V;

(d)mixtures of hazardous wastes and mixtures of hazardous wastes with non-hazardous wastes not classified under one single entry in Annex V;

(e)wastes that the country of destination has notified to be hazardous under Article 3 of the Basel Convention;

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

(g)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.[F116A 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 [F1172008/98/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 F118....

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 [F1192008/98/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 [F120Articles 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 [F121competent authority] shall inform the envisaged country of destination prior to taking a decision. [F122The competent authority shall notify any case to the Secretary of State] before the end of each calendar year. The [F123Secretary of State] shall forward the information F124... to the Secretariat of the Basel Convention. On the basis of the information provided, the [F125Secretary of State] may make comments and, where appropriate, [F126amend] Annex V in accordance with Article 58.

[F1276.For the purposes of this Article, Liechtenstein shall be deemed to be a country to which the OECD Decision applies.]

Textual Amendments

Article 37U.K.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 [F128Secretary of State may], send a written request to each [F129non-EU] country to which the OECD Decision does not apply, seeking:

(i)

confirmation in writing that the waste may be exported from the [F130United Kingdom] for recovery in that country, and

(ii)

an indication as to which control procedure, if any, would be followed in the country of destination.

Each [F131non-EU] country to which the OECD Decision does not apply shall be given the following options:

(a)

a prohibition; or

(b)

a procedure of prior written notification and consent as described in Article 35; or

(c)

no control in the country of destination.

2.[F132The Secretary of State 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 exit day.]

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.

F133...

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.

[F1346.For the purposes of this Article, Liechtenstein shall be deemed to be a country to which the OECD Decision applies.]

Textual Amendments

Textual Amendments

Section 2U.K.Exports to [F135EU or] OECD-Decision countries

Article 38U.K.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 the [F136United Kingdom] and destined for recovery in [F137an EU country or country] to which the OECD Decision applies, with or without transit through [F138one or more EU countries or] countries to which the OECD Decision applies, the provisions of Title II shall apply F139..., with the adaptations and additions listed in paragraphs 2, 3 and 5.

2.[F140Except where waste is destined for recovery in an EU country, the] following adaptations shall apply:

(a)mixtures of wastes listed in Annex IIIA destined for an interim operation shall be subject to the procedure of prior written notification and consent if any subsequent interim or non-interim recovery or disposal operation is to take place in a [F141non-EU] country to which the OECD Decision does not apply;

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

(c)the consent as required in accordance with Article 9 may be provided in the form of tacit consent from the competent authority of destination F142....

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

F143(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F143(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F143(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)if, 42 days after the waste has left [F144the United Kingdom], the competent authority of dispatch in [F144the United Kingdom] has received no information from the facility about receipt of the waste, it shall without delay inform the competent authority of destination; and

(e)[F145except 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:

(i)

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,

(ii)

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

(iii)

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:

(a)the notifier has received written consent from the competent authorities of dispatch, destination and, where appropriate, transit or, if tacit consent from the competent [F146authority 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;

(b)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 [F147non-EU] country to which the OECD Decision does not apply, the following adaptations shall apply:

(a)the competent authority of transit F148... 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

(b)the competent authority of dispatch F149... 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 F150..., 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.[F151Except 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.

[F1527.If a general customs official discovers an illegal shipment, the official shall without delay inform the relevant authority which shall—

(a)where the dispatch of the waste was not in the area of the relevant authority, without delay inform the competent authority of dispatch; and

(b)ensure detention of the waste until the competent authority of dispatch has decided otherwise and, where the discovery is not in the area of the competent authority of dispatch, has communicated that decision in writing to the relevant authority.

8.In paragraph 7—

  • “general customs official” means a general customs official designated under section 3(1) of the Borders, Citizenship and Immigration Act 2009;

  • “relevant authority” has the meaning given in Article 35(7).

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

Textual Amendments

Textual Amendments

CHAPTER 3U.K.General provisions

Article 39U.K.Exports to the Antarctic

Exports of waste from the [F153United Kingdom] to the Antarctic shall be prohibited.

Textual Amendments

Article 40U.K.Exports to overseas countries or territories

1.Exports from the [F154United Kingdom] 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 F155....

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.

Textual Amendments

Textual Amendments

TITLE VU.K.IMPORTS F156... FROM THIRD COUNTRIES

CHAPTER 1U.K.Imports of waste for disposal

Article 41U.K.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 the [F157United Kingdom] of waste destined for disposal shall be prohibited except those from:

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

(b)other countries with which the [F158United Kingdom has] concluded bilateral or multilateral agreements or arrangements compatible with [F159retained EU law] and in accordance with Article 11 of the Basel Convention; or

(c)other countries with which [F160the United Kingdom has] concluded bilateral agreements or arrangements in accordance with paragraph 2; or

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

2.In exceptional cases, [F161the Secretary of State] may conclude bilateral agreements and arrangements for the disposal of specific waste in [F162the United Kingdom], 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 [F163retained 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 the [F164United Kingdom].

F165...

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 F166... 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.

Textual Amendments

Article 42U.K.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 the [F167United Kingdom] and destined for disposal from countries Parties to the Basel Convention, the provisions of Title II shall apply F168..., with the adaptations and additions listed in [F169paragraph 2].

2.The following adaptations shall apply:

(a)the competent authority of transit [F170in 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

(b)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.

F1713.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.The shipment may take place only if:

(a)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;

(b)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;

(c)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

(d)environmentally sound management, as referred to in Article 49, is ensured.

[F1725.If a general customs official discovers an illegal shipment, the official shall without delay inform the relevant authority which shall—

(a)where the discovery of the waste is not in the area of the competent authority of destination in the United Kingdom, without delay inform the competent authority of destination; and

(b)ensure detention of the waste until the competent authority of destination has decided otherwise and, where the discovery is not in the area of the relevant authority, has communicated that decision in writing to the relevant authority.

6.In paragraph 5—

  • “general customs official” means a general customs official designated under section 3(1) of the Borders, Citizenship and Immigration Act 2009;

  • “relevant authority” has the meaning given in Article 35(7).]

Textual Amendments

CHAPTER 2U.K.Imports of waste for recovery

Article 43U.K.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 the [F173United Kingdom] of waste destined for recovery shall be prohibited except those from:

(a)countries to which the OECD Decision applies; or

(b)other countries which are Parties to the Basel Convention; or

(c)other countries with which the [F174United Kingdom has] concluded bilateral or multilateral agreements or arrangements compatible with [F175retained EU law] and in accordance with Article 11 of the Basel Convention; or

(d)other countries with which [F176the United Kingdom has] concluded bilateral agreements or arrangements in accordance with paragraph 2; or

[X2(e ) other areas in cases where, on exceptional grounds during situations of crisis, peacemaking, peacekeeping or war, no bilateral agreements or arrangements pursuant to points (c) or (d) can be concluded or where a competent authority in the country of dispatch has either not been designated or is unable to act.]

2.In exceptional cases, [F177the Secretary of State] may conclude bilateral agreements and arrangements for the recovery of specific waste in [F178the United Kingdom], 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.

Editorial Information

Textual Amendments

Article 44U.K.Procedural requirements for imports from an [F179EU or] OECD Decision country or from other areas during situations of crisis or war

1.Where waste destined for recovery is imported into the [F180United Kingdom] from [F181or through an EU country or country] to which the OECD Decision applies, the provisions of Title II shall apply F182..., with the adaptations and additions listed in [F183paragraph 2].

2.The following adaptations shall apply:

(a)the consent as required in accordance with Article 9 may be provided in the form of tacit consent from the competent authority of dispatch [F184in any non-EU country];

(b)[F185where 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

(c)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.

F1863.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.The shipment may take place only if:

(a)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 [F187in any non-EU country] is provided or can be assumed and if the conditions laid down are met;

(b)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;

(c)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

(d)environmentally sound management, as referred to in Article 49, is ensured.

[F1885.If a general customs official discovers an illegal shipment, the official shall without delay inform the relevant authority which shall—

(a)where the discovery of the waste is not in the area of the competent authority of destination in the United Kingdom, without delay inform the competent authority of destination; and

(b)ensure detention of the waste until the competent authority of destination has decided otherwise and, where the discovery is not in the area of the relevant authority, has communicated that decision in writing to the relevant authority.

6.In paragraph 5—

  • “general customs official” means a general customs official designated under section 3(1) of the Borders, Citizenship and Immigration Act 2009;

  • “relevant authority” has the meaning given in Article 35(7).]

Textual Amendments

Article 45U.K.Procedural requirements for imports from a [F189non-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 the [F190United Kingdom]:

(a)

from a [F191on-EU] country to which the OECD Decision does not apply; or

(b)

through any [F192non-EU] country to which the OECD Decision does not apply and which is also Party to the Basel Convention,

Article 42 shall apply mutatis mutandis.

Textual Amendments

CHAPTER 3U.K.General provisions

Article 46U.K.Imports from overseas countries or territories

1.Where waste is imported into the [F193United Kingdom] from overseas countries or territories, Title II shall apply F194....

2.One or more overseas countries and territories [F195listed in points (a) to (n) of Article 2(26) and the United Kingdom] may apply national procedures to shipments from the overseas country or territory to [F196the United Kingdom].

3.[F197Where paragraph 2 applies, the Secretary of State shall notify the Secretariat of the Basel Convention] of the national procedures applied.

Textual Amendments

Textual Amendments

TITLE VIU.K.TRANSIT THROUGH THE [F198UNITED KINGDOM] FROM AND TO THIRD COUNTRIES

CHAPTER 1U.K.Transit of waste for disposal

Article 47U.K.Transit through the [F199United Kingdom] of waste destined for disposal

Where waste destined for disposal is shipped through [F200the United Kingdom] from and to third countries, Article 42 shall apply mutatis mutandisF201...

F201(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F201(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

CHAPTER 2U.K.Transit of waste for recovery

Article 48U.K.Transit through the [F202United Kingdom] of waste destined for recovery

1.Where waste destined for recovery is shipped through [F203the United Kingdom] from and to a [F204non-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 [F205the United Kingdom] from and to [F206an EU country or] a country to which the OECD Decision applies, Article 44 shall apply mutatis mutandisF207...

F207(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F207(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F2083.Where waste destined for recovery is shipped through the United Kingdom 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.]

Textual Amendments

Textual Amendments

TITLE VIIU.K.OTHER PROVISIONS

CHAPTER 1U.K.Additional obligations

Article 49U.K.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. F209...

2.[F210In the case of an export from the United Kingdom to a non-EU country, the competent authority of dispatch in the United Kingdom shall]:

(a)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 F211... country of destination;

(b)prohibit an export of waste F212... 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 [F213retained 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 F214... country of destination.

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

3.[F215In the case of an import into the United Kingdom from a non-EU country, the competent authority of destination in the United Kingdom shall]:

(a)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 environmentF216... throughout the period of shipment, including recovery or disposal in the country of destination;

(b)prohibit an import of waste F217... if it has reason to believe that the waste will not be managed in accordance with the requirements of point (a).

Textual Amendments

Article 50U.K.Enforcement F218...

F2191.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F220 2 .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F202a.[F221The Secretary of State shall ensure that, in respect of the United Kingdom, 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:

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

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

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

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

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

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

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

[F363. Inspections of shipments may take place in particular:

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

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

(c) at the frontiers of the [F222United Kingdom]; and/or

(d) during the shipment within the [F222United Kingdom].]

[F364. Inspections of shipments shall include the verification of documents, the confirmation of identity and, where appropriate, physical checking of the waste.]

[F204a. 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 [F223the Waste Electrical and Electronic Equipment Regulations 2013], require the natural or legal person who is in possession of the substance or object concerned, or who arranges the carriage thereof, to submit documentary evidence:

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

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

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

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 [F224retained 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.

[F225 4e. The Secretary of State may, by regulations, amend the correlation table in Commission Implementing Regulation (EU) 2016/1245 in order to—

(a)reflect changes to the combined nomenclature provided for in Council Regulation (EEC) No 2658/87;

(b)reflect changes to the entries of waste listed in Annexes 3, 3A, 3B, 4, 4A and 5;

(c)include any new waste-related codes of the Harmonised System Nomenclature that the World Customs Organisation may adopt.]]

[F2265. The competent authorities in the United Kingdom shall, where appropriate, cooperate, bilaterally and multilaterally, with the competent authorities of EU countries in order to—

(a)facilitate the prevention and detection of illegal shipments;

(b)exchange relevant information on shipments of waste, flows of waste, operators and facilities; and

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

6.[F227Each competent authority in the United Kingdom] shall identify those members of [F228its] 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. [F229The competent authority shall, before the end of each calendar year, send the information in writing to the Secretary of State. The Secretary of State shall then promptly send the information to the Secretariat of the Basel Convention.]

F2307.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F231Article 51U.K.Reports

1.The Secretary of State must, before the end of each calendar year—

(a)prepare the report for the previous calendar year referred to in Article 13(3) of the Basel Convention; and

(b)transmit the report to the Secretariat of the Basel Convention in accordance with that Article.

2. The Secretary of State must, before the end of each calendar year—

(a)prepare a further report for the previous calendar year based on the questionnaire and table in Annex 9; and

(b)publish the further report in a manner which the Secretary of State considers appropriate.]

Textual Amendments

Article 52U.K.International cooperation

[F232The United Kingdom], where appropriate and necessary F233..., 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.

Textual Amendments

F234Article 53U.K.Designation of competent authorities

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F235Article 54U.K.Designation of correspondents

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F236Article 55U.K.Designation of frontier crossing points

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

Textual Amendments

Article 56U.K.Notification of, and information regarding, designations

1.[F237The Secretary of State] shall notify the [F238Secretariat of the Basel Convention] of designations of:

(a)competent authoritiesF239...;

F240(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)where appropriate, [F241frontier crossing points, designated] pursuant to Article 55.

2.In relation to those designations, [F242the Secretary of State] shall notify the [F243Secretariat of the Basel Convention] of the following information:

(a)name(s);

(b)postal address(es);

(c)e-mail address(es);

(d)telephone number(s);

(e)fax number(s); and

(f)languages acceptable to the competent authorities.

3.[F244The Secretary of State] shall immediately notify [F245the Secretariat of the Basel Convention] of any changes in this information.

F2464.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

5.The [F247Secretary of State] shall publish on [F248a website maintained by the Secretary of State] lists of the [F249competent authorities in the United Kingdom and frontier crossing points designated pursuant to Article 55], and shall update these lists as appropriate.

Textual Amendments

CHAPTER 2U.K.Other provisions

F250Article 57U.K.Meeting of the correspondents

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F36 Article 58 U.K. Amendment of the Annexes

1. The [F251Secretary of State may, by regulations,] amend the following:

(a) 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;

(b) Annex V to reflect [F252any amendments made to Commission Decision 2000/532/EC];

(c) Annex VIII to reflect decisions taken under relevant international conventions and agreements.]

Textual Amendments

F253 Article 58a U.K. Exercise of the delegation

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F254Article 59U.K. [F254Additional measures]

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F255 Article 59a U.K. Regulations

1 .Regulations made under this Regulation are to be made by statutory instrument.

2 . A statutory instrument containing regulations made under this Regulation is subject to annulment in pursuance of a resolution of either House of Parliament.

3.Such regulations may—

(a)contain consequential, incidental, supplementary, transitional or saving provision (including provision amending, repealing or revoking enactments (which has the meaning given by section 20(1) of the European Union (Withdrawal) Act 2018));

(b)make different provision for different purposes.]

Textual Amendments

F256Article 60U.K.Review

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Article 61U.K.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.

F257Article 62U.K.Transition rules

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F257Article 63U.K.Transitional arrangements for certain Member States

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F257Article 64U.K.Entry into force and application

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F258...

Textual Amendments

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