Basics

By application of the Regulation (EC) No 1013/2006 as of 14 June 2006 – hereinafter referred to as Waste Shipment Regulation (WSR) –, the former Council Regulation (EEC) No 259/93 has been repealed with effect as of 12 July 2007, and the transboundary shipments of waste for all Member States of the EU have been reformed. The WSR transposes the procedural rules of the Basel Convention of 22 March 1989 on the control of transboundary movements of hazardous wastes and their disposal as well as the developments thereof and of Decision C(2001)107/Final of the OECD Council into directly applicable European legislation.

To adapt this to German legislation, the German Waste Shipment Act (Abfallverbringungsgesetz – AbfVerbrG – an act for the implementation of Regulation No 1013/2006 of the European Parliament and of the Council of 14 June 2006 on the movements of waste as well as the Basel Convention of 22 March 1989 on the control of transboundary movements of hazardous wastes and their disposal) was enacted, repealing the former German Waste Shipment Act as of 30 September 1994. 

 

Notification or general information requirements

Depending on the classification of wastes as set out in the Annexes of the WSR, the intended disposal operation as well as the country of destination, transboundary shipments of waste as referred to in the WSR are subject to the procedure of prior written notification or only to general information requirements.

Prior written notification procedure for shipments of wastes as below:

• if destined for disposal operations:
• all wastes

• if destined for recovery operations:
  • wastes listed in Annexes IV/V A
  • non-listed wastes
  • mixtures of wastes not classified under one single entry in either Annex III, III B, IV, IV A

General information requirements for shipments of wastes destined for recovery as below:

• waste listed in Annexes III, III A, III B (‘green’ listed waste), if the amount of waste shipped exceeds 20 kg

• waste destined for laboratory analysis, if the amount of waste does not exceed 25 kg

In accordance with Article 18, shipments of wastes subject to the a. m. general information requirements have to be announced by the document according to Annex VII, signed by the person who arranges the shipment.

In addition, a contract on recovery according to Article 18 has to be concluded between the person who arranges the shipment and the consignee of the wastes intended for recovery (only required in case of shipments of ‘green’ listed wastes), which shall be effective prior to any shipment. This contract needs to be presented to the competent authorities concerned on request.

The contract has to include the following provisions resp. obligations:

• where the shipment of the wastes or its recovery cannot be completed as intended or where it has been effected as an illegal shipment

• on the person who arranges the shipment or, where that person is not in a position to complete the shipment of waste or its recovery (for example, is insolvent), on the consignee to:

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

 

Prior written notification and consent

In the case of a transboundary shipment of wastes a written notification (application for granting of a transboundary shipment of wastes) has to be submitted to the competent authority in the country of dispatch prior to any shipment.

The written consent (granting of a transboundary shipment of wastes) is given by both the competent authority of dispatch and the competent authority of destination, and – where appropriate – by the competent authority of transit. Tacit consent might only be granted by the competent authority of transit.

 

Submission of a written notification

According to Article 4 (1) of the WSR, the notification has to be submitted to the competent authority of dispatch; i.e. in Lower Saxony the application needs to be addressed to NGS, Niedersächsische Gesellschaft zur Endablagerung von Sonderabfall mbH.

After verification of completeness and plausibility of the application (notification is properly carried out), NGS initiates a notification procedure by transmitting the notification to the competent authority of destination as well as to possible competent authority(ies) of transit.

Once the complete application has been received by the competent authorities concerned, the notification will be considered as properly completed, and the competent authority of destination will acknowledge receipt of the notification. At the end of a 30-day limit after the acknowledgement, written consent will be given by the competent authorities concerned.

 

Notification document and movement document

For a written notification, a set of forms consisting of the notification document acc. to Annex I A and the movement document acc. to Annex I B of the WSR has to be used.

In Germany, these documents are provided by licenced companies or the competent authorities with the correspondingly required notification number (consisting of the German country code ‘DE’, [4-digit licence number] / [6-digit serial number]).

Note: The notification number of both the notification document and the movement document need to be uniquely numbered (see box 3 and/or 1 of the respective document).

Further information on the notification procedure can be found at the German Federal Environment Agency (UBA - Umweltbundesamt).

 

Information and documentation to be submitted

In addition to notification and movement documents, additional information and documentation related to notification as listed in Annex II, Part 1-3, have to be submitted.

Basically the following documentation has to be submitted:

• A Contract between notifier and consignee as well as waste producer – if different from notifier – including the following obligations (see NGS draft standard contract):

• The notifier is obliged 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) of Council Regulation (EC) No 1013/2006;

• the consignee is obliged to recover/dispose of the waste if the shipment has been effected as an illegal shipment which is the responsibility of the consignee, in accordance with Article 24 (3) of Council Regulation (EC) No 1013/2006;

• the consignee and/or the facility are obliged to provide to the competent authorities concerned, in accordance with Article 16 (e), as soon as possible and no later than one calendar year following receipt of the waste a certificate that the waste has been recovered/disposed of in accordance with the notification and the conditions specified therein and the requirements of this Regulation.

Further obligations if the wastes are destined for interim recovery or disposal:

• The consignee or the interim facility is obliged to provide to the competent authorities concerned a certificate on,

• according to Article 15 (d), the completion of the interim recovery or disposal operation in accordance with the notification and the conditions specified therein and the requirements laid down in Regulation No 1013/2006, as soon as possible but no later than one calendar year following receipt of the waste, and

• according to Article 15 (e), the completion of the non-interim recovery or disposal operation in accordance with the notification, the conditions specified therein and the requirements laid down in Regulation No 1013/2006, as soon as possible but no later than one calendar year following delivery of the waste.

• According to Article 15 (f) (ii), the consignee is obliged to submit a notification to the initial competent authority of the initial country of dispatch, if the wastes, after the interim recovery or disposal, are delivered to a facility located in a third non-EU country.

• A financial guarantee in accordance with Article 6 of the WSR which has to be submitted in the original to the competent authority in the country of dispatch at the latest three working days prior to the first shipment, covering the costs of retransfer, recovery or disposal and the costs of storage for 90 days (see tack-back obligations as referred to in Articles 22 and 24 of the WSR). The amount of the financial guarantee will be fixed and/or granted by the competent authority in the country of dispatch (NGS);

• Details on the type and duration of the authorisation pursuant to which the facility of the consignee operates;

• Description of the concrete recovery/disposal operation of the respective wastes;

• If the waste is destined for an interim disposal or recovery operation,

• details on the type and duration of the authorisation pursuant to which the facility operates and

• a description of the concrete recovery/disposal operation of the respective wastes

have to be indicated for all facilities where subsequent interim and non-interim recovery or disposal operations are envisaged;

• If the recovery or disposal facility is listed in Annex I, Category 5 of Directive 2010/75/EU on industrial emissions (corresponds to as regards content Annex I Category 5 of Directive 96/61/EC as attached [see Annex II], but in the meantime repealed), a valid permit acc. to this directive has to be provided;

• Information on the quantity of the recovered material in relation to the quantity of the residual waste, and on the intended disposal operation for the residual waste;

• Estimated value of the recovered material;

• Index of wastes and names of waste producers (in case of several waste producers due to waste collection);

• Analysis of the wastes to be moved;

• Broker’s licence acc. to § 53 and/or § 54 of the German Recycling Management Act (KrWG – Kreislaufwirtschaftsgesetz), to be granted by the German Trade and Industrial Inspectorate (Staatliches Gewerbeaufsichtsamt in D-31134 Hildesheim for Lower Saxony) and power of attorney for notification purposes;

• Transport licence acc. to § 54 of the German Recycling Management Act (KrWG – Kreislaufwirtschaftsgesetz) for the transport of hazardous wastes, to be granted by the German Trade and Industrial Inspectorate (Staatliches Gewerbeaufsichtsamt in D-31134 Hildesheim for Lower Saxony);

• Registration as waste carrier acc. to § 53 of the German Recycling Management Act (KrWG – Kreislaufwirtschaftsgesetz) for the transport of other wastes, to be granted by the German Trade and Industrial Inspectorate (Staatliches Gewerbeaufsichtsamt in D-31134 Hildesheim for Lower Saxony);

• Certificate of

• currently valid third party liability insurance for the means of transport used during the notification

• environmental liability insurance, if environmental damages are not explicitly covered by the third party liability insurance;

• Description of the transport route.

 

Interim recovery or disposal

In accordance with the definitions of the WSR, ‘interim recovery’ is defined as any of the recovery operations R12 or R13, and ‘interim disposal’ is defined as any of the disposal operations D13, D14 or D15 acc. to Annex II of the Waste Framework Directive.

Shipments of waste destined for interim recovery or disposal operations are subject to the following additional provisions as defined in Article 15:

• In case of prior written notification all facilities where subsequent interim and non-interim recovery or disposal operations are envisaged shall also be indicated in the notification document in addition to the initial interim recovery or disposal operation. This applies in case of shipments of wastes destined for subsequent interim or non-interim recovery or disposal when one of the following criteria is met:

  • Shipment to facilities in the country of destination,

  • shipment to facilities in the initial country of dispatch (in this case a re-notification is required) or

  • shipment to facilities in a third country (in this case a re-notification in participation with the initial competent authority of dispatch is required).

• Besides, the initial interim facility has to provide additional information on the completion of the interim disposal, on the delivery and/or acceptance of wastes in further interim facilities up to the final disposal in a non-interim facility by using the movement document.

For the purpose of supplying information on the intermediate steps of the disposal – no indications in the movement document possible – from the first interim facility to the final disposal, the certificate according to Article 15(e) of Regulation (EC) No 1013/2006 can be used. This certificate along with the movement document has to be submitted to the competent authorities.

 

Correspondents' guidelines

Correspondents' guidelines represent the common understanding of all Member States on how Regulation (EC) No 1013/2006 on shipments of waste should be interpreted. They are not legally binding. The binding interpretation of Community law is the exclusive competence of the European Court of Justice.

• No 1 on the shipments of waste electrical and electronic equipment

• No 2 on information on the import of waste produced by armed forces or relief organisations

• No 3 for the certification of non-interim disposal operations

• No 4 clarifying Annex IV Part I c of Regulation (EC) No 1013/2006 referring to the classification of waste electrical and electronic equipment and coal fired power plants fly ash

• No 5 – Classification of wood waste under entries B3050 or AC170

• No 6 – Classification of slags from processing of copper alloys under entries GB040 or B1100

• No 7 – Classification of glass waste originating from cathode ray tubes (CRT) under entries B2020 or A2010

• No 8 – Classification of waste cartridges containing toner or ink, according to Regulation (EC) No 1013/2006 on shipments of waste

• No 9 – Shipments of Waste Vehicles

• No 10 – Shipments of waste pursuant to Article 18 of the WSR

• No 11 – Specification of a data model for the electronic data interchange under the WSR

• No 12 – Classification of plastic waste

 

Special arrangement for third countries

Furthermore, third countries (countries to which the OECD Decision does not apply and/or non-EU Member States) can ask for a prior written notification in case of an import of ‘green’ listed wastes destined for recovery, or prohibit the import generally. These obligations or bans have been transposed in a legally binding regulation by the EU Commission. The arrangements of this regulation are compiled in a so-called ‘country list’ by the German Federal Environment Agency (UBA – Umweltbundesamt).

 

New EU Member States

To some new EU Member States transitional arrangements did apply, requiring the notification procedure even in case of shipments of ‘green listed’ wastes:

Latvia	until 31-12-2010
Slovakia	until 31-12-2011
Poland	until 31-12-2012
Bulgaria	until 31-12-2014
Romania	until 31-12-2015

 

Notification requirements for hazardous wastes

In case of transboundary shipments of hazardous wastes destined for disposal, these wastes are subject to notification requirements according to the Waste Management Act of Lower Saxony (Niedersächsisches Abfallgesetz – NabfG) in combination with the Decree on the offer of hazardous wastes (Verordnung über die Andienung von Sonderabfällen):

• the offer has to be regarded as fulfilled when the complete application for notification has been submitted to NGS;

• the authorisation resp. consent to notification has to be regarded as allocation according to § 16 a of the Waste Management Act of Lower Saxony (Niedersächsisches Abfallgesetz – NabfG).