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

[F1 IV. Specific instructions for completing the notification document U.K.

13.F2 The notifier (1) is to complete blocks 1–18 (except the notification number in block 3) at the time of notification. In some third countries which are not OECD member countries, the competent authority of dispatch may complete these blocks. When the notifier is not the same person as the original producer, this producer or one of the persons indicated in point 15(a)(ii) or (iii) of Article 2 is, where practicable, also to sign in block 17 as specified in the second subparagraph, point 1 of Article 4, and Annex II, Part 1, point 26. U.K.

Textual Amendments

F2Words in Annex 1C Pt. 4 point 13 footnote substituted (31.12.2020) by The International Waste Shipments (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/590), regs. 2(2), 103(3); 2020 c. 1, Sch. 5 para. 1(1)

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

15.F3 Normally, the consignee would be the disposal or recovery facility given in block 10. In some cases, however, the consignee may be another person, for example a dealer, a broker (2), or a corporate body, such as the headquarters or mailing address of the receiving disposal or recovery facility in block 10. In order to act as a consignee, a dealer, broker or corporate body must be under the jurisdiction of the country of destination and possess or have some other form of legal control over the waste at the moment the shipment arrives in the country of destination. In such cases, information relating to the dealer, broker or corporate body should be completed in block 2. U.K.

Textual Amendments

F3Words in Annex 1C Pt. 4 point 15 footnote substituted (31.12.2020) by The International Waste Shipments (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/590), regs. 2(2), 103(4); 2020 c. 1, Sch. 5 para. 1(1)

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

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

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

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

20.F4 Block 9 (See Annex II, Part 1, points 3 and 16): Provide the required information on the producer of the waste (3) . The registration number of the producer should be given where applicable. If the notifier is the producer of the waste then write ‘Same as block 1’. If the waste has been produced by more than one producer, write ‘See attached list’ and append a list providing the requested information for each producer. Where the producer is not known, give the name of the person in possession or control of such waste (holder). Also provide information on the process by which the waste was produced and the site of production. U.K.

Textual Amendments

F4Words in Annex 1C Pt. 4 point 20 footnote substituted (31.12.2020) by The International Waste Shipments (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/590), regs. 2(2), 103(5); 2020 c. 1, Sch. 5 para. 1(1)

21. Block 10 (See Annex II, Part 1, point 5): Provide the required information (give destination of the shipment by ticking either disposal or recovery facility, registration number only where applicable and actual site of disposal or recovery if it is different from the address of the facility). If the disposer or recoverer is also the consignee, state here ‘Same as block 2’. If the disposal or recovery operation is a D13–D15 or R12 or R13 operation (according to [F5Annex 1 or 2 of Directive 2008/98/EC]), the facility performing the operation should be mentioned in block 10, as well as the location where the operation will be performed. In such a case, corresponding information on the subsequent facility or facilities, where any subsequent R12/R13 or D13–D15 operation and the D1–D12 or R1–R11 operation or operations takes or take place or may take place should be provided in an annex. U.K.

Textual Amendments

F5Words in Annex 1C Pt. 4 point 21 substituted (31.12.2020) by The International Waste Shipments (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/590), regs. 2(2), 102(4)(a); 2020 c. 1, Sch. 5 para. 1(1)

[F6If the recovery or disposal facility is a relevant facility, evidence (e.g. a declaration certifying its existence) of a valid permit issued in accordance with the relevant regulations must be provided in an annex.

In this paragraph—

“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;

“relevant regulations” means—

(a)in relation to England and Wales, the Environmental Permitting (England and Wales) Regulations 2016;

(b)in relation to Northern Ireland, the Pollution Prevention and Control (Industrial Emissions) Regulations (Northern Ireland) 2013;

(c)in relation to Scotland, the Pollution Prevention and Control (Scotland) Regulations 2012.]

22.F7 Block 11 (See Annex II, Part 1, points 5, 19 and 20): Indicate the type of recovery or disposal operation by using R-codes or D-codes of [F8Annex 1 or 2 of Directive 2008/98/EC] (see also the list of abbreviations and codes attached to the notification document) (4). If the disposal or recovery operation is a D13–D15 or R12 or R13 operation, corresponding information on the subsequent operations (any R12/R13 or D13–D15 as well as D1–D12 or R1–R11) should be provided in an annex. Also indicate the technology to be employed. If the waste is destined for recovery, provide the planned method of disposal for the non-recoverable fraction after recovery, the amount of recovered material in relation to non-recoverable waste, the estimated value of the recovered material and the cost of recovery and the cost of disposal of the non-recoverable fraction in an annex. In addition, in cases of imports into the [F9United Kingdom] of wastes destined for disposal, indicate a prior duly motivated request from the country of dispatch according Article 41(4) of this Regulation under ‘reason for export’ and attach this request in an annex. Some third countries outside the OECD may, based on the Basel Convention, also require that the reason for export is specified. U.K.

Textual Amendments

F7Words in Annex 1C Pt. 4 point 22 footnote substituted (31.12.2020) by The International Waste Shipments (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/590), regs. 2(2), 103(6); 2020 c. 1, Sch. 5 para. 1(1)

F8Words in Annex 1C Pt. 4 point 22 substituted (31.12.2020) by The International Waste Shipments (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/590), regs. 2(2), 102(5)(a); 2020 c. 1, Sch. 5 para. 1(1)

F9Words in Annex 1C Pt. 4 point 22 substituted (31.12.2020) by The International Waste Shipments (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/590), regs. 2(2), 102(5)(b); 2020 c. 1, Sch. 5 para. 1(1)

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

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

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

(a) Subheading (i): Basel Convention Annex VIII codes should be used for wastes that are subject to the procedure of prior written notification and consent (see Part I of Annex IV of this Regulation); Basel Annex IX codes should be used for wastes that are not usually subject to the procedure of prior written notification and consent but which, for a specific reason such as contamination by hazardous substances (cf. paragraph 1 of Annex III of this Regulation) or different classification according to F10... national regulations (5), are subject to the procedure of prior written notification and consent (see Part I of Annex III of this Regulation). Basel Annexes VIII and IX can be found in Annex V of this Regulation, in the text of the Basel Convention as well as in the Instruction Manual available from the Secretariat of the Basel Convention. If a waste is not listed in Annexes VIII or IX of the Basel Convention, insert ‘not listed’. U.K.

Textual Amendments

F10Words in Annex 1C Pt. 4 point 25(a) omitted (31.12.2020) by virtue of The International Waste Shipments (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/590), regs. 2(2), 102(6)(a); 2020 c. 1, Sch. 5 para. 1(1)

(b) Subheading (ii): OECD member countries should use OECD codes for wastes listed in Part II of Annexes III and IV of this Regulation, i.e. wastes that have no equivalent listing in the Annexes of the Basel Convention or that have a different level of control under this Regulation from the one required by the Basel Convention. If a waste is not listed in Part II of Annexes III and IV of this Regulation, insert ‘not listed’. U.K.

(c) Subheading (iii): [F11The codes included in Commission Decision 2000/532/EC should be used].U.K.

Textual Amendments

F11Words in Annex 1C Pt. 4 point 25(c) substituted (31.12.2020) by The International Waste Shipments (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/590), regs. 2(2), 102(6)(b); 2020 c. 1, Sch. 5 para. 1(1)

(d) Subheadings (iv) and (v): Where applicable, national identification codes other than the EC list of wastes used in the country of dispatch and, if known, in the country of destination should be used. [F12 Such codes may be included in Annexes IIIA, IIIB or IVA of this Regulation.] U.K.

Textual Amendments

F12Deleted by Commission Regulation (EU) No 255/2013 of 20 March 2013 amending, for the purposes of adaptation to scientific and technical progress, Annexes IC, VII and VIII to Regulation (EC) No 1013/2006 of the European Parliament and of the Council on shipments of waste (Text with EEA relevance).

(e) Subheading (vi): If useful or required by the relevant competent authorities, add here any other code or additional information that would facilitate the identification of the waste. U.K.

[F13Such codes may be included in Annexes IIIA, IIIB or IVA of this Regulation. In that case, the Annex number should be stated in front of the codes. As regards Annex IIIA, the relevant code(s) as indicated in Annex IIIA should be used, as appropriate in sequence. Certain Basel entries such as B1100 F14... and B3020 are restricted to particular waste streams only, as indicated in Annex IIIA.]

(f) Subheading (vii): State the appropriate Y-code or Y-codes according to the ‘Categories of wastes to be controlled’ (see Annex I of the Basel Convention and Appendix 1 of the OECD Decision), or according to the ‘Categories of wastes requiring special consideration’ given in Annex II of the Basel Convention (see Annex IV Part I of this Regulation or Appendix 2 of the Basel Instruction Manual), if it or they exist(s). Y-codes are not required by this Regulation and the OECD Decision except where the waste shipment falls under one of the [F15three] ‘Categories requiring special consideration’ under the Basel Convention ([F16Y46, Y47 and Y48] or Annex II wastes), in which case the Basel Y-code should be indicated. Nevertheless, indicate the Y-code or Y-codes for wastes defined as hazardous according Article 1(1)(a) of the Basel Convention in order to fulfil the reporting requirements under the Basel Convention. U.K.

Textual Amendments

F15Word in Annex 1C Pt. 4 point 25(f) substituted (1.1.2021) by The International Waste Shipments (Amendment of Regulation (EC) No 1013/2006) Regulations 2020 (S.I. 2020/1455), regs. 2, 4(3)(a)

F16Words in Annex 1C Pt. 4 point 25(f) substituted (1.1.2021) by The International Waste Shipments (Amendment of Regulation (EC) No 1013/2006) Regulations 2020 (S.I. 2020/1455), regs. 2, 4(3)(b)

[F17(g) Subheading (viii) : If applicable, state here the appropriate H-code or H-codes, i.e. the codes indicating the hazardous characteristics exhibited by the waste (see the list of abbreviations and codes attached to the notification document). If there is no hazardous characteristic covered by the Basel Convention, but the waste is hazardous according to Annex III to Directive 2008/98/EC F18..., state the HP- code or HP-codes according to this Annex III and insert ‘EU’ after the HP code (e.g. HP14 EU).] U.K.

Textual Amendments

F18Words in Annex 1C Pt. 4 point 25(g) omitted (31.12.2020) by virtue of The International Waste Shipments (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/590), regs. 2(2), 102(6)(c); 2020 c. 1, Sch. 5 para. 1(1)

(h) Subheading (ix): If applicable, state here the United Nations class or classes which indicate the hazardous characteristics of the waste according to the United Nations classification (see the list of abbreviations and codes attached to the notification document) and are required to comply with international rules for the transport of dangerous goods (see the United Nations Recommendations on the Transport of Dangerous Goods. Model Regulations (Orange Book), latest edition) (6). U.K.

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

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

26.F19 Block 15 (See Annex II, Part 1, points 8-10, 14): On line (a) of block 15, provide the name of the countries (7) of dispatch, transit and destination or the codes for each country by using the ISO standard 3166 abbreviations (8) . On line (b), provide, where applicable, the code number of the respective competent authority for each country and on line (c) insert the name of the border crossing or port and, where applicable, the customs office code number as the point of entry to or exit from a particular country. For transit countries give the information in line (c) for points of entry and exit. If more than three transit countries are involved in a particular shipment, attach the appropriate information in an annex. Provide the intended route between points of exit and entry, including possible alternatives, also in cases of unforeseen circumstances, in an annex. U.K.

Textual Amendments

F19Words in Annex 1C Pt. 4 point 26 footnote substituted (31.12.2020) by The International Waste Shipments (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/590), regs. 2(2), 103(7); 2020 c. 1, Sch. 5 para. 1(1)

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

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

29. Block 18: Indicate the number of annexes containing any additional information supplied with the notification document (9) . Each annex must include a reference to the notification number to which it relates, which is indicated in the corner of block 3. U.K.

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

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