IPA 2009 “Strengthening the capacities for control of transboundary movement of waste”
Manual for coordinated enforcement of
regulations concerning shipments of
waste
Zagreb, November 2013 Ministry of Environmental and Nature Protection
of the Republic of Croatia
This manual has been produced with the assistance of the European Union. The contents of
this manual are the sole responsibility of the Ministry of Environmental and Nature Protection of
the Republic of Croatia and the Environment Agency Austria and can in no way be taken to
reflect the views of the European Union
This project is funded by the European Union
For more information:
Ministry of Environmental and Nature Protection
Directorate for Inspectional Affairs
Republike Austrije 14
HR-10000 Zagreb
Phone: +385 (0)1 3712 851
Fax: +385 (0)1 3712 758
www.projekttfs.hr
Content
1 List of abbreviations .............................................................................................................. 1 2 Introduction ............................................................................................................................. 2 3 Legal provisions and responsible authorities in the Republic of Croatia ...................... 3 3.1 Legal provisions .......................................................................................................................... 3 3.1.1 Regulations on EU level ....................................................................................................... 3 3.1.1.1 3.1.2 Laws / Regulations on national level .................................................................................. 5 3.1.2.1 3.2 Guidelines on EU-level (Correspondents' Guidelines) ................................................. 4 Guidelines on national level ............................................................................................. 6 Responsible authorities in the Republic of Croatia ............................................................... 7 3.2.1 Ministry of Environmental and Nature Protection (MENP) .............................................. 7 3.2.2 Customs .................................................................................................................................. 7 3.2.3 Police ....................................................................................................................................... 9 3.2.4 Coast Guard ........................................................................................................................... 9 3.2.5 Sea Safety Navigation Inspection ..................................................................................... 10 3.2.6 Other authority concerned .................................................................................................. 10 4 Notification procedure ......................................................................................................... 11 4.1 Documentation to be enclosed .......................................................................................... 15 4.1.1 Financial guarantee ............................................................................................................ 17 4.1.2 Contract ................................................................................................................................ 18 4.2 Time limits for authorities ................................................................................................... 19 4.2.1 Transmission of the notification or request for information and documentation within
three working days of receipt ............................................................................................ 19 4.2.2 Requests for information and documentation within three working days ................... 19 4.2.3 Acknowledgement of receipt within three working days ............................................... 19 4.2.4 Consents of the competent authorities ............................................................................ 19 4.2.5 Period of validity of the consents ...................................................................................... 20 4.3 Procedures exports/imports/transits from/into/through the Community ...................... 21 4.3.1 Exports of waste for disposal to EFTA countries (Article 35 of WSR) ........................ 21 4.3.2 Export of waste for recovery listed in Annex III or IIIA (Article 37 of WSR) ............... 22 4.3.3 Export of waste for recovery to OECD-Decision countries (Article 38 of WSR) ........ 22 4.3.4 Import of waste for disposal (Article 42 of WSR) ........................................................... 23 4.3.5 Import of waste for recovery from OECD-Decision countries (Article 44 of WSR) ... 24 4.3.6 Import of waste for recovery from non-OECD Decision countries which are parties to
the Basel Convention, or from areas of crisis or war (Article 45 of WSR) .................. 24 4.3.7 Transit through EU for disposal (Article 47 of WSR) ..................................................... 25 4.3.8 Transit through EU for recovery (Article 48 WSR) ......................................................... 25 4.4 Changes in the shipment after consent (Article 17 of WSR) ........................................ 25 4.5 Monitoring of waste shipments taking place within a notification ................................ 26 4.5.1 Shipments between member states ................................................................................. 26 4.5.2 Additional provisions for import, export, transit ............................................................... 27 4.5.3 Figures .................................................................................................................................. 28 4.5.3.1 Shipments of waste between Member States ................................................................ 28 4.5.3.2 Import into EU ...................................................................................................................... 29 4.5.3.3 Export from EU .................................................................................................................... 30 4.5.3.4 Transit through EU .............................................................................................................. 31 4.6 Contact data of the competent authority in the Republic of Croatia ............................ 32 5 Inspections of transboundary shipments of waste ......................................................... 33 5.1 Provisions and recommendations for inspections on EU level .................................... 33 5.1.1 Article 50 of WSR ................................................................................................................ 33 5.1.2 Recommendation 2001/331/EC providing for minimum criteria for environmental
inspections in the Member States (RMCEI) .................................................................... 33 5.1.2.1 Content of the minimum criteria on planning .................................................................. 34 5.1.3 Doing the right things for waste shipment inspections (DTRT-TFS) ........................... 34 5.1.3.1 Planning as a step within the inspection process ........................................................... 35 5.1.3.2 The advanced Environmental Inspection Cycle ............................................................. 36 5.1.3.3 Risk assessment ................................................................................................................. 40 5.1.3.3.1 Steps to assess the risk ..................................................................................................... 40 5.1.3.3.2 Risk assessment method .................................................................................................. 41 5.1.3.3.3 Risk criteria .......................................................................................................................... 41 5.2 Overview of rights and duties of competent authorities ................................................ 45 5.3 Cooperation of authorities .................................................................................................. 46 5.3.1 Cooperation on national level ............................................................................................ 46 5.3.1.1 Memorandum of Understanding (MoU) ........................................................................... 46 5.3.1.2 Annual meeting of environmental inspectors and stakeholders .................................. 47 5.3.1.3 Review of waste shipment inspection plans ................................................................... 48 5.3.2 Bilateral cooperation with neighboring states and international cooperation ............. 48 5.4 Kinds of inspections ............................................................................................................ 50 5.5 Preparation of inspections ................................................................................................. 51 5.5.1 Preparation of transport inspections ................................................................................ 54 5.5.1.1 Preparation of inspections of transports at borders to other EU member states and
inside the territory of the Republic of Croatia .................................................................. 55 5.5.1.2 Preparation of inspections of transports at the borders to non-EU member states .. 56 5.5.1.3 Preparation of inspections at railway stations ................................................................. 56 5.5.1.4 Preparation of inspections at sea ports and container terminals ................................. 57 5.5.2 Preparation of inspections at companies......................................................................... 58 5.5.3 Preparation of other inspections ....................................................................................... 59 6 Performance of inspections ............................................................................................... 60 6.1 Introduction ........................................................................................................................... 60 6.1.1 Accompanying documentation in case of transboundary shipments .......................... 60 6.1.1.1 Waste subject to prior written notification and consent ................................................. 60 6.1.1.2 Waste not subject to notification – information requirements (Article 18 WSR) ........ 60 6.1.2 Administrative check ........................................................................................................... 63 6.1.3 Physical inspection.............................................................................................................. 64 6.2 General information on performance of transport inspections ..................................... 64 6.2.1 Organize a briefing .............................................................................................................. 65 6.2.2 Select transports ................................................................................................................. 66 6.2.3 Check of documents and do a physical inspection of the load .................................... 66 6.2.3.1 Classification of the material as WASTE or NON- WASTE .......................................... 66 6.2.3.2 Classification of waste as green, amber or unlisted ...................................................... 69 6.2.3.3 Check of the accompanying documents .......................................................................... 70 6.2.3.3.1 Shipments to be notified .................................................................................................... 70 6.2.3.3.1.1 Hints concerning information to be checked in notification and movement
documents ............................................................................................................................ 70 6.2.3.3.2 Shipments not to be notified ............................................................................................. 72 6.2.3.3.2.1 Hints concerning information to be checked in Annex VII form ........................... 72 6.2.4 Optional: further investigation on the spot ....................................................................... 73 6.2.5 Debriefing / evaluation ........................................................................................................ 73 6.2.6 Flowchart – Overview of performance of transport inspections ................................... 74 6.3 Specific information on performance of special kinds of transport inspections ......... 75 6.3.1 Performance of road inspections ...................................................................................... 75 6.3.1.1 Performance of inspections at sea ports and container terminals ............................... 75 6.3.1.2 Specific points during the port inspection action itself ................................................... 75 6.3.1.3 Points of attention when inspecting a container vessel ................................................. 76 6.3.1.4 Inspection of storage locations and warehouses on port sites .................................... 77 6.3.2 Performance of train inspections ...................................................................................... 77 6.3.2.1 Main partners for performing train inspection ................................................................. 77 6.3.2.2 Possible check points ......................................................................................................... 78 6.3.2.3 Points of attention when inspecting trains: ...................................................................... 80 6.4 Performance of company inspections .............................................................................. 80 6.4.1 Specific points for company inspections .......................................................................... 81 6.4.2 “Stand alone” company inspections ................................................................................. 81 6.4.3 “On-request” company inspections .................................................................................. 81 6.5 Performance of other inspections ..................................................................................... 82 7 Illegal shipments of waste .................................................................................................. 83 7.1 Procedures in case of illegal shipments / infringements ............................................... 83 7.1.1 Rights and duties of Croatian authorities in case of illegal shipments ........................ 83 7.1.1.1 Permit writers at MENP ...................................................................................................... 83 7.1.1.2 Environmental Protection Inspectors at MENP, Customs Officials and Police ......... 84 7.1.1.3 Environmental Protection Inspectors at MENP .............................................................. 84 7.1.1.4 Coast Guard and Sea Safety Navigation Inspection ..................................................... 86 7.2 Reporting within enforcement actions .............................................................................. 87 7.2.1 Flow chart –Reporting ........................................................................................................ 87 7.3 Reporting of illegal shipments / infringements to misdemeanour or criminal court... 88 7.3.1 Reporting of illegal shipments to the criminal court ....................................................... 88 7.3.2 Reporting of illegal shipments / infringements to the misdemeanour court ............... 89 7.4 Repatriation or alternative treatment of illegal shipments ............................................. 92 7.4.1 Introduction ........................................................................................................................... 92 7.4.2 Responsibility for illegal shipments of waste ................................................................... 93 7.4.2.1 Illegal shipments of waste under responsibility of the notifier (Art 24 (2) of the WSR;
definition of the notifier see Art 2 (15) of the WSR) ....................................................... 93 7.4.2.2 Illegal shipments under responsibility of the consignee (Art 24 (3) of the WSR;
definition of the consignee see Art 2 (14) of the WSR) ................................................. 94 7.4.2.3 Cases where the responsibility for the illegal shipment cannot be imputed to either the
notifier or the consignee ..................................................................................................... 94 7.4.3 Costs for take-back when a shipment is illegal ............................................................... 97 7.4.3.1 Illegal shipments under responsibility of the notifier ...................................................... 97 7.4.3.2 Illegal shipments under responsibility of the consignee ................................................ 97 7.4.3.3 Cases where the responsibility for the illegal shipment cannot be imputed to either the
notifier or the consignee ..................................................................................................... 98 7.5 Other steps / measures to be taken ................................................................................. 98 8 Measures for strengthening the enforcement ............................................................... 100 8.1 Training of staff and other measures – general ............................................................ 100 8.2 Training-program for mobile units of customs and police concerning inspections of
transboundary shipments of waste ................................................................................. 100 8.2.1 Basic training ..................................................................................................................... 101 8.2.2 Further Trainings ............................................................................................................... 103 8.2.3 Proposed questionnaire ................................................................................................... 104 9 Annexes, forms and specimen ........................................................................................ 106 9.1 Template Annex IA............................................................................................................ 107 9.2 Template Annex 1B .......................................................................................................... 109 9.3 Template notification contract (general) ........................................................................ 111 9.4 Template contract interim recovery or disposal ............................................................ 113 9.5 Template contract interim recovery or disposal & subsequent non-interim recovery or
disposal ............................................................................................................................... 115 9.6 Template contract export for disposal ............................................................................ 117 9.7 Template contract export for recovery (waste listed in Annex IV and IVA of WSR) 119 9.8 Template contract export of green listed waste to non-OECD Decision countries (prior
written notification) ............................................................................................................ 121 9.9 Template financial guarantee .......................................................................................... 123 9.10 Template confirmation release of financial guarantee (interim recovery/disposal) . 125 9.11 Template authorization for broker / dealer .................................................................... 126 9.12 Template Annex VII .......................................................................................................... 127 9.13 Template contract Annex VII ........................................................................................... 129 9.14 Example for a statement of conformity with the end-of-waste criteria (glass cullet) 131 9.15 Consolidated waste lists ................................................................................................... 132 9.15.1 Consolidated Annex III of WSR ...................................................................................... 132 9.15.2 Consolidated Annex IV ..................................................................................................... 143 9.16 List of equipment for executing transport inspections (not exhaustive) .................... 149 9.17 List of waste inspection points ........................................................................................ 150 9.18 Names and contact data of permit writers and environmental protection inspectors 151 9.19 Names and contact data of coordinators taking part at the annual meeting of
enforcement authorities .................................................................................................... 152 9.20 Checklist for preparation of road transport inspections ............................................... 153 9.21 Checklist for preparation of company inspections ....................................................... 154 9.22 List of laboratories for waste sampling and waste analysis ........................................ 155 9.23 Decision tree on procedures according to WSR .......................................................... 156 9.24 Descriptions of wastes in various languages ................................................................ 158 9.25 Background information on railway transport ............................................................... 159 9.26 Annex G2 of IMPEL/TFS .................................................................................................. 163 9.27 Waste inspection planning form for border crossing points (on land), railway stations
and ports including contact data of responsible persons ............................................ 165 9.28 Waste transport inspection form ..................................................................................... 166 9.29 Total results waste inspection form ................................................................................ 168 9.30 Company inspection form ................................................................................................ 169 9.31 List of NCPs ....................................................................................................................... 172 9.32 List of competent authorities ............................................................................................ 175 9.33 Useful links ......................................................................................................................... 217 1 List of abbreviations
CA
Competent Authority
CIM
Uniform Rules Concerning the Contract of International Carriage of
Goods by Rail
CRT
Cathode Ray Tube
DTRT - TFS
Doing the right things for waste shipment inspections
ECJ
European Court of Justice
ELV
End of life vehicle
EWC
European Waste Catalogue
IPPC
Integrated Pollution Prevention and Control
ISV
International Rail Consignment Letter
IMPEL
European Union Network for the Implementation and Enforcement of
Environmental Law
MENP
Ministry of Environmental and Nature Protection
MoU
Memorandum of Understanding
MRN
Movement reference number
NCP
National contact person
NHM
Nomenclature Harmonize the Merchandise (international goods
classification)
OECD
Organisation for Economic Cooperation and Development
R.A.
Risk Assessment
RMCEI
Recommendation of the European Parliament and of the Council of 4
April 2001 providing for minimum criteria for environmental inspections in
the Member States
TFS
Transfrontier shipment of waste
SWMA
Sustainable Waste Management Act
WEEE
Waste electrical and electronic equipment
WSR
Regulation (EC) No 1013/2006 of the European Parliament and of the
Council of 14 June 2006 on shipments of waste
Manual for enforcement
Page 1 2 Introduction
This Manual for the coordinated enforcement of regulations concerning transboundary
shipments of waste has been developed under IPA 2009 TAIB Twinning Project “Strengthening
the capacities for control of transboundary movement of waste”, component 1: Development of
procedures for coordinated enforcement of the regulation related to transboundary movement of
waste and supporting materials, activity 1.2.1.
This Manual for the coordinated enforcement of EC Regulation 1013/2006 (WSR), other
regulations and related provisions in the Sustainable Waste Management Act of the Republic of
Croatia (OG 94/13), shall give an overview of the notification procedure, the monitoring of waste
shipments, inspections of transboundary shipments of waste, illegal shipments / infringements
and also measures for strengthening the enforcement.
This manual provides practical advises and tools to improve permitting and inspection of waste
shipments covered by the WSR; it shall be used by the employers of the Ministry of
Environmental and Nature Protection, especially by the permit writers and the environmental
inspectors, and by all other stakeholders responsible for inspections of transboundary waste
shipments (customs officials, police). Furthermore it shall serve as a source of information for all
other administrative bodies (e.g. State Office for Radiological and Nuclear Safety, Coast Guard)
or persons concerned.
Information of special relevance for customs and police is highlighted in colour.
Manual for enforcement
Page 2 3 Legal provisions and responsible authorities in the Republic of
Croatia
3.1
Legal provisions
The manual is based on the following legal provisions and guidelines existing on EU level and
national level:
3.1.1
Regulations on EU level
(The following regulations are directly valid in all 28 EU member states):
 Regulation (EC) No 1013/2006 of the European Parliament and of the Council of 14
June 2006 on shipments of waste (WSR, Official Journal L 190, 12 July 2006), as
amended (consolidated version 10.04.2013)
The WSR is the basic Regulation in the field of transboundary shipments of waste in the
European Union, covering the responsible persons (notifier), the administrative
procedures, the documentation accompanying transboundary waste shipments,
depending on classification and destination of the waste and measures in case of illegal
shipments (for more information see general part of the Waste Catalogue, page 11-43).
 Commission Regulation (EC) No 1418/2007 of 29 November 2007 concerning the
export for recovery of certain waste listed in Annex III or IIIA to Regulation (EC) No
1013/2006 of the European Parliament and of the Council to certain countries to
which the OECD Decision on the control of transboundary movements of wastes
does not apply (Regulation No 1418/2007, Official Journal L 316, 4.12.2007) as
amended (consolidated version 07.02.2013)
The Regulation No 1418/2007 is fixing the rules for exports for wastes of the Annexes III
and IIIA of the WSR (consolidated version of Annex III see Annex 9.15.1 of this manual),
which are destined for recovery in countries to which the OECD Decision on the control
of transboundary movements of wastes does not apply (The Waste Catalogue contains
a list of OECD countries, see page 12). In the Annex of this regulation the procedures for
wastes listed in the Annexes III and IIIA of the WSR (also called the Green List and
mixtures of wastes of the Green List) in case of exports to non OECD countries are
fixed. Each waste of Annex III or IIIA can be listed in the columns (a), (b), (c) or (d) of
Annex I of the Regulation 1418/2007:
Column (a): prohibition of the export of the waste listed in this column to this country (e.g. the export of waste of
the Code B1040: Scrap assemblies from electrical power generation not contaminated to the Republic of
Macedonia is prohibited);
Column (b): prior written notification and consent as described in Article 35 of WSR (e.g. the export of tin scrap
Manual for enforcement
Page 3 (waste of the code B1010) in non-dispersible form for recovery to the Republic of Macedonia requires the
procedure of prior written notification and consent);
Column (c): no control in the country of destination (e.g. the export of solid plastic waste (waste of the code B3010)
for recovery to the Republic of Macedonia is only to be accompanied by the filled in form accordance with Annex
VII of the WSR); additionally a contract in accordance with Art 18 of the WSR must exist;
Column (d): other control procedures will be followed in the country of destination under applicable national law as
for the waste included in column (c), the general information requirements laid down in Article 18 of WSR (Annex
VII form) apply mutatis mutandis (e.g. the export of waste of the Code B3020: paper, paperboard and paper
product waste to China) unless a waste is also included in column (b) (e.g. the export of waste of the Code B1170
for recovery to Kazakhstan requires prior written notification and consent);
In case of exports of waste of Annexes III or IIIA to non OECD countries, which are not listed in the Annex of
Regulation No 1418/2007, the procedure of prior written notification and consent always applies (these countries
have not issued a confirmation in writing that the waste may be exported to them from the Community for
recovery). E.g. the export of any kind of waste except of waste of the Code B3040 (prohibition) to Azerbaijan
requires prior written notification and consent. E.g. the export of any waste of Annexes III or IIIA to Saudi Arabia
requires prior written notification and consent.
 Council Regulation (EU) No 333/2011 of 31 March 2011 establishing criteria
determining when certain types of scrap metal cease to be waste under Directive
2008/98/EC of the European Parliament and of the Council on waste (Regulation No
333/2011, Official Journal L 94, 8.4.2011)
This regulation fixes the criteria when iron, steel and aluminium scrap, including
aluminium alloy scrap cease to be waste.
 Commission Regulation (EU) No 1179/2012 of 10 December 2012 establishing
criteria determining when glass cullet ceases to be waste under Directive
2008/98/EC of the European Parliament and of the Council (Regulation No
1179/2012, Official Journal L 337, 11.12.2012)
This regulation fixes the criteria when glass cullet ceases to be waste.
 Commission Regulation (EU) No 715/2013 of 25 July 2013 establishing criteria
determining when copper scrap ceases to be waste under Directive 2008/98/EC of
the European Parliament and of the Council (Regulation No 715/2013, Official
Journal L 201, 26.07.2013)
This regulation fixes the criteria when copper scrap ceases to be waste (applying from
January 1, 2014).
3.1.1.1 Guidelines on EU-level (Correspondents' Guidelines)
The Correspondents' Guidelines have been agreed by the waste shipment correspondents of
the EU Member States and represent their common understanding of how WSR should be
Manual for enforcement
Page 4 interpreted. They are not legally binding. The binding interpretation of Community law is the
exclusive competence of the European Court of Justice:

Revised Correspondents' Guidelines No 1 on shipments of waste electrical and
electronic equipment (WEEE)

Correspondents' Guidelines No 2 concerning information on imports into the Community
of waste generated by armed forces or relief organizations

Correspondents' Guidelines No 3 on a certificate for subsequent non-interim recovery or
disposal

Correspondents' Guidelines No 4 on classification of waste electrical and electronic
equipment and fly ash from coal-fired power plants

Correspondents' Guidelines No 5 on classification of wood waste under entries B3050 or
AC170

Correspondents' Guidelines No 6 on classification of slags from processing of copper
alloys under entries GB040 and B1100

Correspondents' Guidelines No 7 on classification of glass waste originating from
cathode ray tubes (CRT) under entries B2020 or A2010

Correspondents' Guidelines No 8 on classification of waste cartridges containing toner
or ink

Correspondents' Guidelines No 9 on shipment of waste vehicles
More detailed information on these Correspondents' Guidelines can be found in the Waste
Catalogue – Guidelines on how to apply Annexes III – V of EC Waste Shipment Regulation
No 1013/2006.
3.1.2
Laws / Regulations on national level
Sustainable Waste Management Act OG No. 94/13 (hereinafter: SWMA)
Chapter VII: Transboundary Movement of Waste
Chapter X: Inspections
Chapter XI: Penalties
The Directive 2008/98/EC of the European Parliament and of the Council on waste and
repealing certain directives is transposed into the national law of the Republic of Croatia by the
SWMA.
Art 14 of the SWMA concerns the classification of substances or objects as by-products.
Manual for enforcement
Page 5 Substances or objects can only be treated as a by-product, if a certificate from the MENP
proving that this by-product has been entered into the Register of By-products exists.
Art 15 of the SWMA concerns the end-of-waste-status for specific types of waste, for which the
end-of-waste status criteria have not been established at the level of the European Union. In
such cases, if the criteria are met, a certificate is issued by the MENP proving the entry into the
Register of End-of-waste Status on basis of an ordinance to be issued by the Minister.
Remark: The SWMA also establishes the framework for the implementation of the WSR (see chapter
VII of the SWMA).
 Regulation on categories, types and classification of waste with a waste catalogue
and list of hazardous waste (OG 50/05, 39/09)
 Customs Service Act (OG No 78/13, Article 4 paragraph 3, points 8-9 - provisions
concerning waste inspection)
 Provisions implementing the Community Customs Code (OG 54/13- current version,
changing every year)
 The Community Customs Code (www.carina.hr)
3.1.2.1 Guidelines on national level
 Waste Catalogue, Guidelines on how to apply Annexes III - V of EC Waste Shipment
Regulation No 1013/2006
The Waste Catalogue is a handbook for the classification of substances or objects in
accordance with the Annexes III, IIIA, IIIB and IV of the WSR. It consists of a common part
with a short overview on the conditions for transboundary shipments of waste and a special
part describing all codes of Annexes III, IIIA and IIIB and additionally some codes of Annex
IV of the WSR.
 Information Toolkit
The Information Toolkit is a first source of information especially for customs and police
officials, which shall be mainly used during mobile inspections. It shall supply first and basic
information concerning important waste streams, their transport and the accompanying
documentation.
Manual for enforcement
Page 6 3.2
Responsible authorities in the Republic of Croatia
The following authorities are responsible authorities in the Republic of Croatia for executing the
WSR.
3.2.1

Ministry of Environmental and Nature Protection (MENP)
(in accordance with Art 118 (2) of the SWMA)
Permit writers at the Directorate for Environmental Protection and Sustainable
Development responsible for:

notification procedure,

repatriation of legal and illegal transboundary shipments of waste.
Environmental inspectors responsible for:

3.2.2

all kind of inspections in the field of transboundary shipments of waste
(company inspections, inspections at harbours, railway stations and traffic
inspections at the borders or in the country),

setting of measures in case of illegal shipments like detaining the
transports, organization of its storage,

prohibition of transboundary shipment,

elaboration of reports in case of illegal shipments.
Customs
Authorized personnel of the Ministry of Finances, Customs Administration (customs
officials) within its own field of competence, unless stated otherwise by the SWMA is
responsible for (in accordance with Art 142 (1) of the SWMA) responsible for:

inspections of transboundary shipments of waste (inspections at harbours,
railway stations and traffic inspections at the borders or in the country),

setting of measures in case of illegal shipments like detaining the transports,
organization of its storage,

prohibition of transboundary shipment.
Manual for enforcement
Page 7 Excursus:
According to the Guidelines on Export and Exit in the context of Regulation (EC) No
648/2005 from 25 October 2010, TAXUD/A3/0034/2010, the customs office of export
and the customs office of exit are defined as follows:
Customs office of export
This is the customs office designated by the customs authorities in accordance with the
customs rules where the formalities requiring a customs declaration for goods destined
to leave the customs territory of the Community for a destination outside of the territory
are to be completed.
Typical formalities to be completed at the customs office of export include:
 The lodging and acceptance of a customs declaration for export, outward processing
or, following a customs procedure with economic impact for re-exportation;
 The verification of the declaration, supporting documents, and the examination
of the goods
 Taking measures allowing the identification of the goods
 Controls on whether the goods are subject to prohibitions or restrictions
 The release of goods for moving to the customs office of exit
 The confirmation of exit to the exporter/declarant
 The issuing of the MRN (Movement Reference Number) to the declarant
 Forwarding the “Anticipated Export Record” message to the customs office of exit.
The customs office of export has to perform appropriate risk-based controls, both for
safety and security and other purposes, except where EU legislation requires that such
controls are to be performed at the customs office of exit.
Customs office of exit (for the export procedure)
This is the customs office designated by the customs authorities in accordance with the
customs rules to which goods must be presented before they leave the customs territory
of the Community and at which they will be subject to customs controls relating to the
completion of exit formalities and the confirmation of the exit of the goods from the
customs territory of the Community.
The responsibility of the customs office of exit includes the following:
Where the good to be brought out of the customs territory of the Community are covered
by a customs declaration lodged at another customs office (which has already
performed risk analysis), the customs office of exit checks, on basis of a risk analysis,
whether goods
- are missing,
- are in excess, and/or
- do not correspond to those declared or have been substituted.
Manual for enforcement
Page 8 The customs office of exit may carry out additional controls on basis of a risk analysis.
Where no discrepancies are identified, the customs office of exit releases the goods for
exit and informs the customs office of export about the exit of the goods.
Where discrepancies are identified, they are notified to the customs office of export
through the “Exit results” message. If there are goods in excess of there is a
discrepancy in the nature of the goods, the customs office of exit refuses the exit of the
goods until the export formalities have been completed.
Where the customs office of exit receives an enquiry from the customs office of export
concerning the exit of goods for which the customs office of export did not receive an
exit results message, it replies to such a request for information.
Where the customs office of exit is also the customs office of export, it performs the
functions described for both customs offices.
Where the goods to be brought out of the customs territory are not covered by a
customs declaration but by an exit summary declaration, the customs office of exit
performs all controls required for goods leaving the customs territory of the Community
before allowing the exit of the goods (this is also applicable for re-export notification).
The general rule is that the customs office of exit is the last customs office before the
goods leave the customs territory of the Community.
3.2.3
Police
Authorized personnel of the Ministry of Interior (police) within its own field of competence,
unless stated otherwise by the SWMA is responsible for (in accordance with Art 142 (1) of
the SWMA):
3.2.4

inspections of transboundary shipments of waste,

investigations and measures in case of illegal shipments, which (may) also
constitute a criminal act in accordance with Article 196 of the Criminal Code (OG
125/11, 144/12) of the Republic of Croatia.
Coast Guard
The Coast Guard is in charge of enforcement of the SWMA and regulations adopted in
pursuance thereof over the area of environmental-fishery zone of the Republic of Croatia,
and economic zone of the Republic of Croatia upon the promulgation of other parts of the
exclusive economic zone in accordance with the Heading IV of the Maritime Code by the
Croatian Parliament (in accordance with Art 141 (7) of the SWMA).
Manual for enforcement
Page 9 Authorized personnel of the Coastal Guard may perform inspection control in the inner sea
and the territorial sea of the Republic of Croatia in case of justified suspicion of violation of
the SWMA, if the environmental inspectors, the water management inspectors, the nature
protection inspectors or the sea safety navigation inspectors are not present or are not able
to act.
Therefore the Coast Guard is obliged to stop any illegal transboundary shipment of waste.
3.2.5
Sea Safety Navigation Inspection
The Sea Safety Navigation Inspection of the Ministry of Sea, Transport and Infrastructure is
responsible for inspections of transboundary shipments of waste in the inner sea and the
territorial sea of the Republic of Croatia (in accordance with Art 141 (6) of the SWMA).
3.2.6
Other authority concerned
State office for Radiological and Nuclear Safety
Also this authority gets in touch with transboundary waste shipments during its regular
work.
Therefore a close cooperation between this authority and the MENP, customs
administration and police shall be established. In case that the State office for Radiation
and Nuclear Safety detects a shipment of substances or objects which is suspicious to be
an illegal transboundary waste shipment it should immediately inform the Environmental
Inspectors or the Customs Administration to set any further necessary steps.
Manual for enforcement
Page 10 4 Notification procedure
The prior written notification must be effected exclusively using the notification document in
Annex IA and the movement document in Annex IB of the EC Waste Shipment Regulation No.
1013/2006 (consolidated version with all amendments until 10.04.2013).
In Annex IC of the EC Waste Shipment Regulation No 1013/2006 specific instructions for
completing the notification and movement documents were defined.
Important provisions of the Waste Shipment Regulation:
Scope and definitions
Exceptions to the scope of the EC Waste
Shipment Regulation
Transboundary shipments of waste
within the Community
Overall procedural framework:



Article 1, paragraph 3
Chapter II (Articles 3 to 32)
Article 3
Procedure of prior written notification
and consent or
General information requirements
(document set out in Annex VII)
Procedure of written notification and
consent


Chapter I (Articles 1, 2)
All wastes destined for disposal
Wastes listed in the Amber List of
Wastes destined for recovery
Unlisted wastes destined for recovery
Transitional arrangements for certain
Member States:
Articles 4 to 17:
Article 11 Objections disposal
Article 12 Objections recovery
Article 14 Pre-consented recovery
facilities
Article 15 Additional provisions regarding
interim recovery and disposal operations
Article 63
Procedure of written notification and
consent also in the case of shipment of
green listed waste destined for recovery
in the following countries:
 Bulgaria (until 31 December 2014),
 Romania (until 31 December 2015)
Waste to be accompanied by certain
information (document set out in Annex
VII):

Article 18
Green listed waste for recovery
Manual for enforcement
Page 11 
weighing 20 kg or more,
All wastes for the laboratory analysis
up to 25 kg
Take-back obligations, payment of costs
Articles 22 to 25
Disagreement concerning the
classification of waste (always the more
stringent classification)
Article 28
Shipment with transit via third countries
Articles 31, 32
Exports from the Community
Chapter IV (Articles 34 to 40)
Exports of waste for disposal –
Prohibited except to EFTA countries.
Articles 34, 35
Exports of waste for recovery – Exports
prohibition for hazardous wastes
destined for recovery in countries to which
the OECD Decision C (2001) 107 final
does not apply.
Article 36
Exports for recovery – Procedures when
exporting waste listed in Annexes III
and IIIA as well as unlisted nonhazardous wastes to which the OECD
Decision C(2001) 107 final does not
apply.
Article 37



Prohibition or
Written notification and consent as
provided for in Art. 35 or
Document set out in Annex VII
Exports for recovery – Procedures when
exporting waste to countries to which
the OECD Decision C (2001) 107 final
applies.
Imports into the Community
Article 38
Chapter V (Articles 41 to 46)
Imports of waste for disposal –
Prohibited except, in particular, from a
country Party to the Basel Convention.
Articles 41, 42
Imports of waste for recovery –
Prohibited except, in particular, from
countries to which the OECD Decision
C (2001) 107 final applies and from
countries Party to the Basel
Convention.
Articles 43 to 45
Transit through the Community from
Manual for enforcement
Chapter VI (Articles 47, 48)
Page 12 and to third countries
Important provisions of the SWMA concerning transboundary shipments:

Competent authority for implementation of WSR – MENP

Designation of border crossings by a regulation

Use of terms „import“ and „export

Import prohibitions

Exclusions

Restrictions to exports (shipments from Croatia) and imports
(shipments to Croatia) - basis for objections

Registration of persons/craftsman carrying out imports
(shipments to Croatia) or exports (shipments from Croatia) of
waste not subject to the notification procedure

Submission of reports to the Agency by these persons

Providing of information concerning exports (shipments
from Croatia) and imports (shipments to Croatia) not subject
to the notification procedure to Environmental Inspectorate
three days prior to the planned dispatch

Keeping of information

Granting of consents in case of notification

Content of consents

Withdrawal of consent

Public availability of consents

Notification procedure

Notification – accompanying information

Conditions for granting consents in case of import, transit
and export

Documents to be enclosed in original to the notification in
case of waste export

Documents to be enclosed in photocopy in case of import,
transit and export

Coverage of exports (shipments from Croatia), imports and
transits subject to notification procedure by an insurance
policy or bank guarantee
Article 126

Submission of notification to countries of import
(destination) and transit
Article 127

Procedure in case of deficits of notification
Manual for enforcement
Article 118
Article 120
Article 121
Article 122
Article 123
Article 124
Article 125
Page 13 
Prior information regarding actual start of the shipment and
certificates of receipt, recovery or disposal

Keeping of documentation

Reporting to the Agency on exported or imported quantities
for the previous calendar year concerning notified and
consented shipments

Keeping a record of data by MENP

Pre-consenting of facilities by MENP; content of ruling,
validity, revoking
Pre-consented facilities:

Content of request for the issuance of a ruling

Information of the MENP of changes

Reporting to Agency for the previous calendar year

Information of European Commission

Language for communication

certified translation

Take-back of shipments
Manual for enforcement
Article 128, 129
Article 130
Article 131
Article 132, 133,
134
Article 135
Article 136
Page 14 4.1
Documentation to be enclosed
The notifier as set out in Art 2 (15) of the EC Waste Shipment Regulation (WSR) submits his
application for consent to the transboundary shipment of waste requiring notification using the
notification document (Annex IA), which has to be filled in completely and signed, and the
movement document (Annex IB), of which only those boxes have to be filled in that can be
completed already at the time of application.
In the case of shipments between Member States as well as in the case of exports from the
Community the notification document and the movement document have to be issued by the
competent authority of dispatch.
Submission of a prior written notification to and through the competent authority of
dispatch
The application for notification has (in the case of shipments between EU Member States
exclusively) to be submitted at the competent authority of dispatch, which then passes the
complete notification on to the other competent authorities concerned.
Notification documents (Annex IA and IB) are transmitted to the notifier by the Ministry of
Environmental and Nature Protection, Ulica Republike Austrije 14, 10000 Zagreb, on request.
Therefore a fee of HRK 20 is to be paid by the applicant.
The completed and duly signed (stamp of the company and signature) notification document
has to be submitted to the Ministry of Environmental and Nature Protection, Ulica Republike
Austrije 14, 10000 Zagreb, together with the other required documents.
Notes:
 If the notifier is not the generator/producer of the waste, the notification document has
to be signed also by the (initial) producer / new producer or collector in box 17.
 In the case of a shipment of waste destined for an interim recovery (R12, R13) or
interim disposal (D13 – D15) operation, the respective (first) interim recovery or
disposal facility has to be given in the boxes 2 and 10 of the notification document
(boxes 4 and 10 of the movement document).
 The corresponding information on the subsequent non-interim recovery or disposal
facilities has to be indicated on a separate annex to the notification document and the
movement document, respectively.
Information and documentation according to Annex II Part 1 and 2 of Regulation (EC)
1013/2006 have to be supplied on or annexed to the notification / movement document.
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Page 15 Additional information and documentation may be requested in accordance with Annex II
Part 3 of Regulation (EC) 1013/2006.
Examples:
 technical description of the facility, treatment process, and the treatment of the
residual waste;
 composition of the waste, chemical analysis, description of the physical-chemical
characteristics of the waste;
 description of the production process;
 copy of the contract between the notifier and the consignee according to Art 5 of the EC
Waste Shipment Regulation;
 financial guarantee or equivalent insurance according to Art 6 of the EC Waste
Shipment Regulation: in the case of shipments / exports from the Republic of Croatia
original document, otherwise copy;
 copy of IPPC – permit;
 measures to ensure transport safety (e.g. sufficient third-party liability insurance for the
means of transport used);
 transport route including border crossing points / customs offices, alternative routes;
 maximum duration of transport and transportation distance;
 costs of transport;
 in the event that a dealer or broker acts as notifier: copy of the contract or evidence
of a contract (or a declaration certifying its existence) between the producer, new
producer or collector and the dealer or broker;
 in the case of export to a third country: copy of the plant operation permit for the
recovery or disposal facility;
 in the case of recovery:
(1) information about the amount of recovered material in relation to non-recoverable
waste;
(2) estimated value of the recovered material;
(3) the cost of recovery and the cost of disposal of the non-recoverable fraction.
According to Art 124 of the SWMA the following documentation / information has to be
attached:
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Page 16 1. notification of the transboundary shipment of waste and the movement document as
referred to in Annexes IA and IB of the Regulation (EC) No. 1013/2006 issued by the
competent body of the country of dispatch and filled in by the notifier;
2. the contract signed between the notifier and the consignee in accordance with Article 5 of
the Regulation (EC) No. 1013/2006;
3. the contract between the consignee and the person carrying out the waste
recovery/disposal, when the consignee is not the person carrying out the recovery/disposal;
4. an adequate insurance policy or a bank guarantee in accordance with Article 6 of the
Regulation (EC) No. 1013/2006 in an amount which ensures the coverage of shipments
envisaged in accordance with subparagraph 1 of the present paragraph;
5. an adequate insurance policy or a bank guarantee for the damage to third parties:
6. a photocopy of the operating permit for the plant used for waste recovery or disposal;
7. description of the technological process of waste recovery and/or disposal;
8. transport routes including possible alternatives, and
9. a list of competent authorities involved in the transboundary transport of waste.
4.1.1
Financial guarantee
All shipments of waste for which notification is required for the purposes of the EC Waste
Shipment Regulation are subject to the requirement of a financial guarantee or equivalent
insurance (Art 6 WSR).
The financial guarantee has to cover:
 costs of transport;
 costs of recovery or disposal, including any necessary interim operation; and
 cost of storage for 90 days.
The financial guarantee shall be established by the notifier or by another natural or legal person
on its behalf and is intended to cover costs arising in the context of:
 cases where a shipment or the recovery or disposal cannot be completed as intended
(see Article 22 of WSR);
 cases where a shipment or the recovery or disposal is illegal (see Article 24 of WSR).
Detailed rules concerning the calculation of the financial guarantee are in preparation and will
be fixed in a national ordinance (Article 126 of SWMA).
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Page 17 The competent authority of dispatch shall approve (and release) the financial guarantee or
equivalent insurance, including the form, wording and amount of the cover (exemption: import
into the Community).
The financial guarantee / insurance must be valid until there is evidence that the recovery /
disposal of the transboundary shipped waste has been completed, i.e. until all certificates to
be issued by the facility and referred to in Art 16 (e) of the EC Waste Shipment
Regulation, confirming the completion of the waste recovery / disposal under its
responsibility, have been received.
In the case of shipment of waste for interim recovery or disposal the financial guarantee /
insurance must be valid until all certificates to be issued by the facility and referred to in
Article 15 (d) of the EC Waste Shipment Regulation, confirming the interim recovery or
disposal operation, have been received.
In the case of shipment of waste to the Republic of Croatia for interim recovery (R12, R13)
also each subsequent shipment to a treatment facility in Croatia has to be covered by an
equivalent financial guarantee or insurance (see Article 126 (4) of the SWMA).
Imports of waste into the Community:
If no (sufficient) financial guarantee / insurance is available at the competent authority of
dispatch, the Ministry of Environmental and Nature Protection will determine a(an)
(additional) financial guarantee or insurance.
A template for financial guarantees is available in Annex 9.9 of this manual.
4.1.2
Contract
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.
This notification contract must have the minimum content laid down in the relevant provisions
of the EC Waste Shipment Regulation.
 Article 5 – general provisions of contract
 Article 35 paragraph 3 (f) – additional contractual provisions in the case of export for
disposal
 Article 38 paragraph 3 (e) – additional contractual provisions in the case of export for
recovery in countries to which the OECD Decision applies
Templates for contracts are available in Annexes 9.3 to 9.8 of this manual.
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Page 18 4.2
Time limits for authorities
4.2.1
Transmission of the notification or request for information and documentation
within three working days of receipt
If the notification has been properly carried out, the competent authority of dispatch shall
transmit the notification to the competent authority of destination with copies to any competent
authority(ies) of transit within three working days of receipt of the notification.
If the notification is not properly carried out the competent authority of dispatch shall request
information and documentation from the notifier within three working days of receipt of the
notification.
If the competent authority of dispatch has objections to the shipment in accordance with Article
11 or 12 of WSR, it may decide within three working days not to proceed with the notification (
immediately information of the notifier of this decision).
4.2.2
Requests for information and documentation within three working days
Following the transmission of the notification by the competent authority of dispatch, any of the
competent authorities concerned may request additional information and documentation from
the notifier within three working days of receipt of the notification.
After receipt of the information and documentation requested the competent authorities
concerned shall inform the competent authority of destination within three working days.
4.2.3
Acknowledgement of receipt within three working days
When the competent authority of destination considers that the notification has been properly
completed, it shall send the acknowledgement of receipt to the notifier and copies to the other
competent authorities concerned within three working days of receipt of the properly completed
notification.
4.2.4
Consents of the competent authorities
The competent authorities concerned have 30 days following the date of transmission of the
acknowledgement by the competent authority of destination to take one of the following
decisions:
 consent without conditions,
 consent with conditions,
 objections in accordance with Article 11 and 12 of WSR.
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Page 19 Tacit consent by the competent authority of transit may be assumed if no objection is lodged
within the 30-day time limit.
Note:
Each competent authority grants its consent independently from the other authorities.
Exceptions:
Exports of waste for disposal to EFTA countries from the Community and of waste for
recovery to non-OECD Decision countries or to OECD Decision country with transit
through a non-OECD Decision country:
Consent of competent authority of dispatch only after
 receipt of the written consent from the competent authority of destination,
 receipt of written or tacit consent of the competent authority of transit outside the
community (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.
4.2.5
Period of validity of the consents
Consents shall be issued for a period not exceeding one year.
A written consent shall expire one calendar year after it is issued or on such a later date as is
indicated in the notification document (or if a shorter period is indicated by the competent
authorities concerned).
Tacit consent shall expire one calendar year after the expiry of the 30-day time limit.
In the case of shipments to pre-consented recovery facilities the consent may be issued for a
period up to three years (Article 14 paragraph 2 of WSR).
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Page 20 4.3
Procedures exports/imports/transits from/into/through the Community
4.3.1
Exports of waste for disposal to EFTA countries (Article 35 of WSR)
Where waste is exported from the Community and destined for disposal in EFTA countries
(parties to the Basel Convention), the provisions of Chapter II (shipments within the
Community) shall apply with the following adaptions and additions:
 the competent authority of dispatch in the Community shall take the decision to
consent to the shipment (Article 9 WSR) only after
 having received written consent from the competent authority of destination
 having received written or tacit consent of the competent authority of transit outside
the Community (not earlier than 61 days following the date of transmission of the
acknowledgement by the competent authority of transit);
 the competent authority of transit in the Community shall acknowledge the receipt of
the notification to the notifier;
 the competent authorities in the Community shall send stamped copies of their
consents to the customs office of export and to the customs office of exit from the
Community;
 as soon as the waste has left the Community, the customs office of exit shall send a
stamped copy of the movement document to competent authority of dispatch in the
Community;
 if the competent authority of dispatch has received no information from the facility
about receipt of the waste 42 days after the waste has left the Community, it shall
inform the competent authority of destination;
 additional provisions in the contract (Article 35 paragraph (f) of WSR);
 the shipment may take place only if:
 notifier has received all consents from the competent authorities concerned and if
the conditions laid down are met;
 contract has been concluded and is effective;
 financial guarantee or insurance has been established and is effective;
 environmentally sound management is ensured;
 if a customs office of export or a customs office of exit discovers an illegal shipment, it
shall without delay inform the competent authority of dispatch and ensure detention of
the waste until the competent authority in the country of dispatch has decided otherwise
and has communicated that decision in writing to the competent authority in the country
of the customs office in which the waste is detained.
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Page 21 4.3.2
Export of waste for recovery listed in Annex III or IIIA (Article 37 of WSR)
For procedures when exporting waste destined for recovery listed in Annex III or IIIA to nonOECD Decision countries and the export of which is not prohibited under Art. 36 (partially
subject to notification requirement or import ban), see: list of countries of the German Federal
Environment Agency Dessau resp. Regulation No 1418/2007 and its amendments
(consolidated version).
4.3.3
Export of waste for recovery to OECD-Decision countries (Article 38 of WSR)
Where waste is exported from the Community to OECD-Decision countries, the provisions of
Chapter II (shipments within the Community) shall apply with the following adaptions and
additions:
 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 operation is to take place in a non-OECD Decision country;
 waste listed in Annex IIIB shall be subject to the procedure of prior written notification
and consent;
 tacit consent from competent authority of destination outside the Community may be
provided.
As regards exports of waste listed in Annexes IV and IVA the following additional
provisions shall apply:
 the competent authorities in the Community shall send stamped copies of their
consents to the customs office of export and to the customs office of exit from the
Community;
 as soon as the waste has left the Community, the customs office of exit shall send a
stamped copy of the movement document to competent authority of dispatch in the
Community;
 if the competent authority of dispatch has received no information from the facility
about receipt of the waste 42 days after the waste has left the Community, it shall
inform the competent authority of destination;
 additional provisions in the contract (Article 38 paragraph (e) of WSR);
 the shipment may take place only if:
 notifier has received all consents from the competent authorities concerned and if
the conditions laid down are met;
 contract has been concluded and is effective;
 financial guarantee or insurance has been established and is effective;
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Page 22  environmentally sound management is ensured;
 if an export is in transit through a non-OECD Decision country the following
adaptions shall apply:
 the competent authority of dispatch in the Community shall take the decision to
consent to the shipment (Article 9 of WSR) only after having received tacit or written
consent from that competent authority of transit (non-OECD Decision country) (not
earlier than 61 days following the date of transmission of the acknowledgement by
the competent authority of transit);
 if a customs office of export or a customs office of exit discovers an illegal shipment, it
shall inform the competent authority of dispatch and ensure detention of the waste until
the competent authority in the country of dispatch outside the Community has decided
otherwise and has communicated that decision in writing to the competent authority in
the country of the customs office in which the waste is detained.
4.3.4
Import of waste for disposal (Article 42 of WSR)
Where waste is imported into the Community and destined for disposal from countries Parties to
the Basel Convention, the provisions of Chapter II (shipments within the Community) shall
apply with the following adaptions and additions:
The competent authority of transit outside the Community shall have 60 days following the
date of transmission of its acknowledgement of receipt of the notification for requesting
additional information, tacit or written consent;
 in case of crisis, peacemaking, peacekeeping or war the consent of the competent
authority of dispatch shall not be required;
 the competent authority of transit in the Community shall acknowledge the receipt of
the notification to the notifier with copies to the competent authorities concerned;
 the competent authorities in the Community shall send stamped copies of their
consents to the customs office of entry into the Community;
 the customs office of entry into the Community shall send a stamped copy of the
movement document to competent authority of destination and transit in the
Community;
 the shipment may take place only if:
 notifier has received all consents from the competent authorities concerned and if
the conditions laid down are met;
 contract has been concluded and is effective;
 financial guarantee or insurance has been established and is effective;
 environmentally sound management is ensured;
 if a customs office of entry into the Community discovers an illegal shipment, it shall
inform the competent authority of destination, which shall inform the competent authority
Manual for enforcement
Page 23 of dispatch outside the Community and ensure detention of the waste until the
competent authority in the country of dispatch outside the Community has decided
otherwise and has communicated that decision in writing to the competent authority in
the country of the customs office in which the waste is detained.
4.3.5
Import of waste for recovery from OECD-Decision countries (Article 44 of WSR)
Where waste is imported into the Community and destined for recovery from and through
OECD-Decision countries, the provisions of Chapter II (shipments within the Community) shall
apply with the following adaptions and additions:
 tacit consent from competent authority of dispatch outside the Community may be
provided;
 prior written notification may be submitted by the notifier;
 in case of crisis, peacemaking, peacekeeping or war the consent of the competent
authority of dispatch shall not be required;
 the competent authorities in the Community shall send stamped copies of their
consents to the customs office of entry into the Community;
 the customs office of entry into the Community shall send a stamped copy of the
movement document to competent authority of destination and transit in the
Community;
 the shipment may take place only if:
 notifier has received all consents from the competent authorities concerned and if
the conditions laid down are met;
 contract has been concluded and is effective;
 financial guarantee or insurance has been established and is effective;
 environmentally sound management is ensured;
 if a customs office of entry into the Community discovers an illegal shipment, it shall
inform the competent authority of destination, which shall inform the competent authority
of dispatch outside the Community and ensure detention of the waste until the
competent authority in the country of dispatch outside the Community has decided
otherwise and has communicated that decision in writing to the competent authority in
the country of the customs office in which the waste is detained.
4.3.6
Import of waste for recovery from non-OECD Decision countries which are parties
to the Basel Convention, or from areas of crisis or war (Article 45 of WSR)
Where waste destined for recovery is imported into the Community from a non-OECD Decision
country or through any non-OECD Decision country which is also Party to the Basel
Manual for enforcement
Page 24 Convention, Article 42 of the WSR shall apply mutatis mutandis. See import procedure under
4.3.5.
4.3.7
Transit through EU for disposal (Article 47 of WSR)
Where waste destined for disposal is shipped through Member States from and to third
countries, Art 42 WSR shall apply (see 4.3.4) with the following adaptions and additions:
 the first and last competent authority of transit in the Community shall send
stamped copies of their consents (or, if they have provided tacit consent, a copy of the
acknowledgment) to the customs offices of entry into and exit from the Community;
 as soon as the waste has left the Community, the customs office of exit shall send a
stamped copy of the movement document to competent authority(ies) of transit in the
Community.
4.3.8
Transit through EU for recovery (Article 48 WSR)
Where waste destined for recovery is shipped through Member States from and to non-OECD
Decision countries, Article 47 WSR shall apply (see 4.3.7)
Where waste destined for recovery is shipped through Member States from and to OECD
Decision countries, Article 44 WSR shall apply (see 4.3.5) with the following adaptions and
additions: see 4.3.7.
4.4
Changes in the shipment after consent (Article 17 of WSR)
If any essential change is made to the details and/or conditions of the consented shipment,
including changes in:





intended quantity,
route,
routing,
date of shipment or
carrier
the notifier shall inform the competent authorities concerned and the consignee
immediately.
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.
Manual for enforcement
Page 25 4.5
Monitoring of waste shipments taking place within a notification
4.5.1
Shipments between member states
After all competent authorities concerned have issued their written consent (or tacit consent of
the competent authority of transit can be assumed) the planned shipments only may take place
if the following requirements are fulfilled:
 Completion of the movement document by the notifier to the extent possible
 Sending of prior information regarding the actual start of the shipment by the notifier to
the competent authorities concerned at least three working days before the shipment
starts (transport announcement)
 Validity of tacit and written consents
Documents to accompany each transport:

Movement document

Copies of the notification document containing the written consents and the
conditions of the competent authorities concerned
The following steps have to be taken after the receipt of the waste by the facility:
 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 (confirmation of receipt)
 Certificate for recovery or disposal by the facility: as soon as possible, but no later than
30 days after completion of the recovery or disposal operation, and no later than one
calendar year following receipt of the waste, the facility shall certify that the recovery or
disposal has been completed (certificate for recovery / disposal)
Additional obligations in case of interim recovery / disposal operations:

the (first) interim facility confirms receipt (Art 15 c WSR) and completion of interim
recovery or disposal operation (Art 15 d WSR) in boxes 17 and 18 of the
movement document.

the corresponding information on completion of the subsequent non-interim
recovery or disposal operation (Art. 15 e WSR) by the subsequent non-interim
facility has to be communicated on a separate annex to the movement document
(by way of the (first) interim facility) – see Correspondents` Guidelines No. 3 –
Certificate for subsequent non-interim recovery or disposal according to Article
15(e) of Regulation (EC) No. 1013/2006
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Page 26 4.5.2
Additional provisions for import, export, transit
As concerns imports into the Community, exports from the Community and transits through the
Community the following additional reporting obligations are defined:
Import:
The customs office of entry into the Community shall send a stamped copy of the movement
document to competent authority(ies) of destination and transit in the Community.
Export:
As soon as the waste has left the Community, the customs office of exit shall send a stamped
copy of the movement document to competent authority of dispatch in the Community.
Transit:
As soon as the waste has left the Community, the customs office of exit shall send a stamped
copy of the movement document to competent authority(ies) of transit in the Community.
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Page 27 4.5.3
Figures
4.5.3.1 Shipments of waste between Member States
Movement documents
Manual for enforcement
Page 28 4.5.3.2 Import into EU
Movement documents
Manual for enforcement
Page 29 4.5.3.3 Export from EU
Movement documents
Manual for enforcement
Page 30 4.5.3.4 Transit through EU
Movement documents
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Page 31 4.6
Contact data of the competent authority in the Republic of Croatia
Ministry of Environmental and Nature Protection (MENP)
Ulica Republike Austrije 14
10000 Zagreb
List of Permit Writers and Environmental Inspectors see Annex 9.18 of this manual.
Manual for enforcement
Page 32 5 Inspections of transboundary shipments of waste
5.1
Provisions and recommendations for inspections on EU level
5.1.1
Article 50 of WSR
Article 50 of WSR states that Member States shall set rules on enforcement; they shall
undertake inspections at establishments and spot checks on shipments of waste or on related
recovery or disposal operations. The Regulation gives some indications as to where and how
the checks on shipments should take place in particular. Finally article 50 stresses the
importance of cooperation within and between Member States. For this one or several focal
point(s) need to be established.
In order to strengthen the inspections of transboundary shipments of waste in the EU it is
planned to amend Art 50 of WSR.
Following the Proposal for a Regulation of the European Parliament and of the Council
amending WSR from July 11, 2013, No COM(2013) 516 final, an adequate planning of waste
shipment inspections is necessary to establish the capacity needed for waste shipment
inspections and effectively prevent illegal shipments. The provisions on enforcement and
inspections in Article 50 of WSR should therefore be strengthened with a view to ensuring
regular and consistent planning of inspections. Planning should include a number of key
elements, including risk assessments, strategies, objectives, priorities, numbers and types
of planned inspections, assignment of tasks, means of cooperation between authorities
and provisions on training of inspectors.
Diverging rules exist throughout the Union as regards the possibility for competent authorities in
Member States to require evidence from waste exporters in order to check the legality of
shipments. Such evidence may concern whether the substance or object is "waste" within the
meaning of the WSR or whether the waste will be shipped to environmentally sound facilities
according to Article 49 of WSR. Article 50 of WSR should therefore provide the possibility for
competent authorities in Member States to require evidence from suspected illegal waste
exporters in order to check the legality of shipments.
Illegal waste shipments frequently stem from uncontrolled collection, storage and sorting
facilities. Inspection requirements should therefore be introduced for such waste sites.
5.1.2
Recommendation 2001/331/EC providing for minimum criteria for environmental
inspections in the Member States (RMCEI)
The purpose of the RMCEI is to strengthen compliance with EU environmental law, and to
contribute to its more consistent implementation and enforcement in all Member States. The
RMCEI establishes guidelines for environmental inspections of installations, other
enterprises and facilities whose air emissions, water discharges or waste disposal or recovery
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Page 33 activities are subject to authorisation, permit or licensing requirements under Community law
('controlled installations').
All inspecting authorities in the Member States should apply these guidelines. They
concern amongst others minimum criteria on establishing and evaluating plans for
environmental inspections. Since the adoption of the RMCEI experts within IMPEL have been
discussing on several occasions how to implement these planning criteria of the RMCEI in
practice.
5.1.2.1 Content of the minimum criteria on planning
Pursuant to the RMCEI all inspection activities should be planned in advance, by having
inspection plans that cover the entire territory of the Member State and all the controlled
installations.
The plans should be based on the EU legal requirements to be complied with, a register of
controlled installations, a general assessment of major environmental issues in the area and a
general appraisal of the state of compliance of the controlled installations. Plans should take
into account the risks and environmental impacts of installations and any available relevant
information on the controlled installations, such as reports of operators, self-monitoring data,
environmental audit information and environmental statements and results of previous
inspections.
Each inspection plan should be based on a risk analysis (see 5.1.3.3) and should contain as a
minimum:
 define the geographical area which it covers, which may be for all or part of the territory
of a Member State,
 cover a defined time period, for example one year,
 include specific rules for the procedure of revision,
 identify the specific sites or types of controlled installations covered,
 prescribe the programmes for routine inspections, taking into account environmental
risks; these programmes should include, where appropriate, the frequency of site visits
for different types of or specified controlled installations,
 provide for coordination between the different inspecting authorities, where relevant.
5.1.3
Doing the right things for waste shipment inspections (DTRT-TFS)
Pursuant to the Recommendation providing for minimum criteria for environmental inspections
(RMCEI) all inspection activities should be planned in advance. The WSR states that Member
States should set rules on enforcement and undertake inspections. The guidance book was
produced by IMPEL to support practitioners in the implementation on the RMCEI and WSR and
Manual for enforcement
Page 34 describes the steps that lead to an inspection plan: defining the scope of the inspections to
be covered by the plan, assigning priorities to these inspections deciding upon what targets they
should produce and, given the available resources, how and when the inspections should be
carried out to achieve these results.
5.1.3.1 Planning as a step within the inspection process
It is important to keep in mind that planning is not an isolated activity. It is closely linked with
other activities, as the RMCEI clearly shows.
The topics the RMCEI addresses can be grouped under the following headings:
 Planning: Establishing plans for environmental inspections
 Execution: Performing inspections and investigating accidents, incidents and
occurrences of non-compliance
 Reporting: Reporting on inspections, accidents and incidents and storing inspection
data
 Evaluation: Evaluating the implementation of inspection plans for internal purposes and
reporting to the European Commission or other 3rd parties.
The activities under these different headings in the RMCEI contain four succeeding steps
(Environmental Inspection Cycle):
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Page 35 Figure 5.1.3.1; Environmental Inspection Cycle; Source DTRT - TFS
5.1.3.2 The advanced Environmental Inspection Cycle
Looking more detailed at the environmental inspection cycle it can be noticed that the process is
more complicated and that it is useful to make a further distinction, resulting in the following
seven steps:
1. Describing the context
2. Setting Priorities
3. Defining objectives and strategies
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Page 36 4. Planning and review
5. Execution framework
6. Execution and reporting
7. Performance monitoring
Steps 1, 2, 3 and 4 form the planning process, which is a cyclic process, since review of the
inspection plan may lead to develop a new inspection plan or to modify the existing one.
Steps 5, 6 and 7 take place after the inspection plan has been finalised. They provide input to
the review of the inspection plan. Together with step 4 they also form a cycle. The Figure below
connects these 2 cycles:
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Page 37 Figure 5.1.3.2; Environmental Inspection Cycle; Source DTRT - TFS
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Page 38 Comments on Figure 5.1.3.2:
The first step in this cyclic process is “Describing the context” (box 1 in figure 5.1.3.2). Here the
inspecting authority looks amongst others at its statutory tasks. This part sets the scope of the inspection
plan. In addition to the identification of the scope it is necessary to gather information for performing the
risk assessment.
The second step is “Setting priorities” (box 2 in figure 5.1.3.2). This step starts with a risk assessment.
The risk assessment will result in a list of waste streams that are ranked and classified. In this step the
priorities are also set. In other words, what will get the necessary attention (and how much) and what will
not. The output of this step, the listed priorities (for the specified period), is then the input for the next
step.
The third step is “Defining objectives and strategies” (box 3 in figure 5.1.3.2). Within this step the
inspecting authority identifies inspection objectives and targets. These objectives and targets can be
presented quantitatively and/or qualitatively. When it is clear what we want to achieve we can define or
modify the inspection strategies in order to meet these objectives and targets. The output of this step, the
objectives, measurable targets and the inspection strategies, will be part of the input of the next step.
The fourth step is “Planning and review” (box 4 in figure 5.1.3.2). In this step the inspection plan is
developed. The inspection plan covers a defined time period and describes and explains the steps taken
in box 1a, 1b and 1c. Part of the inspection plan is an inspection schedule. The inspection schedule may
stand as a working annex to the inspection plan, or as a separate document referenced within the
inspection plan.
The fifth step is “Execution framework” (box 5 in figure 5.1.3.2). Before inspections can be executed we
have to make sure that all necessary conditions are met. The appropriate working procedures and
instructions, powers and competences and equipment should be in place.
The sixth step is “Execution and reporting” (box 6 in figure 5.1.3.2). In this step the inspection work is
done. Here the routine and non-routine inspections are executed and reports of findings are written. Data
on the inspections that are carried out and their outcomes and follow-up have to be stored in a good
accessible database.
The seventh step of the process is “Performance monitoring” (box 7 in figure 5.1.3.2). To make sure we
meet our objectives and targets we have to monitor the output (did we carry out the planned activities?)
and the outcome (what were the effects of our activities?). This information will be used for reviewing the
plans and for reporting to different stakeholders, for instance the minister responsible, parliament, the
general public, the European Commission etc.
From the “Performance monitoring” step we return to the “Planning and review” step (box 4). Based
upon the monitoring results but also possible changes in box 1 (describing the context) the inspection
plan (including the inspection schedule) will be reviewed and possibly be revised.
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Page 39 5.1.3.3 Risk assessment
In the field of transboundary shipment of waste risk is defined by the effect that occurs
when there is improper handling of the waste and the chance that such acts will occur.
5.1.3.3.1 Steps to assess the risk
A risk assessment can be carried out in one or more steps. An inspecting authority may want to
carry out only one risk assessment on for example waste streams per country of destination to
define her priorities and to allocate her staff. See figure 5.1.3.3.1 (1). However an inspecting
authority might want assess the risks in more steps. Here for example the first step is done on
waste streams itself (regardless the country of destination) to allocate staff. In the succeeding
steps risks can be assessed by country of destination or the different actors in chain of waste
shipment (per waste stream from step one). See figure 5.1.3.3.1 (2). Both methods deliver the
same result.
Although figure 5.1.3.3.1 (2) seems more complicated the inspecting authority needs less data
to complete the risk assessments. For a risk assessment that is done in one step detailed
information on all waste streams is necessary. For a risk assessment that is done in more than
one step detailed data is only necessary on the selected waste streams.
Source: DTRT - TFS
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Page 40 Although the risk criteria might be different between these different levels of risk assessment the
method could be the same.
This assignment of priorities enables the inspecting authority to explain what kind of waste
streams (in relation for example with country of destination or certain companies) will get what
amount of attention. These priorities and their corresponding inspection strategies can be
communicated to stakeholders and other relevant parties. Here the inspecting authority also
makes clear the difference in needed and available resources. In doing so, the inspecting
authority ensures the transparency of the process for prioritising the work.
5.1.3.3.2 Risk assessment method
The method itself that is used for assessing risks may vary from one organisation to the other.
The IMPEL project easyTools made an evaluation of the existing risk assessment methods that
are used in Europe and developed a new one. Basically there are four different types of
methods. All others were variations of these.
Types of Risk Assessment methods:
In the linear mean value method all impact or risk criteria are added with or without weighting
and the resulting sum is divided by the number of criteria. The resulting mean or average
values correspond to a certain risk category.
The mean value method is similar to the linear mean value method. The main difference is
that there are probability factors in the calculation. These factors could include the
performance of the operator or the type of installation (e.g. IPPC, Seveso).
In the maximum value method the result of the risk assessment depends directly on the
highest score of an impact or risk criteria. In other words, if one of the criterion scores
maximum the whole inspection object is considered high risk. The frequency of inspection is
directly related to the risk category.
The last method is developed by the easyTools project and combined the advantages of the
3 different types of method described above. The methodology is called IRAM (Integrated
Risk Assessment Method) and is based on the principle that the criteria with the highest
score define the risk of the inspecting object. The reasoning behind this: the risk score is
directly related to the risk category and therefore to the inspection frequency. The
methodology comes with many steering mechanisms. One of them is the minimum number
of highest scores, what is called the Rule. When setting the Rule on 2 you will need at least 2
criteria (environmental aspects) with the same high score to keep this level of impact /
attention. More information on this risk assessment methodology can be found on
www.impel.eu
5.1.3.3.3 Risk criteria
For most of the methods mentioned in this section, risk is assessed through a process of
measuring the effect and the chance (or probability of occurrence). The effect can be measured
by looking at the impact (e.g. this could be the hazardous characteristics of waste) and the
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Page 41 magnitude (e.g. this could be the amount of waste). The chance or probability of occurrence can
be measured by looking at factors that increase the chance of improper handling of waste.
Risks with a potentially large environmental effect and a low probability of occurring might be
treated differently than one with a low effect but a high likelihood of occurring.
The importance of the risk criteria used depends on the national circumstances in the different
countries. For waste shipment there are around 14 risk criteria that can be used. The criteria
can be divided in effect criteria (3) and chance criteria (11). See following table.
Effect
Impact criteria
1. Classification and hazardous properties of waste
The hazardous properties if waste largely determines whether there is an environmental
risk in case of unauthorized or irresponsible treatment. For example separately collected
paper and cardboard the environmental impact of poor handling is small and a lower risk.
Some waste streams are entirely hazardous, like halogenated oil. Some waste stream are
part hazardous part not, like WEEE.
2. Contamination of waste
In a number of waste streams (by methods of creation, size and the complex processing
steps) shipments often are more polluted than according to their composition from
European waste codes can be expected. For example construction and demolition waste
can carry significant amounts of asbestos. This may be unintentional, such as lack of
knowledge or inattention. There may also deliberately blended hazardous waste streams
into less/non hazardous waste streams to avoid the high costs of the treatment of the
hazardous waste. There are waste streams that are better suited than others.
3.
Risk destination countries
Not only the fact that waste is exported is important, but also the country of destination.
Countries can be judged by:
 prosperity level
 action against corruption
 standard of treatment
The risk of environmental damage is lowest when all the waste is exported to countries
with low corruption and high levels of wealth.
Magnitude criteria
4. The amount of waste generated
The size of the generated waste stream is a ridge meter for the total impact that the flow
can have on the environment. The greater the flow the greater the likelihood that such an
impact will occur.
5. The amount of waste exported
Similar to the volume of waste generated in the country, the exported quantity is an
indicator of the likelihood that environmental damage will occur.
6. The amount of waste imported
Similar to the volume of waste generated in the country, the imported quantity is an
indicator of the likelihood that environmental damage will occur.
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Page 42 Probability of occurrence
7. The volatility of the generation of the waste
This can be expressed as percentage of the total amount by which the flow is increasing or
decreasing. Particularly if there is a sharp drop in the volume of waste, without a plausible
explanation may be an indication that the stream is treated differently by the processors or
the disposers. For example, a decrease in the amount of PCB’s is not itself a remarkable
signal, because if PCB’s are phased out, it is therefore obvious that the amount of waste
containing PCB decreases. If for example the amount of waste oil would significantly and
suddenly decrease, this could be a reason to find out why. The same mechanism may occur
with increasing waste, if that happens to an extent not explicable on the basis of economic
growth or changes in the waste market.
8. Number of disposers
If the number of players in the market is large, it is harder to monitor the processing. This
makes it difficult to identify companies who irresponsibly deal with their waste. The
probability of detection is smaller. Some companies may consider being less careful with the
rules.
9. Export dynamics
As with the dynamics in the generation of waste also export dynamics can be an indicator of
risk of environmental harm, if there is no plausible explanation for these dynamics.
10. Export shares
For some waste streams the processing takes largely or completely place abroad. The
chance that there are problems with the WSR is greater.
11. Number of exporters
If the number of players in the market is large, it is harder to monitor the processing. This
makes it difficult to identify companies who irresponsibly deal with their waste.
12. Interim treatment
If the waste is transported through a number of links in the chain, the less transparency
there is. Supervision is more difficult and the risk of poor handling larger. The indicator being
used is the share of export to those interim operations (e.g. storage/transfer, bulking, sorting
etc.).
13. Treatment costs
If legal treatment is expensive in the country of origin, the risk that illegal trade occurs is
greater. The absolute level of the costs plays a more important role than the trends.
14. Involvement of organized crime
Illegal waste shipment may be linked to organised crime. It’s important to estimate how far
organised criminal activity can contribute to the different waste stream.
Not all the risk criteria within a risk assessment necessarily have the same weigh. Some risk
assessment methods therefore allow it to adjust the risk criteria with a weigh factor. A weigh
factor also makes it possible to easily make changes when there is a change in policy.
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Page 43 For the more quantitative risk criteria it could be necessary to define limits. Limits make it
possible to give these criteria a more objective score. In Annex 3 of the easyTools project you
can find examples of these limits, weighing factors and calculation methods.
Not all risk criteria will change every year. Experience could help to determine the criteria that
need to be updated on a regular basis and the criteria that can do with a three or five year cycle.
A risk analysis is not the only aspect. Other factors like criminal behaviour and how this
contributes to illegal shipment of waste, political priority or attention, future developments in the
waste market, laws, regulations and the strength and weaknesses of the control system can
also play a role. For example a change in collection targets (WEEE-directive) can have an effect
on the export of waste.
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Page 44 5.2
Overview of rights and duties of competent authorities
Measures
Authorities
[with authorisation]
Temporarily detaining of the
shipment incl. taking away of
the vehicle registration
document (temporarily
keeping in the temporary
bonded customs warehouse)

Environmental Protection
Inspector (MENP)

Ministry for Finance (Customs
Administration)

Ministry for Interior (Police)
Prohibition of
transboundary shipments

Environmental Protection
Inspector (MENP)

Ministry for Finance (Customs
Administration)

Ministry for Interior (Police)

Environmental Protection
Inspector (MENP)

Ministry for Finance (Customs
Administration)

Ministry for Interior (Police)

Environmental Protection
Inspector (MENP)

Ministry for Finance (Customs
Administration)

Ministry for Interior (Police)
Transfer of the vehicle loaded
with waste to the temporary
bonded warehouse (oral
ruling)
Sealing of the working space,
premises, plants and
equipment
Legal basis
Art 156 (1) of SWMA
Art 146 of SWMA
Art 157 (1) of SWMA
Art 24 (7) WSR
Art 157 (2) of SWMA
Art 157 (5) of SWMA
Labelling of illegal shipments
Environmental Protection Inspector
(MENP)
Art 158 (1) of SWMA
Temporarily taking away of
objects
Environmental Protection Inspector
(MENP)
Art 166 (1) of SWMA
Preparation of a report to
establish the violations

Environmental Protection
Inspector (MENP)
Art 142 (2) of SWMA

Ministry for Finance (Customs
Administration)
Art 167 (13-16) of SWMA
Art 170 (25-38) of SWMA
Art 196 of Criminal Code
Sending back the waste to
the state of dispatch (approval
of MENP)
Permit Writer (MENP)
Returning the shipment to the
notifier
Environmental Protection Inspector
(MENP)
Art 24 WSR
Art 136 of SWMA
Art 24 WSR
Art 157 (3) of SWMA (in case of
imports / shipments to Croatia which
require notification or which are
prohibited the procedure in accordance
with Art 24 of WSR is applicable, an oral
decision without involvement of the
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Page 45 other authorities is not in accordance
with the WSR)
Alternative disposal or
recovery in Croatia
5.3
Permit Writer (MENP)
Art 24 WSR
Cooperation of authorities
The enforcement of the WSR is a competence of individual Member State. For an effective and
efficient enforcement in the field of the transboundary shipment of waste all involved
parties/persons (permit writers, environmental protection inspectors, police, maritime
police, customs, port authorities) have to cooperate on national and international level.
5.3.1
Cooperation on national level
On the national level all involved parties/persons should cooperate to ensure an effective and
efficient enforcement in the field of the transboundary shipment of waste. In Croatia several
authorities are involved in the enforcement of transboundary shipment of waste.
5.3.1.1 Memorandum of Understanding (MoU)
In case the responsibilities of authorities concerned have to be clarified a MoU should be
established.
The Memorandum of Understanding shall deal with:
 Purpose - By Memorandum of Understanding (MoU) the cooperation with (partner)
organizations like customs, police, and member states could be formalized
 Responsibility for overseeing implementation
 Goals
 Legal powers and duties available to each institution
 Agreed joint working relationships
 Information exchange procedures
 Points of contact
 Process of review of MoU
 Period of validity
Content of Memorandum of Understanding:
 Joint working relationships and practices
 Commitment to strategic approaches and operational interaction
 Adoption of joint planning processes
 Joint investigations and inspections
 Sharing of data and information
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Page 46  Reporting
 Review
5.3.1.2 Annual meeting of environmental inspectors and stakeholders
An annual meeting of all environmental inspectors shall be held regularly.
Representatives from the stakeholders (Customs Administration, Police - that means Border
Police, Traffic Police and Criminal Police, also Coast Guard and State office for Radiological
and Nuclear Safety) shall be invited to participate in these meetings. The representatives are to
be nominated by the authorities.
Such regular meetings are the only chance to strengthen and unify the execution of the WSR,
especially concerning waste classification in Croatia, taking into account the distribution of the
environmental protection inspectors to several offices all over Croatia.
Minutes from these meetings shall contain the interpretation agreed on during these meetings
and the inspection programme including the participating authorities shall be fixed.
Furthermore the requirement for and the content of trainings for police and customs shall be
agreed on during these meetings.
Tasks of an annual meeting (beside other environmental issues):
a) Inform the participants on new laws, regulations guidelines etc. in the field of waste
management with connection to transboundary shipments of waste
b) Mutual information on the results of the inspections during the last period including
Number of illegal shipments detected during transport inspections / company inspections
Number of infringements detected during transport inspections / company inspections
Number of reports submitted to prosecutors
Number of reports submitted to misdemeanour court
Results of misdemeanour procedures / procedures at criminal court in the last period
Preparation of a list of wastes shipped illegally during the last period and the companies
involved
 Preparation of a list with Croatian companies involved in the illegal shipments, which
were detected during transport inspections
 Fixing of dates and time for the transport inspections / company checks
 Discussion of amendment(s) to the existing time table for checks in reaction to the latest
developments






c) Discussion of and decision on the inspection plan for the upcoming period (6 months)
on national and regional level including the frequency of waste shipment inspections for
each region and each location (see Art 50 (2b) of proposed Amendment to Regulation (EC)
No 1013/2006)
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Page 47 d) Statistics about the results of inspections for the whole of Croatia (including number of
inspections, illegal shipments detected, further measures)
e) Risk profiles and risk assessments can be elaborated on basis of the results of the
ongoing inspections for each waste stream
f)
Assessment of criminal activities
g) Discuss actual cases of illegal shipments / infringements and the procedure in such
cases
h) Inform on problematic waste streams, measures against companies involved in illegal
shipments
i)
Discuss problems in the field of cooperation between authorities on national and
international level
j)
Exchange knowledge and experience
Remark: The annual meeting may also be performed as video conference. Table with names
and contact data of coordinators taking part in the annual meeting of enforcement authorities
(see Annex 9.19 of this manual)
5.3.1.3 Review of waste shipment inspection plans
The review of waste shipment inspection plan shall identify
 how far each element of the plan has been implemented and how far each goal has
been achieved
 the strengths and weaknesses in the enforcement activity
 changes in the risks of illegal waste shipment and changes in the legal and institutional
context
 gaps in the implementation of the plan
5.3.2
Bilateral cooperation with neighboring states and international cooperation
The enforcement of the WSR is a competence of individual Member States. For an effective
and efficient enforcement, organisations have to cooperate over their national borders as
transboundary movements of wastes exceed these borders.
Article 50 (5) of WSR determines the obligation of the EU Member States to cooperate,
bilaterally or multilaterally, with one another in order to facilitate the prevention and detection
of illegal shipments. The fight against illegal waste shipments can only be won if a strong
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Page 48 cooperation exists between the competent authorities of the country of dispatch, country of
destination and countries of transit, and if these authorities are willing to find a common
solution.
Furthermore cooperation with police, customs and other regulatory authorities is of central
importance.
Sometimes cooperation will be difficult to establish; however cooperation is often a critical factor
in complex and extensive inspections. Especially when an inspection is located near or directly
at a border the participation of authorities / inspectors from other countries is helpful and often
necessary.
Within the IMPEL-TFS network several joint enforcement actions were performed (Seaport
project 1 and 2, Verification project 1 and 3, Enforcement Action project I and II) or are still in
action (Enforcement Action project III).
One of the objectives of this project is the exchange of inspectors, information and
experience. NCPs (national contact person of IMPEL-TFS; List of NCPs see Annex 9.31 of this
manual) will contact each other for joint inspections. Croatia has been taking part in this
exchange program on a regular basis.
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Page 49 5.4
Kinds of inspections
The lifecycle of waste can be described as a waste chain. From ‘cradle to grave’ waste is
produced, transported, stored, transferred, sorted, reused, recycled, recovered and (finally)
disposed of. Almost every waste stream has different chains and links. In order to prevent and
deter potentially illegal waste activities supervision and control over waste chains should
ideally be achieved by means of chain enforcement. This concept is illustrated in figure 5.4.
Company inspections
Transport inspections
Waste
producer
Site x
Site y
Waste
destination
Chain enforcement
Figure 5.4: Waste chain and chain enforcement
Source: GUIDELINE IMPEL-TFS Enforcement Actions (2009)
Chain enforcement is a strategic and intentionally prepared way of enforcement. It is executed
deliberately based on waste chain analyses, threat assessments, pre-selected waste streams,
companies, locations and/or sites prior to the actual inspections.
Inspections can be subdivided into three types, namely:
 Transport inspections: inspections during waste transport by road, water, rail or air;
 Company inspections: inspections of companies and locations where waste is
physically produced, stored, transferred, sorted, reused, recycled, recovered and/or
disposed;
 Other inspections: inspections of documents of companies or supervising authorities
where waste is only being traded, documented or registered administratively.
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Page 50 5.5
Preparation of inspections
Adequate preparation of an inspection is a vital factor for the success of the activity. The
preparation of any enforcement action has a large part which is common to all inspection types,
be it a transport inspection, company inspection or other inspection. The common preparation
steps are described in this paragraph.
Because every type of inspection has its own characteristics, the points of particular interest
for every inspection type are described separately. This also implicates that - depending on
the type of inspection and inspection method - not all steps described in this chapter will have to
be followed.
The preparation of an inspection consists of the following general steps:
A) Identify the object of inspection
B) Identify all persons / authorities involved
C) Identify relevant tasks and competencies (and skills)
D) Prepare the communication (internal and external communication)
E) Availability of equipment is to be checked (non exhaustive list of equipment see
Annex 9.16 of this manual)
F) Select a location at a strategic point (e.g. borders for road transport, ports, etc.; list
of inspection points see Annex 9.17)
G) Prepare the inspection in detail (self-protection measures, telephone numbers,
communication equipment like telephone, fax, etc.)
The type of inspections, the selection of priority waste streams, priority countries of destination,
etc. should already be fixed in inspection plans. The inspection plans should be decided on by
the participants (environmental inspectors, customs and police) during the annual meetings
organized by MENP.
A) Identify the object of inspection
First logical step in preparing (joint) inspections is to describe and decide what the exact object
of inspection will be. Of course (illegal) waste shipments are the general inspection object, but
every single inspection can focus on certain kind of wastes, waste shipments, destinations,
companies, etc.
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Page 51 Potential priority waste streams
Potential priority countries









WEEE
ELVs
Green listed waste in general
Batteries
Mixtures e.g. municipal waste
Waste disguised as second hand goods
Wood waste
Non OECD countries
New EU Member States
The identification of the object of inspection is very important, as e.g. resources (personnel,
time, etc.) are limited. It is essential to develop inspection plans providing an overview on the
inspections planned. Therefore, the type of inspections, the selection of priority waste streams,
priority countries of destination, etc. should already be fixed in inspection plans.
B) Identify all persons / authorities involved
To find all the persons / authorities involved in an inspection a request to the coordinators taking
part at the annual meeting of enforcement authorities may be helpful. A list of names provided
by MENP is enclosed in Annex 9.19 of this manual.
C) Identify all relevant tasks and competencies (and skills) that are necessary for the
organisation of an inspection, such as:
 IMPEL-TFS National Contact Person (NCP): responsible for information and
communication within the country (a list with the NCPs is enclosed in Annex 9.31)
 Environmental protection inspector: competent authority for inspection of
transboundary movement of wastes. This specialist makes the selection of the shipments
that have to be inspected and makes decisions on the interpretation of the legislation.
 Customs: competent authority for inspection of transboundary movement of wastes. The
customs make the selection of the shipments to be inspected and decide if further
investigations are required or not.
 Police: general management of the inspection on location, safety procedures, facilities
etc.
The tasks and competencies needed may differ depending on the inspection type that is
chosen.
D) Prepare the communication (internal and external communication)
It is important to prepare activities regarding communication:
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Page 52  Determine if an announcement will be given in the press. Be aware that announced
inspections can influence companies in taking preventive measures like choosing (other)
transport routes or get rid of the waste;
 Investigate the possibilities of internal (inside the administrative bodies) and external
communication (information of the public via press, TV, etc.);
 Communicate summary of the case to the spokesperson from MENP for contacting the
press.
E) Availability of equipment is to be checked (not exhaustive list of equipment see
Annex 9.16 of this manual)
F) Select a strategic location
The following points should be taken into account in choosing the right location for the
inspection:
 Choose a suitable location where waste (shipments) can be inspected administratively
and/or physically. A suitable location is defined as a point were larger quantities of waste
destined for transport over international borders could be expected to pass (mainly
highways for road transport, (sea) ports, or main ports of freight transport by train, border
crossing points), or be handled physically or administratively.
 Make sure there is enough space to do the inspection activities (e.g. parking space for
trucks, a place to select and open containers etc.);
 Find out who is the owner of the inspection location and its vicinity;
 Choose the inspection method to be used (administratively and/or physically);
 Investigate the surroundings for suitable access routes and exits;
 Check the possible effects of other relevant conditions, like weather and floor for
selecting, sampling and analysing the waste (see next step G).
Annex 9.17 of this manual contains a list of inspection points in Croatia.
G) Prepare the inspection in detail (self-protection measures, telephone numbers,
communication equipment like telephone, fax, etc.)
Based on the preceding preparation steps the inspection can be worked out in more detail.
Elements for the preparation in more detail:
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 Telephone numbers/ diary with contacts
 Tasks (make sure there are enough people/vehicles etc.)
 Safety measures and recognisable uniforms
 Local scenarios (scenario on location)
 Documentation (Copying information; taking photos)
 Handling of information
 Information to the spokesperson of the MENP
 Evaluation and reporting needs
 Handling of unforeseen circumstances
Annexes 9.20 and 9.21 of this manual contain checklists for preparing transport and company
inspections.
5.5.1
Preparation of transport inspections
Transport inspections can focus on specific means of transport, such as trucks, ships and
trains. The inspections themselves are to a large extent similar or the same. A general
description is given in this section.
Ships and trains are important means of transport to check waste shipments because waste
streams which will be generated in huge amounts (e.g. metal scraps, slags, sludge, paper- and
plastic wastes and municipal wastes) are often transported via ships and trains.
It should be mentioned that the performance at railway stations and container terminals
requires special logistic preparation in collaboration with operators.
Apart from the general preparations described above the following specific preparations
should be taken into account for inspections of waste shipments by road, water and rail:
 Intercepting a truck, ship or train for inspection
 Establishing a transport block for trucks, ships or trains
 Carrying out inspections on trucks, ships or trains
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Page 54  Security measures to be taken
 Braking seals (if needed)
 Sampling of waste
 Organization of an appropriate location for seizure of waste
 Detaining shipments for further investigation
 Follow-up actions such as legal proceedings (written reports, administrative and legal
penalties)
5.5.1.1 Preparation of inspections of transports at borders to other EU member states
and inside the territory of the Republic of Croatia
Specific for the preparation and organisation of road transport inspections at borders to other
EU member states and inside the territory of Croatia is the fact that trucks have to be selected
and stopped actively.
There are two main options for stopping a truck:
 Roadblock: This means that you choose a certain location (preferably a parking place
or an installed checkpoint - see list of inspection points in Annex 9.17 of this manual)
and guide the vehicles to the location. In general it will be necessary to make use of the
police or customs to guide and stop the vehicles.
 Mobile selection: This possibility allows you to stop a vehicle while you are driving. The
inspector can either perform the inspection on location or the selected transport follow
the inspector to a specific location for further inspection.
Both options have advantages and disadvantages. The most suitable option for any specific
action must be chosen during the preparation of the inspection activity.
Road block
Mobile selection
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Advantage
Disadvantage

Publicity

A lot of flee options

A large stream of all kinds of
goods (and wastes?)

Less selection

A lot of preparation

All facilities and expertizes
available

It can cause a traffic jam

Big benefit for knowledge sharing

Legal experts/team should be ”in
your car”

Small publicity / less
deterrence

Selection of interesting transports

Less inspections
Page 55 „on the road‟ and no problems for
causing traffic jam

Flexibility in performance / less
preparation
In practice the combination of roadblock and mobile selection has proven to be the most
successful method.
Road blocks are a good and effective control option if it is possible to avoid escaping routes.
Coordinated activities at all major transport routes, selection of inspection point in a location
where exit from the motorway is difficult and other aspects are parameter that can help in this
respect.
Road blocks can be organized at permanent installed check points that can also be used for
other regularly arising control activities. Such an approach is associated with the advantage of a
pre-installed guidance and control system that lead trucks to the parking lot and to appropriate
office infrastructure at the place.
5.5.1.2 Preparation of inspections of transports at the borders to non-EU member states
As long as the border police is present at the borders to non-EU member states environmental
protection inspectors should organize meetings with the border police and visit (together
with the customs) all border stations under their responsibility to inform themselves on the
materials / wastes shipped via this border crossing point.
5.5.1.3 Preparation of inspections at railway stations
When preparing train / railway transport inspections it should be taken into account that the
transport by rail is distinctive from transport by road and water in the way that it is a guided
transport system. In other words, all the transports must be planned in advance.
Only when a slot in the timetable has been given a train / railway transport inspection can take
place. The points that have to be taken into account when preparing the train inspection are:
 logistic process, namely the formation of train transport
 rail transport consignment note
 actors involved in the rail chain and their roles and tasks
 main partners for performing train inspection
 possible check points – preferably shunting stations and border stations
Background information on railway transport can be found in Annex Background information on
railway transport 9.25 of this manual.
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 Controlling the papers and load of freight wagons in station, shunting yard, railway
terminal, border station, etc.
 Inspecting waste facilities that are sending or receiving wastes by train (waste producer,
recycling facility, etc.).
 Inspection of the papers and the load of freight wagons at waste facilities with an own
connection to the railway network (see also company inspections)
5.5.1.4 Preparation of inspections at sea ports and container terminals
For the preparation of inspections in sea ports as well as inland harbours and container
terminals a very effective way of identifying and selecting waste shipments is the use of
custom documents. During the preparation phase of a sea port inspection it should be decided
if this particular administrative working method will be used and the preparations, necessary to
allow for an effective use of these documents should be taken into account during the
preparation of the transport inspection. This working method can be executed by taking the
following preparative steps:
 Make an inventory of the shipping lines prior sailing to destinations. Use the internet or
information of port authorities and customs.
 Select the shipping line that is going to be inspected. By using the internet or information
of port authorities obtain a sailing schedule of the selected shipping line. Use this sailing
schedule to select a ship that will be inspected.
 Make an appointment with customs or the shipping agent where all the documents /
declarations are collected.
For pre-selecting certain shipments via customs documents most ports use digital systems to
handle the declarations (e.g. ECS, Sagitta, ZAPP, AIDA, DELT, etc.). These systems can be
used to select possible transboundary shipments of waste, by using specific profiles.
A profile is mostly based on various parameters like custom codes, destinations codes or
descriptions of the goods. When a declaration is recorded in the digital system and corresponds
with the profile, further investigation of the shipment is recommended.
It is beneficial if the software for profiling can be developed jointly by customs and
environmental authorities or if environmental authorities can use customs software to do
their own profiling for pre-selection.
Systems should contain an automatic alert system, triggering selection and further control (e.g.
scanning, physical inspection).
Annex 9.24 provides an overview of „Descriptions of waste‟ in different languages to help detect
waste shipments.
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Page 57 In EU ports, standardised export documents have to be used. Common is an “EX 1 document”.
Less often a “T1 form” is used for goods under special customs regulations.
 Export clearance (EX 1): this document is used for export.
 T1 Form (T1): Document used for transport of goods under custom regulations, mostly
for goods coming out or going to a third country. Taxes are not to be paid. Without
asking for more information it is not possible to carry out a good documents check.
Other documents are not common.
5.5.2
Preparation of inspections at companies
Apart from the preparations described above the following specific preparations should be
taken into account for inspections of companies where waste is physically produced, stored,
transferred, sorted, reused, recycled, recovered and/or disposed of.
Company inspections can be done in the framework of the routine inspection of companies
related to permits and monitoring or be related to a verification request or in the case of
suspicion that arose during a transport control. The Enforcement Action II project (IMPEL / TFS)
focuses on targeted inspections for verification purpose, which are generally initiated by the
country of dispatch.
For company inspections focusing on shipment from Croatia (export), shipment to Croatia
(import) and treatment of waste the following basic principles are to be followed:
 The inspections will be done at the company („on site‟).
 Investigation on specified priority waste streams will not exclude other investigations on
other waste streams.
 The inspections contain investigation of the documents and physical examination of the
waste (intended for shipping or received from abroad).
 Although it has proven to be not such a successful approach, in some cases three day
prior notification (of notified waste) can be used as a starting point of inspections.
Specific tasks to be prepared for company inspections:
 Prepare a working method and organise the company inspection in detail as described
above
 Elements for the preparation in more detail:
 Valid permits and licences for treatment of the waste
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 Results of earlier inspections
 Facilities (telephone, fax, dry working place)
 Telephone numbers/ diary with contacts
 Copying information
 Handling of information
 Handling of the press
 Evaluation and reporting needs
 Handling with unforeseen circumstances
5.5.3
Preparation of other inspections
The third type of inspection is „other inspections‟ of companies where waste is only being
traded, documented or registered administratively, and not handled physically. This kind of
inspections concern (only) administrative checks of documents at customs and other
governmental authorities and waste trading companies like waste brokers. The main focus in
this type of inspections will be on the brokers that deal with waste or second hand goods.
Apart from the physical inspection methods – that obviously cannot be performed at companies
not handling waste physically - preparations described above are to be followed.
Specific preparations should be taken into account for this kind of inspections:
 Investigate the Internet or other data sources for registered waste traders/brokers
 If the waste is shipped by a foreign waste trader / broker, contact the national contact
person (list of NCPs see Annex 9.319.31 of this manual) for more information
 Gather and analyse company information from the Chamber of Economy and/or annual
reports (if available)
 Analyse the legal and organisational situation of the company (who to address to)
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6.1
Introduction
During the operation phase the inspection is performed in accordance with the chosen starting
point and type of inspection as developed during the preparation phase (see chapter 5.5).
Two principal working methods can be used during shipment inspections. Both working
methods (administrative check and physical inspection) can and should be used within one
inspection.
The administrative check is based on the documentation which has to accompany
transboundary shipments of waste.
6.1.1
Accompanying documentation in case of transboundary shipments
Accompanying documentation depends on the question whether the shipment requires
notification or not.
6.1.1.1 Waste subject to prior written notification and consent
Documents to accompany each shipment:
 Movement document, filled in to the extent possible - boxes: 2, 5, 6, (7 – if there are
several packaging types), 8, 15 and added at latest before the single shipment starts;
 Copies of the notification document containing
 Copies of the written consents and the conditions of the competent authorities
concerned (where appropriate)
6.1.1.2 Waste not subject to notification – information requirements (Article 18 WSR)
In the following cases, transboundary shipment of Green-listed waste destined for recovery, if
the amount of waste shipped exceeds 20kg, does not require prior written notification and
consent:
 Shipment from all countries into/between EU Member States that are not subject to any
separately agreed transitional rules (Bulgaria, Romania)
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Page 60  Export into countries to which the OECD Council Decision C(2001)107/Final on control
of transboundary movements of wastes destined for recovery operations (OECD
Decision) applies
 Export into countries to which the OECD Council Decision C (2001)107/Final on control
of transboundary wastes destined for recovery operations does not apply (= non-OECD
countries), but which pursuant to Article 37 of the EC Waste Shipment Regulation have
determined that the shipment of all or certain wastes listed in Annexes III and IIIA is
permissible without notification (see Regulation No. 1418/2007 and its amendments
(consolidated version)).
Prior to the shipment, a written recovery contract must be concluded in accordance with Art
18 para 2 WSR (template available in Annex 9.13 of this manual).
The written recovery contract between the person who arranges the shipment and the
consignee 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, for 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, in case of
insolvency), for the consignee, to
 take the waste back or ensure its recovery in an alternative way and
 provide, if necessary, for its storage in the meantime.
Upon request, the person who arranges the shipment or the consignee must provide a copy of
the contract to the representatives of the authorities or enforcement officers such as
environmental inspectors, customs and police.
A contract of this type is not required for shipments of waste destined for laboratory analysis as
defined by Art 3 (4) of WSR.
Note:
In case of shipments from Croatia any legal person, initiating the shipment must be
registered at the Commercial Court in Croatia.
Craftsmen, initiating the shipment must be registered at the Crafts Register in Croatia
(provisions of relevance for Art 2 point 15 (notifier) of WSR and Art 124 para 3 and 5 of SWMA).
Note:
According to Art 121 of the SWMA a legal or natural person/craftsman carrying out import
and/or export (shipments to and/or from Croatia) of waste not subject to the procedure of prior
written notification must be entered into the:
 Register of importers of wastes not subject to the procedure of prior written
notification, and/or
 Register of exporters not subject to the procedure of prior written notification at the
MENP.
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According to Art 122 (2) of the SWMA a waste exporter and importer not subject to the
procedure of prior written notification shall provide the environmental inspectorate (e-mailaddress: najava.posiljke@mzoip.hr) with information on the shipment of waste not subject to the
procedure of prior written notification in writing or in digital format, three days prior to the
planned dispatch of the shipment.
The shipment of Green-listed waste has to be accompanied by:
 Annex VII document of WSR (template available in Annex 9.12 of this manual), duly
completed and signed
The document contained in Annex VII must 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.
Note:
The obligation to carry documents pursuant to Article 18 of WSR also applies to the shipment of
hazardous and non-hazardous waste up to an amount of 25 kg if they are destined for
laboratory analysis (Art. 3 (4) of WSR).
Shipment of Green-listed waste not requiring notification destined for interim recovery
operations (R12, R13):
In accordance with the explanations of the ECJ in the “BESIDE” case, (C-192/96), specification
of the final recovery facility and the final recovery operation on the Annex VII form (or a
supplementary sheet) is required. Preferably, the supplementary sheet should be attached to
the Annex VII document so that any exchange is not easily possible.
Upon request, this information must be provided to the representatives of the authorities or
enforcement officers, such as environmental inspectors, customs and police.
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Administrative check
Administrative checks are generally a first step to select shipments for further investigation in
transport control.
In addition administrative checks comprise the comprehensive investigation of the
documents when a waste shipment has been identified in order to verify the conformity of the
transport with EU and national rules and requirements.
In this context the paperwork gives more information about the shipment:






What is the composition of the waste according to the documents?
Is the destination on the documents the same as where the shipment actually will go?
Is the export of this waste allowed or does the export ban apply?
Is the description of the waste the same as the actual load?
Is notification needed for this shipment?
Is the information in all available documents concerning the present shipment consistent?
In addition, accompanying documents can provide important information about the owner of
the materials, the shipping agent, the broker or other involved parties.
Finally documents are needed to determine the consistency of the transport with legal
requirements.
Examples for paperwork to be checked and requested during waste shipment controls:
 copies of the notification document containing the consent of the competent
authorities (obligatory for shipments requiring notification; at least 2 copies of the
notification document containing the consents of the country of dispatch and destination
have to accompany the shipment) including enclosures, especially written decisions of the
authorities, if applicable
 actual movement document (blocks 1 to 15 must be filled in, signature; obligatory for
shipments requiring notification)
 Annex VII form (blocks 1 to 12 must be filled in signature; obligatory for shipments not
requiring notification)
 Statement of Conformity with the end-of-waste criteria (such a statement must exist in
case of shipments of materials having ceased to be waste; no obligation for the driver to
carry a copy of this document with him!)
 CMR documents
 contracts
 customs documents (if applicable)
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 weighing bill (if present)
 any other documents connected to the shipment.
Recommendation: Put a stamp, sign and date on the checked documents (for example on the
movement document) and in such a way to prevent using the same movement document
several times (for example for notified waste). Take always a copy of the documents (or a digital
photo of the document).
6.1.3
Physical inspection
Depending on the findings of a first quick administrative check, a physical inspection of the
shipment is or may be required; to verify for example the actual load and the composition of the
waste with the information given on the documents. A physical inspection can be performed by
opening the containers and see and smell the load, taking (digital) pictures and/or by taking
samples. Always take several detailed and overview pictures of the waste, the truck number
and the door if the name of the owner is written there and the number of the trailer or container.
When a physical inspection is performed: SAFETY GOES FIRST!
 Watch out for unstable loads, which can fall out of an opened container; use the chains
 Containers can be under pressure, take note of the physical state of a container. Always
open a drum or container slowly, so that the pressure can adjust to atmospheric pressure
 Do not enter any closed spaces, containers are sometimes fumigated with insecticides
(unless you have sufficient expertise, adequate measuring equipment/gas detector (e.g.
DRÄGER) and compressed air);
 Physical inspection of tank containers (with liquid waste, e.g. waste oil, waste solvents)
requires specific knowledge
 Work up-wind as much as possible;
 If relevant: make sure the container or drum is re-sealed.
6.2
General information on performance of transport inspections
Transport inspections can focus on specific means of transport, such as trucks, ships and
trains. The inspections themselves are to a large extent similar or the same and this general
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Page 64 description is given in this section. Each type of transport requires also some specific issues
which are dealt with in chapter 5.5.1.
Ships and trains are important means of transport to check waste shipments because waste
streams which will be generated in huge amounts (e.g. metal scraps, slags, sludge, paper- and
plastic wastes and municipal wastes) are often transported via ships and trains.
It should be mentioned that the performance at railway stations and container terminals requires
specials logistic preparation in collaboration with operators.
Transport inspections typically consist of the following steps:
 Organize a briefing (see 6.2.1)
 Selection of transports (see 6.2.2)
 Check of documents and physical inspection of the waste (see 6.2.3)
 Check the shipment with its requirements
 Optional: further investigation on the site (see 6.2.4)
 Debriefing / evaluation (see 6.2.5)
6.2.1
Organize a briefing
The inspection coordinator organizes a briefing just before the inspection. All participants of the
inspection team have to be invited (and present) to the briefing.
The briefing should contain the following aspects:
 Pointing out the tasks and coordination of the members;
 Informing all participants about legal tasks and competences in the team;
 Logistic aspects;
 Time scheme, duration of the inspections and end time of the inspection;
 Points of attention (such as special transports);
 Safety measures (clothing, gas measuring, etc., see Annex 9.16);
 Details of the report forms (how does the form have to be filled in, who writes down the
results, what has to be written down and who collects them?);
 List of equipment for making transport inspection (see Annex 9.16).
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Select transports
Depending on the type of transport inspection (port or road, mobile or road block) selection is
made on the spot or in advance. The selection can be made by focusing on specific indicators
(see Chapter 6.3.1). For specific requirements for road, port or train see corresponding
chapters.
6.2.3
Check of documents and do a physical inspection of the load
Determine the type and composition of the load and compare it with the description in the
accompanying papers.
For determination of the consistency of the inspected transport with the corresponding legal
requirements it is essential to check the provisions for the given waste, envisaged treatment
and destination. A look at the “Decision tree on procedures according to WSR” in Annex
9.23 may be helpful.
6.2.3.1 Classification of the material as WASTE or NON- WASTE
Although a definition of waste exits the differentiation between waste and non-waste can get
complicated in single cases (see general criteria and decision tree below).
On one hand during production processes BY-PRODUCTS can be generated which constitute
products if certain conditions are fulfilled.
On the other hand within EU END OF WASTE criteria exist on EU- and national levels (see
examples below).
General criteria for classification WASTE – NON-WASTE
Decision-tree according to Communication from the Commission to the Council and the
European Parliament on the Interpretative Communication on waste and by-products (COM
(2007) 0059)
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A substance or object, resulting from a production process, the primary aim of which is not the
production of that item, may be regarded as a by-product only if the following conditions are
met:
 further use of the substance or object is certain;
 the substance or object can be used directly without any further processing other than
normal industrial practice;
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 further use is lawful, i.e. the substance or object fulfils all relevant product, environmental
and health protection requirements for the specific use and will not lead to overall adverse
environmental or human health impacts.
If a material is to be classified as by-product the definition of waste does not apply. Byproducts are a result of a production process and never become waste during this process.
In accordance with Art 14 of the SWMA in Croatia a certificate by the MENP is to be issued
proving that this by-product has been entered into the Croatian Register of By-products.
END of WASTE status in the EU
In accordance with the EU Directive on Waste 2008/98/EC specified waste can cease to be
waste when it has undergone a recovery, including recycling, operation and complies with
specific criteria to be developed in accordance with the conditions laid down in this directive.
These criteria can be set on Community or on national level.
Examples for such regulations / waste streams:
 Iron and steel scrap (total amount of foreign materials (steriles) shall be ≤ 2 % by weight)
 Aluminium scrap (total amount of foreign materials (steriles) shall be ≤ 5 % by weight or
the metal yield shall be ≥ 90 %)
Legal basis: COUNCIL REGULATION (EU) No 333/2011 establishing criteria determining when
certain types of scrap metal cease to be waste under Directive 2008/98/EC of the European
Parliament and of the Council
 Glass cullet (Ferrous metals: ≤ 50 ppm; Non-ferrous metals: ≤ 60 ppm; Non-metal nonglass inorganics:< 100 ppm for glass cullet size > 1mm;< 1500 ppm for glass cullet size ≤ 1
mm; Organics: ≤ 2000 ppm)
Legal basis: Commission Regulation (EU) No 1179/2012 of 10 December 2012 establishing
criteria determining when glass cullet ceases to be waste under Directive 2008/98/EC of the
European Parliament and of the Council
 Copper scrap (total amount of foreign materials shall be < 2 % by weight)
Legal basis: Commission Regulation (EU) No 715/2013 of 25 July 2013 establishing criteria
determining when copper scrap ceases to be waste under Directive 2008/98/EC of the
European Parliament and of the Council
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333/2011, No 1179/2012 or No 715/2013 are fulfilled and a “statement of conformity with the
end-of-waste criteria” is available on request.
Some EU-Member states also have laid down national provisions establishing criteria
determining when specific waste streams cease to be waste; e.g. in Austria the following
materials cease to be waste (only valid for Austria):
 Substitute fuel products fulfilling specific criteria
 Compost made of waste fulfilling specific criteria
 Waste wood for material recovery fulfilling specific criteria
Remark: Such national rules are only valid on national and not on EU level! If the countries
of dispatch or destination categorize such a material as waste, the rules of the WSR for
transboundary shipments of such wastes apply.
6.2.3.2 Classification of waste as green, amber or unlisted
Depending on the classification as green (according to Annexes III; IIIA and IIIB of WSR),
amber (according to Annex IV and IVA of WSR) or unlisted waste different procedures apply
according to the WSR (see chapter 4.3 and the decision tree on procedures according to WSR
– see Annex 9.23).
Detailed information about the classification and examples you find in the “Waste Catalogue in
the context of transboundary shipment – Guideline on how to apply Annexes III – V of the
EC Waste Shipment Regulation No. 1013/2006”.
Be aware that
 transboundary shipments of all kinds of waste destined for disposal operations (D1 to
D15) and of waste listed in Annex IV (Amber list) of the WSR and also of any waste, which
is not listed in the Annexes III, IIIA, IIIB or IV of the WSR destined for recovery operations
(R1 to R13) are always subject to the procedure of prior written notification and
consent or their export is prohibited
 transboundary shipments of any kind of waste to Bulgaria and Romania are always
subject to the procedure of prior written notification and consent as long as the
transitional periods concerning shipments of waste to these member states are valid (BG
until December 31, 2014, RO until December 31, 2015)
 exports of wastes of Annex IIIB always require notification
 the rules for exports of wastes listed in Annex III or IIIA and destined for
recovery/recycling to non-OECD Decision countries are fixed in Regulation No 1418/2007
Manual for enforcement
Page 69 as amended (Annex VII or notification or prohibition), consolidated version 7 February 2013
 transboundary shipments of wastes of Annexes III and IIIA to member states without
transitional period, imports and exports to OECD – decision countries are to be
accompanied only by Annex VII form, if they are destined for recovery (exemption for
wastes of Annex IIIA in case of exports to OECD decision states outside the EU, if destined
for interim operations and the subsequent operation takes place in a non OECD decision
country)
 transboundary shipments of wastes of Annex IIIB to member states without transitional
period are to be accompanied only by Annex VII form, if they are destined for recovery
A so called “Country List” containing a compilation of the necessary procedures in case of
exports of waste of Annex III and IIIA to non-OECD Decision countries was elaborated by the
German Umweltbundesamt (link to “Country List”).
6.2.3.3 Check of the accompanying documents
The following subchapters list the information in the waste related documents accompanying
transboundary shipments of waste which should be checked in detail.
6.2.3.3.1 Shipments to be notified
In case a waste shipment requiring notification the following documents have to accompany
each transport:
 Copies of notification document containing the written consents and (if applicable) the
conditions of the competent authorities concerned (as transit countries can issue a tacit
consent, at least copies of the notification form with consents of the countries of dispatch
and destination shall accompany shipments between member states)
 Movement document concerning the actual shipment
 Written consents of involved countries, mentioned in the copies of the notification forms,
see blocks 20 and 21 of the notification form (if a tacit consent cannot be assumed)
6.2.3.3.1.1 Hints concerning information to be checked in notification and movement
documents
Notification document (see Annex 9.1 of this manual):
Block 4: Total intended number of shipments:
Manual for enforcement
Page 70 It should be checked, if the serial / total numbers of shipments according to block 2 of the
movement document correspond with the total intended number of shipments in block 4 of the
notification document.
Block 6: intended period of time for shipment(s):
Compare the intended period of time for shipment(s) with the validity of the written consents
(block 20).
Block 7: Packaging type(s):
It should be checked, if the type of packaging used corresponds to the type of packaging
foreseen in the notification document.
Block 8: intended carrier(s):
It should be checked if the carrier operating the actual shipment is listed in the notification.
Blocks 12, 13: Compliance of the waste
The compliance of the waste transported with the information under blocks 12 and 13 has to be
checked.
Block 14: Waste identification codes:
It should be checked if the used waste codes fit together and if the codes match to the load
actually.
Block 20: validity of written consents
The validity of the written consent can be found in block 20 of the notification document, where
the MENP (and other authorities) grant(s) the consent by appropriately stamping / signing and
dating the notification document.
Be always aware that also the copy(ies) of the notification document of the other
competent authority(ies) concerned has (have) to accompany the shipment.
Check the actual consent of the notification by comparing the validation period of all CAs
concerned.
Block 21:
In many cases competent authorities lay down their conditions in separate decisions as
enclosure to the notification. Copies of such decisions also have to accompany each single
shipment.
Movement document (see Annex 9.2 of this Manual):
Block 1: Corresponding to notification No:
The Notification number according to block 3 of the Notification form has to comply with the
notification number inserted on the movement document.
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Page 71 Block 2: Serial/total number of shipments:
It has to be checked, if this information complies with the information in block 4 of the
notification form (Total intended number of shipments).
Blocks 3, 4, 9, 10, 11, 12, 13, 14:
The information in these blocks has to correspond with the information on the Notification form.
Blocks 5, 6, 7, 8:
Actual quantity, actual date of shipment, packaging, carriers: The blocks must be completed
and it has to be checked, if this information is comprehensible.
Block 15:
This block has to be signed and dated by the exporter / notifier.
Blocks 20, 21 and 22:
These blocks have to be completed by the customs offices.
6.2.3.3.2 Shipments not to be notified
In the case a waste shipment has not to be notified only the Annex VII form (see Annex 9.12 of
this manual) has to accompany each transport.
Remark: According to Art 122 (2) of SWMA the waste exporter and importer (Croatian
companies) of wastes not to be notified have to provide the environmental inspectorate with
information on the shipment three days prior to the planned dispatch of the shipment.
6.2.3.3.2.1 Hints concerning information to be checked in Annex VII form
Annex VII form (see Annex 9.12 of this Manual):
Blocks 3, 4, 5:
Actual quantity, actual date of shipment, carriers: The blocks must be completed by the person
who arranges the shipment and it has to be checked by the competent authority performing the
inspection.
Block 7: Recovery facility or Laboratory
In case the waste is destined for laboratory analysis the total amount of the waste must not
exceed 25kg (compare with information in block 3).
Block 8: Recovery- or Disposal operation - code
A disposal code (D1 to D15) only can be used if the waste is destined for laboratory analysis
(compare with information in block 7).
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Page 72 Blocks 9, 10:
It should be checked if the used waste codes fit together and if the codes match to the load
actually.
Block 12:
The Annex VII form shall be signed by the person who arranges the shipment (Block 1)
before the shipment takes place (compare date with actual date of shipment in block 4).
Remark: A copy of the contract according to Art 18 (2) WSR which shall be effective when the
shipment starts between the person who arranges the shipment and the consignee for recovery
of the waste shall be provided upon request.
Blocks 13, 14:
These blocks must not be filled in during the transport.
6.2.4
Optional: further investigation on the spot
In case of suspicion of irregularities, further investigations on the spot may be needed, such as:
 Sampling (List of laboratories for sampling and analysis see Annex 9.22 of this manual)
 Claiming information from different companies (origin, destination).
6.2.5
Debriefing / evaluation
The inspection coordinator takes the total inspection team through a debriefing on the
inspection day.
It is important to have a briefing at the end of the day, in order to:
 Check completeness of the report forms and names of inspectors for eventual
additional questions
 Coordination: the files/dossiers are sent to the country coordinator
 Make agreements about the communication with media
 Evaluation of the transport inspection day (learning points)
 Results
o What files are not yet settled / completed?
o Are there any shipments still standing for further investigation?
o Appointments about aftercare?
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Page 73 6.2.6
Flowchart – Overview of performance of transport inspections
Check accompanying documents

CMR

Invoices

Contracts

Notification document

Movement document

Annex VII

Consent of the competent
authorities
Info of documents fits to load?
Physical check of the load

Compare load with
information of
documents

Search for hidden
waste

Take pictures
Questions to be answered







Is the cargo waste or non-waste?
Is the classification and composition of the waste according to the documents?
Is the waste destined for a disposal or recovery operation (D or R operation)?
Which country is the country of destination?
Is the transporting route in accordance with the documents?
Is the shipment of this waste allowed or not?
Is a permit needed for this shipment
Shipments to be notified
(Notification)
Documents needed:

Notification document Annex IA

Movement document Annex IB

Written consents of the state of dispatch and state of
destination

Written or tacit consent(s) of transit country(ies)

Written consent of MENP in case of transit through
Croatia
Are the documents present / valid / complete / completely
filled in?

Copies of stamped notification document + written
consents (Box 20) + conditions (Box 21 OR enclosures)
and current movement form (3 day prior notified)
CONCLUSIONS
It has to be decided, whether
 the shipment is legal
 information or documents are missing or
 the shipment is to be considered as an illegal shipment
Manual for enforcement
Shipments NOT to be
notified (no Notification)
Documents needed:

Annex VII form

A Contract acc. to Art 18 WSR must be
provided on enquiry
Further actions in case of illegal
shipments / missing documentation

Suspend the vehicle
temporary and move it to an
appropriate place

Derivate the registration
document

Prepare an act of findings for
offences

Make photos of the cargo,
whenever doubts exist
regarding the classification of
the waste or in case of illegal
shipments

Make copies of the decison
and of all present documents

Send all copies, the photos
and the act to MENP

In unclear cases await the
decision of MENP for further
measures regarding the
transport

Organise sampling by an
expert if appropriate
Page 74 6.3
Specific information on performance of special kinds of transport
inspections
6.3.1
Performance of road inspections
Some indicators can help to select interesting trucks. Available information (from cooperation
with customs and police) can be used:






Type of transport (bulk or closed/open top containers)
Appearance of container/truck
Empty lorries: 2 tires are lifted up
Known companies
Origins (licence plate)
Trucks marked with an “A” (from “Abfall”, legally needed, e.g. in Germany and Czech
Republic)
However the inspections should include random controls of unremarkable trucks or other
vehicles. Offenders are inventive in finding solutions to dissimulate.
For advantages and disadvantages of road block and mobile inspection see chapter 5.5.1.1 of
this manual.
6.3.1.1 Performance of inspections at sea ports and container terminals
Seaports and inland harbours (ports) are important places to check waste shipments because
a large number of waste shipments will be transfrontier shipments. Part of the inspection
activities within the area of a port could be transport inspections. The procedure for transport
inspections has been described earlier.
In chapter 5.5.1.4 of this manual the pre-selection of certain shipments via customs documents
is already described.
6.3.1.2 Specific points during the port inspection action itself
 Screen all the available documents for possible transfrontier waste shipments or use the
digital custom system and profiles.
 Further investigation is necessary if there are doubts about the information on the custom
documents or the information indicates non-compliances with WSR. It is recommended to
gather more information about the shipment from the sender or agent responsible for the
shipment. They can provide more information about the load and the shipment, like invoices
or contracts.
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Page 75  If necessary an X-ray and or a physical inspection of the shipment can be performed. The
container should be blocked from further transport. In most cases this is done by customs.
 Inspect the stored piles of scrap at the harbour, if they contain contaminants (like capacitors,
other hazardous contaminants etc.).
 In case of bulk transport of waste, it is difficult to get a good idea of the composition. An
option is to inform the receiving port or country about the shipment, so they can verify the
waste when it is being unloaded.
6.3.1.3 Points of attention when inspecting a container vessel
 List all the participating shipping lines that are transporting containers on this selected
vessel. This is needed to collect all the loading lists of the selected vessel or to make use of
the involved booking systems. Note that it is possible that these shipping lines can have
contracts with other companies that might have the loading lists or use other booking
systems.
 It is necessary to contact all the shipping lines. These companies have access to the loading
lists or booking system of their part of the shipment that will be transported on the selected
vessel. Ask for the latest loading list or consult the booking systems as briefly as possible
before the closing date for container delivery. Containers for a vessel can be delivered
shortly before departure.
 Make a selection of containers from the loading list or booking system, which indicate a
transfrontier waste shipment. Search for terms like waste, scrap, old, used, residue etc. (see
Annex 9.24 of this manual for terms)
 Check if the containers and/or documents of the selected shipments have arrived at the
terminal. Use the method of (customs) document check followed if necessary by a
physical inspection.
 To be sure no changes are made to the loading lists or in the booking system; it is
recommended that the latest version of the list or the system after closing date is consulted.
There is a possibility that formerly registered bookings are cancelled or new ones have been
added.
 If needed make a further selection of containers for inspection.
 Additional customs documents check and physical inspection may be necessary.
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Page 76 6.3.1.4 Inspection of storage locations and warehouses on port sites
On a port site many batches of goods (or waste) are stored to await shipment. For example car
wrecks. It can be very effective to inspect these storage facilities. These kinds of inspections
are relatively simple and can be done in fairly short time.
6.3.2
Performance of train inspections
A better understanding of the rail transport is necessary to perform a train inspection.
Therefore, apart from the operational procedure and steps for transport inspections as
described in the preceding chapters the following specific aspects should be taken into account
for inspections of trains:
 logistic process, namely the formation of train transport
 rail transport consignment note
 actors involved in the rail chain and their roles and tasks
 main partners for performing train inspection
 possible check points
Background information on railway transport can be found in Annex 9.25 of this manual.
6.3.2.1 Main partners for performing train inspection
With regard to the enforcement of rules governing the transport of waste by train, the following
enforcement agencies can be distinguished:
 Customs
 Police
 Environmental protection inspectors
These are the general institutions involved in the inspections; however they could diverse in the
different countries.
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Page 77 6.3.2.2 Possible check points
The table below shows the possible check points and relevant inspection methods and
partners by whom inspections on rail transports can be carried out. When citing the locations,
the sequence of the logistic process is adhered to as closely as possible.
Locations where an administrative and physical inspection is possible:
Location
Enforcement partners
Company with waste shipment permit
and „transport by train‟
Company with own connection to
railway network
 Environmental protection
inspectors
(transport with block trains)
 Police
Public loading and unloading of
goods transport by rail
 Customs
Terminal with rail transport (Rail
terminal)
Locations where an administrative inspection is possible, but a physical inspection is difficult:
Location
Shunting yard
Enforcement partners
 Environmental protection
inspectors
 Police
 Customs
Locations where only administrative inspections are possible:
Location
Border crossing
Central administration office of
railway company
Manual for enforcement
Enforcement partners
 Environmental protection
inspectors
 Police
 Customs
Page 78 Manual for enforcement
Page 79 6.3.2.3 Points of attention when inspecting trains:
Safety:
Strict safety regulations govern the locations on the rail network (loading and unloading depots,
shunting yards, rail terminals, etc.). When entering such a location, these safety rules (e.g. on
electricity) must be observed. It is necessary to report to the manager of a location and to get
familiar with the rules.
Inspection of load:
Most tracks have overhead lines which hamper a physical inspection or the sampling of
consignments. If necessary, a wagon can be shunted out. In principle, this can only be done in
an area where shunting facilities are available. Efforts must be made to ensure that trains are
not delayed by inspections carried out on the railway. A delay could disrupt an entire timetable.
The best place for a consignment inspection is a location where a wagon is being loaded or
unloaded.
Stop transports:
If during an inspection on the rail, it should prove necessary to stop a transport for further
investigation; this should also be done without disrupting the timetable. Stopping a transport can
best be done in consultation with the manager of the location where the situation allows. It can
then be decided in consultation precisely where and how this should best be done.
6.4
Performance of company inspections
It is the task (of the Inspectorates) in the EU Member States to check if the waste movements
and the processing of the waste are in compliance with the WSR. Transport inspections give an
insight into the waste streams and carriage of wastes to countries abroad. But is it really
processed in the right place and the right way, or does it end up outside the EU? For this
purpose the strategy of “chain enforcement” has been developed as a tool for prevention of
illegal shipment (see chapter 5.4 of this Manual).
Company inspections at both ends of the waste chain (producers and treatment
installations) shall be carried out according to Article 50 of the WSR. These inspections can be
carried out either as part of a verification procedure between different countries in case of a
suspicious transport inspection (on request) but also independent from specific shipments /
transport inspections as “stand-alone” inspections.
Article 50 of the WSR describes that the Member States must take the necessary measures
needed to ensure that waste is shipped in accordance with the provisions of the WSR. Such
measures may include inspections of facilities and plants, in accordance with Article 13 of
Directive 2008/98 on waste, and spot checks of shipments.
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Page 80 6.4.1
Specific points for company inspections
 DO NOT inform company in advance about inspection (only if relevant or if necessary)
 Check current relevant documents concerning transboundary waste shipment (invoices,
CMR, Annex VII forms, notification documents, weighing bills)
 Check if waste shipments actually left, passed or reached the company site – physical
inspection of the site
 Is the waste handling / processing procedure in accordance with the permit?
 Does the company have a permit for handling / trading / processing the waste in
question?
 Check if the waste stream is coherent to the registered capacity;
 Check if the waste-streams at the site are stored, separated, handled, traded or treated
according the legal and/or environmental requirements
6.4.2
“Stand alone” company inspections
Member States carry out waste inspections (transport, company) in their own country. How
these inspections are integrated into the daily work of environmental protection inspectors is a
matter of careful planning. Planning and preparation of inspections see chapter 5.1 and 5.5 of
this manual.
For reasons of resource efficiency it is recommendable to include waste aspects into routine
inspections for other reasons e.g. permit controls, environmental monitoring.
6.4.3
“On-request” company inspections
Member State Authorities have difficulties to know what happens with the waste after it has
passed national boundaries. This is due to the fact that the inspecting authorities in the country
where the waste leaves cannot check by whom and where the waste is received and how the
waste is processed. To find out if waste is really transported and processed according to WSR
(or/and the permit) it is thus necessary that inspecting authorities in Member States join their
forces.
To improve the situation the WSR has introduced the obligation to provide information about the
facilities and to certify interim and final treatment on the movement documents for notified
waste, as well as the obligation to store the Annex VII document for “green listed” waste for at
least 3 years.
Manual for enforcement
Page 81 Nevertheless satisfying information on the quality and the actual location of waste treatment or
the conditions of storage and collection often remains difficult to achieve and in the situation of a
transport control urgent needs for a verification of the destination indicated in the papers or the
reliability of the sender may occur both in cases of a shipment in clear violation to the legal
requirements and in case of seemingly compliant shipments where however, doubts and
suspicion remains.
In these cases the inspecting authorities can start a verification procedure in cooperation with
the authorities in the countries of destination and dispatch. This inspection is part of the
enforcement of WSR. In this way enforcement of WSR will be improved.
Country coordinators/NCPs of destination can request country coordinators/NCPs of dispatch
for company inspections and vice versa.
6.5
Performance of other inspections
“Other inspections” concern companies where waste is only being traded, documented or
registered administratively, and not handled physically. This kind of inspections only covers
administrative checks of documents at customs and other governmental authorities and waste
trading companies like waste brokers.
They should be performed on basis of an internet investigation in cooperation with other
authorities in other countries concerned as in many cases such international dealers or brokers
are working within a widespread network.
Manual for enforcement
Page 82 7 Illegal shipments of waste
Art 2 (35) of the WSR contains the definition of illegal shipments:
In accordance with this provision ‘illegal shipment’ means any shipment of waste affected:
(a) without notification to all competent authorities concerned pursuant to the WSR; or
(b) without the consent of the competent authorities concerned pursuant to the WSR; 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 Community or
international rules; or
(f) contrary to Articles 34, 36, 39, 40, 41 and 43 of WSR; or
Remark: in these Articles import and export prohibitions for waste are fixed
(g) which, in relation to shipments of waste as referred to in Article 3 (2) and 3 (4), of WSR
has resulted from:
(i)
the waste being discovered not to be listed in Annexes III, IIIA or IIIB of WSR,
or
(ii)
non-compliance with Article 3(4) of WSR,
(iii)
the shipment being effected in a way which is not specified materially in the
document set out in Annex VII of WSR.
Remark: Art 3 (2) and Art 3 (4) of WSR concern transboundary shipments of waste
 of Annexes III, IIIA and IIIB of WSR destined for recovery (Art 3 (2))
 explicitly destined for laboratory analysis (Art 3 (4) not exceeding an amount of 25 kilogram)
 which are subject to the general information requirements laid down in Article 18 WSR.
7.1
Procedures in case of illegal shipments / infringements
Several Croatia authorities are engaged in case of illegal shipments.
7.1.1
Rights and duties of Croatian authorities in case of illegal shipments
The rights and duties of Croatian authorities in case of illegal shipments are fixed in SWMA.
7.1.1.1 Permit writers at MENP
The permit writers at MENP are responsible for the organization of the further steps to be
taken in connection with repatriation or alternative treatment of illegal transboundary waste
shipments which would require notification or which are prohibited (in accordance with Art 118
(2) of the SWMA; further details see below under chapter 7.4 of this Manual).
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Page 83 7.1.1.2 Environmental Protection Inspectors at MENP, Customs Officials and Police
The environmental protection inspectors at MENP and the authorized officers of the ministry
responsible for customs administration (customs officials) and the authorized officers of the
ministry responsible for internal affairs (police), in accordance with Art 166 (10) of the SWMA,
are responsible / authorized for the organization of the following measures to be taken:
 temporarily keeping of transboundary waste shipments in case of reasonable doubts
in the temporary bonded warehouse (Art 24 (7) of the WSR); oral ruling (to be sent in
written form within 8 days to the person subject to inspection in accordance with Art 157
(4) of the SWMA) of environmental protection inspector / customs official / police official
in accordance with Art 156 and 157 (2) hyphen 1 of the SWMA
 prohibition for the person subjected to inspection for carrying out transboundary
movement of waste (ruling of the environmental protection inspector / customs official in
accordance with Art 157 (1) of the SWMA)
 in case of import to the EU or transit through the EU, if the shipment is stopped at the
border crossing to the non-member state: taking the shipment back to the customs
office of exit from the country of dispatch to be returned to the notifier in the country
of dispatch and to inform accordingly the competent customs office and the permit writers
at MENP (oral ruling of the Environmental Inspector / customs official in accordance with
Art 157 (2) hyphen 2 of the SWMA)
Remark: the content of this provision is not in accordance with the WSR; in case of illegal imports
/transits in accordance with Art 42 point 5 and 44 point 5 of the WSR the permit writers at MENP
are to be informed by the customs office of entry on the case without delay; the detention of the
waste must be ensured by the customs office of entry, until the competent authority of dispatch
decides otherwise in writing.
 in case of shipments from Croatia / exports which are stopped in Croatia: giving
order to the person subjected to control to take the shipment back to the notifier, if
he/she finds that conditions for transboundary shipment have not been met (oral ruling of
the environmental protection inspector / customs official / police official in accordance
with Art 157 (3) of the SWMA)
 sealing the working space, premises, plants and equipment or preventing such person in
any other way to continue carrying out operations illegally until the shipment has been
taken over by a person who is in possession of a waste management document, if the
responsible person fails to act upon the rulings in accordance with Art 157 (1) of
the SWMA (order of the environmental protection inspector / customs official / police
official in accordance with Art 157 (5) and 159 of the SWMA)
7.1.1.3 Environmental Protection Inspectors at MENP
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Page 84 The environmental protection inspectors at MENP are responsible / authorized for the
organization of the following measures to be taken:
 arranging for analysis of physical and chemical properties of waste
 labelling of the consignment note or the customs declaration reading "Import prohibited"
or "Export prohibited", signed and certified by the seal of MENP (Art 158 of the SWMA)
 filing an indictment or criminal charges for a misdemeanour offence or a criminal act
to the competent authority; undertaking such other measures and actions for which
he/she has been authorized (Art 165 of the SWMA)
 temporarily taking away the objects by which an offence or a criminal offence has
been committed (Art 166 (1) – (4) of the SWMA)
 measures in accordance with Art 152 and 153 of the SWMA shall be set by the
environmental protection inspectors in case (see below chapter 7.1.1.4)
Steps to be taken by customs officials and police in case of (suspicion of) illegal
shipments:
 Suspend the vehicle temporarily and move it to the temporary bonded warehouse (oral
ruling of the customs official has to be sent in written form within 8 days to the person
subject to inspection according to Art 157 (4) SWMA), if necessary
 Take away the registration document of the truck (order of the customs official / police
official)
 Prepare a written information on the case and fill in the Waste transport inspection form
(see Annex 9.28 of this manual)
 Make photos of the cargo (photos of the whole cargo, detailed photos, photos of the truck /
means of transport including registration plates / identification number
 Make copies of all present documents, incl. the international consignment note, the
driving license and the registration document of the vehicle
 Send all copies and the photos via e-mail to the environmental protection inspector
 Await the decision of the environmental protection inspector / permit writers at MENP for
further measures (e.g. repatriation, see below)
 Be aware that only the customs officials are allowed to unseal sealed trucks!
In such cases the police have to call for the customs.
Manual for enforcement
Page 85 Steps to be taken by the environmental protection inspectors in case of (suspicion of)
illegal shipments:

Set all necessary steps mentioned in the box above, which have not been set (yet) by
customs (/ police)

Make additional photos of the cargo, if necessary

If necessary, organize sampling and analysing of the material / waste by an accredited
laboratory (inform the laboratory, which kind of analysis is necessary respectively which
parameters are to be analysed)

Question the driver about the circumstances of the shipment (e.g. place of loading,
destination, changes during transport, etc.) as soon as possible

Prepare a documentation on the case in order to supply it to misdemeanour court or
criminal court and annex the completely filled in transport inspection form to this report

Send a copy of this documentation to the permit writers at the MENP
7.1.1.4 Coast Guard and Sea Safety Navigation Inspection
Like the environmental protection inspectors, also the Coastal Guard (according to Art 166 (9)
of the SWMA) and the Sea Safety Navigation Inspection (according to Art 166 (8) of the SWMA)
in case of violations shall take measures as laid down in the provisions of Art 152 and 153 of
the SWMA, such as:
 giving order by ruling to the person subjected to inspection to remove waste within a
reasonable time
 giving order by ruling to the person subjected to inspection to remedy environmental
pollution by an authorized person
 imposing fines
 arranging for the execution of the ruling by a third person
 eliminating defects and irregularities in operations
Manual for enforcement
Page 86 7.2
Reporting within enforcement actions
7.2.1
Flow chart –Reporting
Preparation
Inspection plans
Waste inspection planning form
↓
Send to the Central Unit in MENP
2 weeks (at latest) before the inspection take place
Operation
Waste transport inspection
Company inspection
Other inspection
e.g. broker
Total results waste
inspection form
Results
↓
↓
Results
↓
Send to the Central Unit in MENP
Following forms for reporting are available:
 Waste inspection planning form for border crossing points (on land), railway stations and
ports including contact data of responsible persons – Annex 9.27 of this manual
 Waste transport inspection form - Annex 9.28 of this Manual
 Total results waste inspection form - Annex 9.29 of this Manual
 Company inspection form - Annex 9.30 of this Manual
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Page 87 7.3
Reporting of illegal shipments / infringements to misdemeanour or criminal
court
In cases of doubt if the case is a criminal case or only a misdemeanour case it is obligatory to
consult the case with the prosecutor before sending away the report.
7.3.1 Reporting of illegal shipments to the criminal court
The reporting is to be done on basis of Art 196 of the Criminal Act respectively on basis of Art
167 (1) number 13 – 16, 170 (1) number 26, 34 - 36 of the SWMA.
In accordance with Article 196 of the Criminal Act anybody shall be sentenced to imprisonment
1. who in violation of regulations carries out in one or more seemingly linked shipments
prohibited transport of waste in a quantity larger than negligible for a term of up to two years
2. who in violation of regulations discards, disposes of, collects, stocks, processes, imports,
exports or transports waste, or mediates in such an activity, or in general manages or
handles waste in a manner that can permanently or to a significant degree jeopardizes the
quality of air, soil, subsoil, water or sea, or to a significant degree or over a wide area
endanger animals, plants or fungi, or the lives or health of people for a term of between six
months and five years.
3. Whoever commits the offence referred to in point 2 above by negligence, shall be sentenced
to imprisonment for a term of up to two years.
o
The WSR is a regulation under the scope of Art 196 of the Criminal Act.
o
Transboundary shipments of waste which are not notified and consented (permitted)
can be considered as prohibited transports.
o
A definition of “quantities larger than negligible” is missing in the Criminal Act. At
least it has to be decided by the Criminal Court which quantities are to be
considered as larger than negligible.
o
It is recommended to agree with the Ministry of Justice on quantities which can
be considered as negligible anyway, may be depending on the classification of the
waste as a dangerous good, hazardous or non-hazardous.
If all conditions in accordance with Art 196 of the Criminal Act are fulfilled, the report must be
sent to the prosecutors.
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Page 88 7.3.2
Reporting of illegal shipments / infringements to the misdemeanour court
In case of illegal shipments not suspicious to be a criminal offense in accordance with the
Criminal Act the report has to be supplied only to the misdemeanour court.
This also applies to any other kind of infringement of the WSR or the SWMA in connection with
transboundary shipments of waste (see the list of penal provisions taken from the SWMA
below).
In case of violations detected by the customs the customs administration can initialize this
procedure according to Art 142 (2) of the SWMA.
The penalties for illegal shipments of waste and infringements are fixed in Art 167 (1) number
13 - 16, 170 (1) number 25 – 36 and 171 (1) number 21 – 34 of the SWMA:
In accordance with Art 167 (1) of the SWMA a fine to the amount of HRK 300,000 to 700,000
shall be imposed for an offence committed by a legal person who
1) manages waste in the manner which endangers human health and has harmful effect to
the environment (Article 9 – Waste management method);
...
3) manages waste contrary to the provisions of the present Act and regulations adopted in
pursuance thereof (Art 11 (2));
...
15) imports hazardous waste, mixed municipal waste and residues of mixed municipal waste
for incineration for its disposal (see Art 120 (1)- General requirements for
transboundary shipment of waste,);
16) imports mixed municipal waste for energy recovery (see Art 120 (2)).
In accordance with Art 167 (2) – (4) of the SWMA different amounts of fines are fixed for
responsible persons within a legal person, natural persons/craftsmen.
In accordance with Art 170 (1) number 25 – 36 of the SWMA a fine to the amount of HRK
150,000 to 400,000 shall be imposed for an offence committed by a legal person who
25.
ships waste that is not subject to notification procedure as laid down in
provisions of Article 18 paragraphs 1 and 2 of Regulation (EC) No. 1013/2006 (Article
122, paragraph 1).
26.
performs transboundary movement of waste that is subject to notification
procedure without consent or violate the consent requirements laid down in Article 123
of this Act (Article 123 paragraphs 1 and 2).
27.
performs transboundary movement of waste in the capacity of preconsented facility without or against the ruling establishing status of the pre-consented
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Page 89 facility (Article 131)
28.
as the sender of waste from the Republic of Croatia returns the shipment
laid down in Article 22 or Article 24 of Regulation (EC) No. 1013/2006 without the
Ministry’s consent or refuses to take back the returned waste provided that is able to
store such kind of waste and that analysis of waste is not required (Article 136
paragraphs 1 and 4).
29.
ships in minor quantity the shipment of waste that is illegal pursuant to
Article 2 point 35 of Regulation (EC) No. 1013/2006
30.
performs transboundary movement of waste that is subject to notification
procedure against the requirements set up in consents of competent authorities of
concerned countries as laid down in Article 10 of Regulation (EC) No. 1013/2006.
31.
performs transboundary movement of waste that is subject to notification
procedure without documents laid down in Article 16 point c of Regulation (EC) No.
1013/2006.
32.
violates the ban on waste mixing during the shipment of waste laid down
in Article 18 of Regulation (EC) No. 1013/2006.
33.
does not ensure take back of waste and recovery of take back
expenditures laid down in Articles 22, 23, 24 and 25 of Regulation (EC) No.
1013/2006.
34.
exports waste to a country that has prohibited import of such type of
waste pursuant to provisions of Article 34 paragraph 3 point a and Article 37
paragraph 1 sub-paragraph (II) point a of Regulation (EC) No. 1013/2006.
35.
violates the ban on export of waste from the Republic of Croatia laid down
in Articles 34, 36, 39 and 40 of Regulation (EC) No. 1013/2006.
36.
violates the ban on import of waste to the Republic of Croatia laid down in
Articles 41 and 43 of Regulation (EC) 1013/2006,
(2) For violation of acts stated in paragraph 1 of this Article, a fine to the amount of HRK
50,000 to 100,000 shall be imposed for an offence committed by responsible persons
within a legal person.
(3) For violation of acts stated in paragraph 1 of this Article, a fine to the amount of HRK
85,000 to 200,000 shall be imposed for an offence committed by a natural person craftsman.
(4) For violation of acts stated in paragraph 1, clauses 11 and 13 of this Article, a fine to
the amount of HRK 3,000 to 10,000 shall be imposed for an offence committed by a
natural person.
In accordance with Article 171 (1) number 21 – 34 of the SWMA a fine to the amount of HRK
100,000 to 300,000 shall be imposed for an offence committed by a legal person who
21.
Manual for enforcement
as waste importer or waste exporter that is not subject to notification
Page 90 procedure does not submit report on types and quantities of imported and exported
waste to the Environmental Protection Agency by 1 March of current year for the
previous calendar year (Article 121 paragraph 4)
22.
as waste importer or waste exporter that is not subject to notification
procedure does not submit information on shipment of waste to environmental
protection inspection 3 days prior to the shipment laid down in Annex VII of Regulation
(EC) 1013/2006 (Article 122 paragraph 2)
23.
does not keep records on shipment of waste that is not subject to
notification procedure for at least 3 years from the date the shipment started (Article
122 paragraph 3).
24.
as the notifier does not announce the shipment to competent authorities
of the country of dispatch and the country of destination 3 days prior to shipment
(Article 128 paragraph 1).
25.
as the notifier, when the transboundary movement of waste takes place
on border crossings between the Republic of Croatia and non-EU Member States,
does not announce the shipment to competent authorities laid down in Article 128
paragraph 1 of the SWMA and the entrance customs office to the Republic of Croatia
and/or exit from the Republic of Croatia, 3 days prior to shipment (Article 128
paragraph 2).
26.
as the notifier or consignee from Republic of Croatia does not submit to
the Ministry copies of the movement document and the certificate on acceptance of
waste by the consignee for each single shipment that is subject to notification
procedure (Article 129 paragraph 1)
27.
as the notifier or consignee from Republic of Croatia does not ensure
delivery of certificate of the final recovery/disposal for every single consented
transboundary shipment for waste that is subject to notification procedure to the
Ministry (Article 129 paragraph 2)
28.
as the notifier or consignee from Republic of Croatia does not inform the
Ministry that the consent laid down in Article 123 of this Act has not been utilised
(Article 129 paragraph 3).
29.
does not keep the documents for shipments of waste that is subject to
notification procedure at least for 3 years after the date of the shipment completion
(Article 129 paragraph 4).
30.
as the notifier and/or consignee from Republic of Croatia does not submit
report on types and quantities of imported and exported waste that is subject to
notification procedure to the Environmental Protection Agency by 1 March of current
year for the previous calendar year (Article 130 paragraph 1).
31.
does not inform the Ministry on change of data that were the basis for
granting the status of pre-consented facility and does not request updating of the
decision on the status within 15 days from the day of the change occurrence (Article
133 paragraph 1).
32.
does not submit report on types and quantities of imported waste for
which the pre-consented status was granted to the Environmental Protection Agency
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Page 91 by 1 March of current year for the previous calendar year (Article 133 paragraph 2).
33.
does not fill in, fill in incompletely or incorrectly the movement document
for transboundary shipment of waste that is subject to notification pursuant to Article
16 point a of Regulation (EC) No. 1013/2006.
34.
incorrectly or incompletely filled in Annex VII form of Regulation (EC) No.
1013/2006 in transboundary shipment of waste that is not subject to notification
procedure (Article 18 paragraph 1 of Regulation (EC) No. 1013/2006).
In accordance with Article 171 (2) – (3) of the SWMA different amount of fines are fixed for
responsible persons within a legal person, natural persons/craftsmen.
7.4
Repatriation or alternative treatment of illegal shipments
7.4.1
Introduction
Legal basis for these procedures (organization of repatriation or alternative treatment for
wastes which have been shipped illegally):
 Art 24 and 25 of the WSR
 Art 136 of the SWMA
The permit writers at the MENP are responsible to organize these measures from Croatian
side. Therefore the following must be clarified on basis of the information supplied by the
environmental protection inspectors to them or on basis of the information received from the
competent authority in the country of transit or destination, where the illegal shipment was
stopped:
 Who is the notifier / the person who has arranged the shipment respectively the
responsible person for the illegal shipment and from which location in which country did
the transport commence?
 Which kind of waste was shipped illegally (classification of the waste in accordance with
the European Waste Catalogue and in accordance with the Annexes III, IIIA, IIIB, IV and IVA
of the WSR)? In many cases the exact classification can only be done on basis of the
results of the waste analysis.
If available:
 What is the country of destination? Who is the consignee of the shipment?
 What kind of recovery or disposal operation in which facility was planned for the waste
transported?
This is the basic information necessary for organizing and performing repatriation of the waste
concerned.
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Page 92 If the information received is not sufficient to verify the responsibilities for the illegal shipment,
the companies involved should be asked to supply the missing information about the transport;
in such cases it can be helpful to ask the responsible competent authority to get in touch with
the person / company concerned, if the investigations concerns a person / company (notifier,
consignee, carrier etc.) outside of Croatia.
It should be mentioned that investigations in such cases should always be planned and
performed in cooperation with the prosecutors / police as illegal transboundary shipments of
waste can also constitute a criminal act in accordance with the Criminal Code. Therefore a good
and efficient cooperation with these authorities should be established and the way of
communication of such cases has to be agreed on.
In accordance with Art 24 WSR the take-back, recovery or disposal shall take place within
30 days, but another period can be agreed between the competent authorities concerned; this
will be necessary, if further time-consuming investigations are necessary (this fits especially in
cases where the waste shipped illegally has already been stored in the country of destination /
delivered to the consignee).
The form Annex G 2 of IMPEL/TFS (see Annex 0) could be used in the course of organization
of repatriation.
7.4.2
Responsibility for illegal shipments of waste
In accordance with Art 24 (2), (3) and (5) of the WSR the further procedures depend on the
responsibility for the illegal shipment. There are three possibilities described in the following
subchapters.
7.4.2.1 Illegal shipments of waste under responsibility of the notifier (Art 24 (2) of the
WSR; definition of the notifier see Art 2 (15) of the WSR)
The ranking fixed in Art 2 (15) of the WSR is also relevant in case of illegal transboundary
shipments of waste; that means the persons listed in Art 2 (15) are also obliged to take back
illegal shipments, if they are responsible. At least it is the obligation of the competent authority
of dispatch to care for take back of the waste by the notifier. If this is impracticable for any
reasons the waste is to be taken back by the competent authority of dispatch itself (see Art 24
(2) lit (a), (b) and (c)) of the WSR. It can also be agreed on an alternative treatment in the
country of destination or in another country.
In case of shipments of wastes of Annexes III, IIIA or IIIB accompanied by the documentation in
accordance with Art 18 of the WSR the so called person who arranges the shipment is subject
to the same obligations in accordance with Art 24 of the WSR as the notifier (see Art 24 (9) of
the WSR).
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Page 93 7.4.2.2 Illegal shipments under responsibility of the consignee (Art 24 (3) of the WSR;
definition of the consignee see Art 2 (14) of the WSR)
In case of the responsibility of the consignee for the illegal shipment a take back operation does
not take place. The competent authority of destination is responsible to ensure the recovery or
disposal of the waste in an environmental sound manner.
7.4.2.3 Cases where the responsibility for the illegal shipment cannot be imputed to
either the notifier or the consignee
In this case the authorities have to agree on a case by case basis on the further steps.
Ad 7.4.2.1 - Illegal shipments under responsibility of the notifier
In general there are three possibilities of illegal shipments which could become subject of
repatriation (alternative treatment in Croatia):
I.
A transboundary shipment of waste from another member state or from a third country
destined for treatment in Croatia requiring notification (waste of Annexes IV, IVA of WSR
destined for recovery) or which is prohibited (import of hazardous waste, mixed municipal
waste and incineration residues of mixed municipal waste for the disposal and import of
mixed municipal waste for energy purposes, see Art 120 (1), (2) of the SWMA) is stopped
on Croatian territory (illegal shipment / import to Croatia, stopped in Croatia)
II. A transboundary shipment of waste from another member state or from a third country
destined for treatment in another country inside or outside the EU requiring notification or
which is prohibited is stopped on Croatian territory (illegal shipment (transit) through
Croatia, stopped in Croatia)
III. A transboundary shipment of waste from Croatia requiring notification or which is prohibited
is stopped in another state (transit state or country of destination; illegal shipment / export
from Croatia, stopped in a transit country or the country of destination)
In all of these cases the repatriation of the shipment to the country of dispatch shall be
arranged by the competent authority of dispatch:
 if the illegal shipment is the responsibility of the notifier and
 if the competent authorities do not agree on an alternative treatment of the waste.
Steps to be taken in cases I and II (see above):
Step 1:
The responsible environmental protection inspector sends all relevant documentation that
means
 copy of the complete documentation, which has accompanied the transport
 any statements of the companies / persons involved, if applicable
 photos of the waste and of the means of transport
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Page 94  copy of the report / information with a detailed description of the case including the filled
in waste transport inspection form and the results of analysis, if available (see Annex
9.28 of this manual)
by e-mail to the permit writers at MENP.
Step 2:
The authorized customs official / the environmental protection inspector arranges for
temporarily keeping (storage) of the waste and makes a rule that this and other shipments
are prohibited for the person subjected to inspection for carrying out transboundary
movement of waste; if necessary, further measures can be set (see above chapter 7.1.1.2);
Step 3:
The permit writers at MENP shall immediately inform all other competent authorities
concerned on the case by e-mail in accordance with Art 24 (1) of the WSR. The relevant
documentation on the case (see above) shall be enclosed to the e-mail.
The MENP can state at the same time that from its point of view a duly reasoned request by
the initial competent authority of dispatch would be a sufficient basis for organizing the
repatriation of the waste (the other option is that a new notification is to be submitted by the
initial competent authority of dispatch, see Art 24 (2) and (4) of the WSR). In this case the
initial competent authority of dispatch should be requested to supply a copy of the new
movement document in accordance with Art 24 (4) of the WSR together with the duly
reasoned request in accordance with Art 24 (2) of the WSR.
If possible, the approval in accordance with Art 136 of the SWMA can already be added to
this e-mail, too. It should be stressed in this approval, that it is only valid under the condition,
that none of the other competent authorities opposes or objects to the return of the waste of
this illegal shipment.
Remark: In accordance with Art 24 (2) of the WSR no competent authority shall oppose or
object to the return of waste of an illegal shipment under the responsibility of the notifier.
Therefore an objection by other authorities is only possible, if the responsibility for the illegal
shipment is not proofed, that means that e.g. the consignee could be held responsible for the
illegal shipment (see Art 24 (3) of the WSR) or the responsibility for the illegal shipment
cannot be imputed to either the notifier or the consignee (see Art 24 (5) of the WSR).
Step 4:
When all competent authorities concerned have agreed on the take back of the shipment, the
environmental protection inspector and the customs administration shall be informed,
that the repatriation may commence.
The movement document and a copy of the approval of the MENP and copies of other
consents shall accompany the transport.
On basis of a case by case decision it should be decided if it is necessary to accompany the
shipment to be repatriated by customs or police.
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Page 95 Steps to be taken in case III (see above - illegal shipment/export from Croatia) by the
MENP:
Step 1:
After receipt of the information on the illegal shipment the permit writers at MENP shall
immediately check if the documentation supplied is proofing that the illegal shipment really
originated in Croatia, and if the illegal shipment is the sole responsibility of the notifier.
Step 2:
In case that the illegal shipment is to be repatriated to Croatia, it must be decided, if the
waste may go back to the notifier or if it has to be arranged for an alternative treatment.
If there are no possibilities for a(n) (alternative) treatment in Croatia, there is always the
option to request the competent authority of destination for an alternative treatment, if
possible, or to arrange the shipment of the waste to another member state.
If the waste is repatriated to Croatia it must be decided on case by case basis if it is
necessary to accompany the shipment by police or customs to its final destination.
Step 3:
In any case the arrival of the shipment at the place of destination should be checked by the
environmental protection inspectors, and they should also take a look at the waste
transported, even if they have received all necessary documentary information.
Step 4:
Monitoring of the recovery or disposal of the waste (permit writers); issuance of the certificate
of recovery or disposal under block 19 of the movement document and sending away this
certificate to the other competent authorities concerned.
Alternative recovery or disposal:
The competent authorities concerned can always agree on an alternative recovery or
disposal of the waste concerned in the country of destination or in another country. This
procedure is recommendable, if no recovery or disposal facilities for such a waste exits in the
country of dispatch. The competent authority of dispatch is responsible for making all
necessary arrangements in this context. It can also ask a natural or legal person to act on its
behalf in the country of destination, in many cases the authority in the country of destination is
requested to act on behalf of the competent authority of dispatch, if the wastes are treated in the
country of destination.
Ad 7.4.2.2 - Illegal shipments under responsibility of the consignee
The cases of a sole responsibility of the consignee for the illegal shipment of waste are rarer
than the cases of illegal shipments under responsibility of the notifier.
Anyway if such shipments take place the competent authority in the country of destination
is responsible to care for the recovery or disposal of the waste in question in an environmentally
sound manner.
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Page 96 Example for such cases:
 The notifier has notified the shipment of the waste and he has received the consents of all
competent authorities concerned. The notifier arranges the shipments in accordance with
the conditions of the WSR and also announces every single shipment minimum three day in
advance to the competent authorities concerned and to the consignee. The consignee takes
over the waste and is paid therefore by the notifier as agreed, but in fact he / she does not
recover the waste in an environmentally sound manner as foreseen in the notification, but
dumps it illegally on a landfill site.
Ad 7.4.2.3 - cases where the responsibility for the illegal shipment cannot be imputed to
either the notifier or the consignee
In many cases the competent authorities have to bear the costs for the waste treatment as
persons responsible for the illegal shipment get illiquid.
If consignees take over illegal transboundary waste shipments for a long time not asking for
documentation and not issuing the confirmation of receipt and the certificate of disposal /
recovery on the movement document and not supplying it to the competent authorities it is often
argued by the competent authorities of dispatch, that this practice causes a shared
responsibility for the illegal shipment. In such cases it can last a long time to find a bilateral
agreement. At least also in such cases it is recommendable to find a common way of
understanding.
7.4.3
Costs for take-back when a shipment is illegal
The rules for bearing the costs for illegal shipments are fixed in Art 25 of the WSR.
7.4.3.1 Illegal shipments under responsibility of the notifier
Costs in this context are costs arising from take-back of the waste, including costs for its
transport
recovery or disposal
storage costs pursuant to Art 24 (7) of WSR
These costs shall be charged to notifier (notifier de facto, if a notification really exists and
notifier de iure, if a notification does not exist).
If this is impracticable, the competent authority of dispatch has to bear the costs.
7.4.3.2 Illegal shipments under responsibility of the consignee
Costs for the
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Page 97 recovery or disposal
storage costs pursuant to Art 24 (7) of WSR
shall be charged to the consignee or if this is impracticable, to the competent authority of
destination.
7.4.3.3 Cases where the responsibility for the illegal shipment cannot be imputed to
either the notifier or the consignee
Costs for the
transport
recovery or disposal
storage costs pursuant to Art 24 (7) of WSR
shall be charged to the notifier and / or the consignee or other persons as appropriate or to
the competent authorities of dispatch and destination.
In such cases it is always a case to case decision whom to charge which percentage of the
costs to be agreed on by the authorities in the country of dispatch and destination.
7.5
Other steps / measures to be taken
It is the responsibility of all competent authorities concerned to set any possible steps to
avoid illegal shipments by the companies involved in the future.
The environmental protection inspectors in Croatia should set the following steps:
 Depending on the case the number of unannounced inspections at the companies
involved by the environmental protection inspectors should be raised up immediately, for
example a company inspection every half a year.
 The bilateral cooperation with the other competent authority concerned in the country of
dispatch or destination should be intensified, arranged inspections at the notifier and the
consignee can take place.
 As always the documentation of the case shall be kept in evidence.
 Follow the procedures at the Misdemeanour Court or Criminal Court in order to evaluate
if the documentation of the case and the report was prepared in the right way.
 Communicate the relevant information on the case and the results at court and also on
possible mistakes which have been made to the other environmental protection inspectors.
 Arrange inspections at other facilities or collectors generating or dealing with similar
waste streams; be aware of the fact that if one company can gain profit with such illegal
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Page 98 shipments also other companies in this branch could have the same idea.
 Inform the customs administration and the police on the case and the transporting routes
used in order to strengthen the inspections on the routes concerned.
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Page 99 8 Measures for strengthening the enforcement
8.1
Training of staff and other measures – general
It is highly recommended to perform regular training programs for all authorities involved in
inspections of transboundary shipments of waste.
A training program could include the following skills (of course depending on the job
description / tasks of the inspector):
 Administrative skills for the assessment of waste shipment documentation, inspection
reporting, following pre-determined procedures, etc.;
 Technical skills for the assessment of individual waste stream threats;
 Classification of materials as waste or by-product;
 Basic skills and intelligence approach towards criminal investigations;
 Basic information on sampling, analysis;
 Legal skills necessary to proceed with enforcement action;
 Data management skills to store and interrogate data (including from other relevant
institutions);
 Information technology skills;
 Communication skills to communicate with industry, present enforcement action to the
public and provide evidence in a court of law;
 Management skills to ensure a high quality and effective inspection, including planning
skills.
8.2
Training-program for mobile units of customs and police concerning
inspections of transboundary shipments of waste
The mobile units of customs (currently approximately 200 customs officials) and police
(currently approximately 50 police officials) are responsible for inspections of transboundary
shipments of waste. Therefore these units are to be trained to enable them to fulfil their duties in
this context in an adequate way.
The trainings shall be performed in mixed groups with 20 to 30 participants at the regional
customs education centres.
Environmental protection inspectors and the permit writers shall act as trainers.
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Page 100 8.2.1
Basic training
The basic trainings should start in January 2014.
Venues: Regional customs education centres
Duration of the basic training: 3 days theoretical and one day practical training for each group
(9 x 3 days training)
Program of basic training:
Day 1:
Presentation 1
Relevant laws, regulations, guidelines; definition of waste /
definition of by – products; differentiation between waste and (by -)
products on basis of examples
Presentation 2
EU end of waste regulations:
o
Council Regulation (EU) No 333/2011 of 31 March 2011
establishing criteria determining when certain types of scrap
metal cease to be waste under Directive on waste 2008/98/EC
of the European Parliament and of the Council
o
Commission Regulation (EU) No 1179/2012 of 10 December
2012 establishing criteria determining when glass cullet ceases
to be waste under Directive on waste 2008/98/EC of the
European Parliament and of the Council
o
Commission Regulation (EU) No 715/2013 of 25 July 2013
establishing criteria determining when copper scrap ceases to
be waste under Directive on waste 2008/98/EC of the
European Parliament and of the Council
Presentation 3
Recovery and disposal operations
Presentation 4
The waste lists: EWC, Annexes to Regulation 1013/2006 (III, IIIA,
IIIB, IV)
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Page 101 Discussion of practical examples concerning classification
(pictures, case studies)
Day 2:
Presentation 1
The Notification Procedure
Presentation 2
Monitoring of transboundary shipments of waste
Presentation 3
Shipments between Member States / Import / Export / Transit /
accompanying documents
Presentation 4
Illegal shipments / measures and fines in case of illegal shipments
Presentation 5
Discussion of practical examples concerning classification
(pictures, case studies)
Presentation 6
Repatriation or alternative treatment of illegal shipments /
cooperation with other authorities / storage and costs
Practical examples (case studies)
Day 3:
Presentation 1
Inspections of transboundary shipments of waste – general
introduction
Presentation 2
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Page 102 Inspection at borders to other Member States, in – country
inspections
Presentation 3
Inspections at borders to non-member states
Presentation 4
Inspections at harbours
Presentation 5
Inspections at railway stations
Presentation 6
(Safety) equipment for inspections
Presentation 7
Organizational issues concerning inspections
Practical examples (case studies)
Day 4:
Practical training
Inspection at borders / visits to companies
8.2.2
Further Trainings
Some months after the basic training questionnaires shall be distributed to the participants in
the basic training. On basis of this questionnaire further training needs shall be found out.
The next trainings for these groups shall take place approximately one year after the first
training.
Depending on the answers of the stakeholders in the questionnaire a program shall be
elaborated for these trainings, which should have duration of one day theoretical training incl.
round table and one day practical training at each training location.
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Page 103 8.2.3
Proposed questionnaire
Age of the police or customs official
o
o
o
o
o
20 to 30
30 to 40
40 to 50
50 to 60
above 60
o
o
Yes
No
Years of experience
Participation in trainings concerning
transboundary shipments of waste
Remarks:
Participation in special inspections of
transboundary shipments of waste
o
o
Yes
No
Remarks:
Participation in common inspections also
covering transboundary shipments of waste
o
o
Yes
No
Remarks:
Any infringements / illegal shipments
detected
o
o
Yes
No
Remarks:
Problems encountered
o
o
Yes
No
Remarks:
Cooperation with permit writers at the MENP:
o
o
o
o
o
Very good
Good
Satisfying
Poor
No cooperation
Remarks:
Cooperation with environmental protection
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o
Very good
Page 104 inspectors at the MENP:
o
o
o
o
Good
Satisfying
Poor
No cooperation
Remarks:
Cooperation with police (if you are a customs
official):
o
o
o
o
o
Very good
Good
Satisfying
Poor
No cooperation
Remarks:
Cooperation with Customs (if you are a police
official):
o
o
o
o
o
Very good
Good
Satisfying
Poor
No cooperation
Remarks:
Training needs:
Manual for enforcement
o
o
o
o
o
Waste classification
Notification procedure
Rights of police / customs
Cooperation with other authorities
Others, please specify:
Page 105 9 Annexes, forms and specimen
Manual for enforcement
Page 106 9.1
Template Annex IA
Manual for enforcement
Page 107 Manual for enforcement
Page 108 9.2
Template Annex 1B
Manual for enforcement
Page 109 Manual for enforcement
Page 110 9.3
Template notification contract (general)
Notification no.
CONTRACT
pursuant to Art 5 of the Regulation (EC) No 1013/2006 of the European Parliament and of the Council of 14 June 2006 on
shipments of waste (EC Waste Shipment Regulation)
Subject of this contract is the transboundary shipment of
Amount of the waste in tons (Mg) or m3
Designation and composition of the waste
Code(s) according to EU list of wastes
Code according to Annex III, IIIA, IIIB, IV or IVA of EC Shipment Regulation
1
destined for recovery / disposal .
This contract is valid until all certificates to be issued by the facility and referred to in Art. 16 (e) of the EC Waste Shipment
1
Regulation, confirming the completion of the waste recovery / disposal under its responsibility, have been received.
This contract includes the obligation,
1)
on the notifier
Name and address of 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);
2)
on the consignee
Name and address of the consignee
to recover or dispose
(1)
of the waste if it has been effected as an illegal shipment, in accordance with Article 24 (3); and;
1
Please delete as appropriate
Manual for enforcement
Page 111 3)
on the facility
Name and address of the facility
2
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 the EC Waste Shipment Regulation.
Name of the notifier
(company´s stamp):
Name of the consignee
(company´s stamp):
Name of the facility
(company´s stamp):
Date:
Date:
Date:
Signature:
Signature:
Signature:
2
Please delete as appropriate
Manual for enforcement
Page 112 9.4
Template contract interim recovery or disposal
Notification no.
CONTRACT
pursuant to Art 5 of the Regulation (EC) No 1013/2006 of the European Parliament and of the Council of 14 June 2006 on
shipments of waste (EC Waste Shipment Regulation)
Subject of this contract is the transboundary shipment of
Amount of the waste in tons (Mg) or m3
Designation and composition of the waste
Code(s) according to EU list of wastes
Code according to Annex III, IIIA, IIIB, IV or IVA of EC Shipment Regulation
3
destined for interim recovery / disposal .
This contract is valid until all certificates to be issued by the facility and referred to in Art. 15 (d) and where appropriate (if the
4
subsequent non-interim recovery or disposal operation takes place in the country of destination) 15 (e) of the EC Waste Shipment
Regulation, confirming the completion of the waste recovery / disposal under its responsibility, have been received.
This contract includes the obligation,
1)
on the notifier
Name and address of 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);
2)
on the consignee
Name and address of the consignee
a.
to recover or dispose of the waste if it has been effected as an illegal shipment, in accordance with Article 24 (3); and;
3
4
Please delete as appropriate
Please delete, if the subsequent non-interim recovery or disposal does not take place in a facility located in the country of destination.
Manual for enforcement
Page 113 b.
4)
5
to submit a new notification to the competent authority of the initial country of dispatch in accordance with Art. 5 para. 4
(b) in conjunction with Art. 15 (f);
on the facility which carries out the interim recovery or disposal operation
Name and address of the facility which carries out the interim recovery or disposal operation
a.
to certify, in accordance with Art. 15 (d), that the interim recovery or disposal has been completed and to send signed
copies of the movement document containing this certification (box 19 of the movement document) to the notifier and to
the competent authorities concerned as soon as possible but no later than 30 days after completion of recovery or
disposal, and no later than one calendar year following the receipt of the waste.
b.
to provide, in accordance with Article 15 (e), a certificate of the facility which carries out the subsequent non-interim
recovery or disposal operation
Name and address of the facility which carries out the non-interim recovery or disposal operation
6
that the waste has been recovered or disposed of, in accordance with the notification and the conditions specified
therein and the requirements of the EC Waste Shipment Regulation (the notification number as well as the serial
7
number(s) of the shipment(s) have to be specified) .
Name of the notifier
(company´s stamp):
Name of the consignee
(company´s stamp):
Name of the facility
(company´s stamp):
Date:
Date:
Date:
Signature:
Signature:
Signature:
5
6
7
Only applicable, if the subsequent non-interim recovery or disposal does not take place in the country of destination
Please delete as appropriate
Not applicable, if the subsequent non-interim recovery or disposal does not take place in the country of destination
Manual for enforcement
Page 114 9.5
Template contract interim recovery or disposal & subsequent non-interim
recovery or disposal
Notification no.
CONTRACT
pursuant to Art 5 of the Regulation (EC) No 1013/2006 of the European Parliament and of the Council of 14 June 2006 on
shipments of waste (EC Waste Shipment Regulation)
Subject of this contract is the transboundary shipment of
Amount of the waste in tons (Mg) or m3
Designation and composition of the waste
Code(s) according to EU list of wastes
Code according to Annex III, IIIA, IIIB, IV or IVA of EC Shipment Regulation
8
destined for interim recovery / disposal and subsequent non-interim recovery /disposal.
This contract is valid until all certificates to be issued by the facility and referred to in Art. 15 (d) and where appropriate (if the
9
subsequent non-interim recovery or disposal operation takes place in the country of destination) 15 (e) of the EC Waste Shipment
Regulation, confirming the completion of the waste recovery / disposal
(1)
under its responsibility, have been received.
This contract includes the obligation,
1)
on the notifier
Name and address of 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);
2)
on the consignee
8
9
Please delete as appropriate
Please delete, if the subsequent non-interim recovery or disposal does not take place in a facility located in the country of destination.
Manual for enforcement
Page 115 Name and address of the consignee
3)
a.
to recover or dispose of the waste if it has been effected as an illegal shipment, in accordance with Article 24 (3); and;
b.
to submit a new notification to the initial competent authority of the initial country of dispatch in accordance with Art. 5
para. 4 (b) in conjunction with Art. 15 (f);
10
on the facility which carries out the interim recovery or disposal operation
Name and address of the facility which carries out the interim recovery or disposal operation
4)
a.
to certify, in accordance with Art. 15 (d), that the interim recovery or disposal has been completed and to send signed
copies of the movement document containing this certification (box 19 of the movement document) to the notifier and to
the competent authorities concerned as soon as possible but no later than 30 days after completion of recovery or
disposal, and no later than one calendar year following the receipt of the waste;
b.
to provide, in accordance with Article 15 (e), a certificate of the facility mentioned in 4) that the waste has been recovered
11
or disposed of, in accordance with the notification and the conditions specified therein and the requirements of the EC
Waste Shipment Regulation;
on the facility which carries out the subsequent non-interim recovery or disposal operation
Name and address of the facility which carries out the non-interim recovery or disposal operation
to provide, in accordance with Article 15 (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 the EC Waste Shipment Regulation (the
12
notification number as well as the serial number(s) of the shipment(s) have to be specified) and send this certificate to the
facility mentioned in 3).
Name of the notifier
(company´s stamp):
Name of the consignee
(company´s stamp):
Date:
Date:
Signature:
Signature:
Name of the interim facility
(company´s stamp):
Name of the non-interim facility
(company´s stamp):
Date:
Date:
Signature:
Signature:
10
11
12
Only applicable, if the subsequent non-interim recovery or disposal does not take place in the country of destination
Please delete as appropriate
Not applicable, if the subsequent non-interim recovery or disposal does not take place in the country of destination
Manual for enforcement
Page 116 9.6
Template contract export for disposal
Notification no.
CONTRACT
pursuant to Art 5 in conjunction with Art 35 para 3 (f) of the Regulation (EC) No 1013/2006 of the European Parliament and of the
Council of 14 June 2006 on shipments of waste (EC Waste Shipment Regulation)
Subject of this contract is the export of
Amount of the waste in tons (Mg) or m3
Designation and composition of the waste
Code(s) according to EU list of wastes
Code according to Annex III, IIIA, IIIB, IV or IVA of EC Shipment Regulation
destined for disposal.
This contract is valid until all certificates to be issued by the facility and referred to in Art. 16 (e) of the EC Waste Shipment
Regulation, confirming the completion of the waste disposal under its responsibility, have been received.
This contract includes the obligation,
1)
on the notifier
Name and address of the notifier
to take the waste back if the shipment or the 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);
2)
on the consignee
Name and address of the consignee
3)
a.
to recover or dispose of the waste if it has been effected as an illegal shipment, in accordance with Article 24 (3); and;
b.
to 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, if a facility issues an incorrect
certificate of disposal with the consequence that the financial guarantee is released;
on the facility
Manual for enforcement
Page 117 Name and address of the facility
a.
to send signed copies of the completed movement document, except for the certificate of disposal (box 19 of the
movement document) to the notifier and the competent authorities concerned within three days of receipt of the waste for
disposal;
b.
to certify that the disposal has been completed and to send signed copies of the movement document containing this
certification (box 19 of the movement document) to the notifier and to the competent authorities concerned 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.
Name of the notifier
(company´s stamp):
Name of the consignee
(company´s stamp):
Name of the facility
(company´s stamp):
Date:
Date:
Date:
Signature:
Signature:
Signature:
Manual for enforcement
Page 118 9.7
Template contract export for recovery (waste listed in Annex IV and IVA of WSR)
Notification no.
CONTRACT
pursuant to Art 5 in conjunction with Art 38 para 3 (e) of the Regulation (EC) No 1013/2006 of the European Parliament and of the
Council of 14 June 2006 on shipments of waste (EC Waste Shipment Regulation)
Subject of this contract is the export of
Amount of the waste in tons (Mg) or m3
Designation and composition of the waste
Code(s) according to EU list of wastes
Code according to Annex IV or IVA of EC Shipment Regulation
destined for recovery.
This contract is valid until all certificates to be issued by the facility and referred to in Art. 16 (e) of the EC Waste Shipment
Regulation, confirming the completion of the waste recovery under its responsibility, have been received.
This contract includes the obligation,
1)
on the notifier
Name and address of the notifier
to take the waste back if the shipment or the recovery 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);
2)
on the consignee
Name and address of the consignee
3)
a.
to recover or dispose of the waste if it has been effected as an illegal shipment, in accordance with Article 24 (3); and;
b.
to 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 in an alternative and environmentally sound manner, if a facility issues an incorrect certificate of
recovery with the consequence that the financial guarantee is released;
on the facility
Manual for enforcement
Page 119 Name and address of the facility
a.
to send signed copies of the completed movement document, except for the certificate of recovery (box 19 of the
movement document) to the notifier and the competent authorities concerned within three days of receipt of the waste for
recovery;
b.
to certify that the recovery has been completed and to send signed copies of the movement document containing this
certification (box 19 of the movement document) to the notifier and to the competent authorities concerned 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.
Name of the notifier
(company´s stamp):
Name of the consignee
(company´s stamp):
Name of the facility
(company´s stamp):
Date:
Date:
Date:
Signature:
Signature:
Signature:
Manual for enforcement
Page 120 9.8
Template contract export of green listed waste to non-OECD Decision countries
(prior written notification)
Notification no.
CONTRACT
pursuant to Art 37 in conjunction with Art 5 and Art 35 para 3 (f) of the Regulation (EC) No 1013/2006 of the European Parliament
and of the Council of 14 June 2006 on shipments of waste (EC Waste Shipment Regulation)
Subject of this contract is the export of
Amount of the waste in tons (Mg) or m3
Designation and composition of the waste
Code(s) according to EU list of wastes
Code according to Annex III, IIIA or IIIB of EC Shipment Regulation
destined for recovery in a non-OECD Decision country.
This contract is valid until all certificates to be issued by the facility and referred to in Art. 16 (e) of the EC Waste Shipment
Regulation, confirming the completion of the waste recovery under its responsibility, have been received.
This contract includes the obligation,
1)
on the notifier
Name and address of the notifier
to take the waste back if the shipment or the recovery 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);
2)
on the consignee
Name and address of the consignee
a.
to recover the waste if it has been effected as an illegal shipment, in accordance with Article 24 (3); and;
b.
to 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 in an alternative and environmentally sound manner, if a facility issues an incorrect certificate of
recovery with the consequence that the financial guarantee is released;
Manual for enforcement
Page 121 3)
on the facility
Name and address of the facility
a.
to send signed copies of the completed movement document, except for the certificate of recovery (box 19 of the
movement document) to the notifier and the competent authorities concerned within three days of receipt of the waste for
recovery;
b.
to certify that the recovery has been completed and to send signed copies of the movement document containing this
certification (box 19 of the movement document) to the notifier and to the competent authorities concerned 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.
Name of the notifier
(company´s stamp):
Name of the consignee
(company´s stamp):
Name of the facility
(company´s stamp):
Date:
Date:
Date:
Signature:
Signature:
Signature:
Manual for enforcement
Page 122 9.9
Template financial guarantee
Ministry of Environmental and Nature Protection
Ulica Republike Austrije 14
10000 Zagreb
Notification No.
LETTER of GUARANTEE to Notification No.
This Guarantee of Payment commissioned on behalf of
1, 2
Name and address of the commissioner
for the notifier
Name and address of the notifier
in favour of the Ministry of Environmental and Nature Protection serves for securing payments in accordance with Article 6 of the
Regulation (EC) No. 1013/2006 of the European Parliament and of the Council dated 14 June 2006 on shipments of waste (EC
Waste Shipment Regulation).
In accordance with the Regulation mentioned above
Name of the financial institution
takes over all liabilities towards the Ministry of Environmental and Nature Protection which were incurred by the notifier regarding
the shipment of waste
according to the following code(s) of the European Waste Catalogue (EWC):
Code(s) according to the European Waste Catalogue (EWC))
and the following code according to the EC Waste Shipment Regulation:
Code according to annex III, IIIA, IIIB, IVA or IVB of the EC Waste Shipment Regulation
to the facility
Name and address of the facility which carries out the recovery / disposal of the waste
up to a maximum amount of -------------------------------------------------------------------------------------------------------------1)
Only fill in, if commissioner and notifier are not the same person
Manual for enforcement
Page 123 2)
Please delete if not appropriate
Currency and amount
According to that
Name of the financial institution
commits itself to transfer the sum mentioned above within three days after receipt of the written request by the Ministry of
Environmental and Nature Protection waiving from any demurs and without examining the legal relationship. The payment of the
sum requested shall be effected by means of bank transfer to the account of the requesting office. Payment by cash shall not be
accepted.
This guarantee may only be called upon following a corresponding written request by the Ministry of Environmental and Nature
Protection bearing the seal and the account number as well as the bank, to which the transfer shall be made.
The
Name of the court of jurisdiction
is the respective court of jurisdiction for any legal disputes which may arise from this contractual relationship.
This guarantee obligation shall be valid until the original document of this Letter of Guarantee is returned by the Ministry of
Environmental and Nature Protection or until a confirmation by the Ministry of Environmental and Nature Protection is available in
which the authority confirms that the guarantee will no longer be used.
Date, seal an signature of the financial institute
Manual for enforcement
Page 124 9.10
Template confirmation release of financial guarantee (interim recovery/disposal)
Notification No.
Confirmation concerning release of the financial guarantee
regarding interim recovery/disposal operations
The
Name and address of the competent authority
acting as competent authority of dispatch confirms that the financial guarantee provided by the notifier for the
Notification No
will be released only after having received all certificates referred to in Art 15 (e) of the Regulation (EC) 1013/2006 on
shipments of waste.
Name and seal of the competent authority:
Date:
Signature:
Manual for enforcement
Page 125 9.11
Template authorization for broker / dealer
Notification No.
Authorisation
in accordance with Art 2 para 15 (a) iv) and v) of the Regulation (EC) No 1013/2006
The original producer / licensed new producer / licensed collector
13
Name and address
represented by:
Name of the representative
authorises
the registered dealer / registered broker
1
Name and address of the dealer / broker
represented by:
Name of the representative
to act on his/her behalf as notifier.
In circumstances of illegal shipment or if the authorised person fail to fulfil any of the take-back obligations set out in Articles 22 to
25, the original producer, new producer or licensed collector respectively who authorized that dealer or broker to act on his/her
behalf shall be deemed to be the notifier for the purposes of the EC Waste Shipment Regulation.
Name of producer / collector
(company`s stamp):
Name of dealer / broker
(company`s stamp):
Date:
Date:
Signature:
Signature:
13
Please delete as appropriate
Manual for enforcement
Page 126 9.12
Template Annex VII
ANNEX VII
INFORMATION ACCOMPANYING SHIPMENTS OF WASTE AS REFERRED TO IN ARTICLE 3(2) AND (4)
Consignment information14
1. Person who arranges the shipment:
2. Importer/consignee:
Name:
Name:
Address:
Address:
Contact person:
Contact person:
Fax:
Tel.:
E-mail:
3. Actual quantity:
Fax:
Tel.:
E-mail:
m3:
Tonnes (Mg):
4. Actual date of shipment:
5 a) First carrier (15):
5 b) Second carrier:
5 c) Third carrier:
Name:
Name:
Name:
Address:
Address:
Address:
Contact person:
Contact person:
Contact person:
Tel.:
Tel.:
Tel.:
Fax:
Fax:
Fax:
E-mail:
E-mail:
E-mail:
Means of transport:
Means of transport:
Means of transport:
Date of transfer:
Date of transfer:
Date of transfer:
Signature:
Signature:
Signature:
6. Waste generator (16):
8. Recovery operation (or if appropriate disposal operation in the case
of waste referred to in Article 3(4)):
Original producer(s), new producer(s) or collector:
R-code/D-code:
Name:
Address:
9. Usual description of the waste:
Contact person:
Tel.:
Fax:
E-mail:
14 Information accompanying shipments of green listed waste and destined for recovery or waste destined for laboratory analysis pursuant to Regulation (EC) No. 1013/2006.
For completing this document, see also the corresponding specific instructions as contained in Annex IC of Regulation (EC) No 1013/2006.
15 If more than three carriers, attach information as required in blocks 5 (a), (b) and (c).
16 When the person who arranges the shipment is not the producer or collector, information about the producer or collector shall be provided.
Manual for enforcement
Page 127 7. Recovery facility
Laboratory
10. Waste identification (fill in relevant codes):
Name:
i) Basel Annex IX:
Address:
ii) OECD (if different from (i)):
iii) Annex IIIA: (17)
iv) Annex IIIB: (18)
Contact person:
Fax:
Tel.:
v) EC list of wastes:
E-mail:
vi) National code:
11. Countries/states concerned:
Export/dispatch
Transit
Import/destination
12. Declaration of the person who arranges the shipment: I certify that the above information is complete and correct to my best knowledge. I also certify
that effective written contractual obligations have been entered into with the consignee (not required in the case of waste referred to in Article 3(4)):
Date:
Name:
Signature:
13. Signature upon receipt of the waste by the consignee:
Date:
Name:
Signature:
TO BE COMPLETED BY THE RECOVERY FACILITY OR BY THE LABORATORY:
14. Shipment received at recovery facility
Name:
or laboratory
Date:
Quantity received:
Tonnes (Mg):
m3:
Signature:
(17) The relevant code(s) as indicated in Annex IIIA to Regulation (EC) No. 1013/2006 are to be used, as appropriate in sequence. Certain Basel entries such as B1100, B3010 and B3020 are restricted to
particular waste streams only, as indicated in Annex IIIA.
(18) The BEU codes listed in Annex IIIB to Regulation (EC) No. 1013/2006 are to be used.
Manual for enforcement
Page 128 9.13
Template contract Annex VII
Notification no.
CONTRACT
pursuant to Art 18 para 2 of the Regulation (EC) No 1013/2006 of the European Parliament and of the Council of 14 June 2006 on
shipments of waste (EC Waste Shipment Regulation)
Subject of this contract is the transboundary shipment of
Amount of the waste in tons (Mg) or m3
Designation and composition of the waste
Code(s) according to EU list of wastes
Code according to Annex III, IIIA or IIIB of EC Shipment Regulation
destined for recovery.
This contract includes the obligation,
1)
on the person who arranges the shipment
Name and address of the person who arranges the shipment
2)
a.
to provide a copy of this contract upon request by the competent authorities concerned;
b.
to take the waste back or ensure its recovery in an alternative way and provide, if necessary, for its storage in the
meantime, 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 consignee
Name and address of the consignee
a.
to provide a copy of this contract upon request by the competent authorities concerned;
b.
to take the waste back or ensure its recovery in an alternative way and provide, if necessary, for its storage in the
meantime, where the shipment of waste or its recovery cannot be completed as intended or where it has been effected
as an illegal shipment, where the person who arranges the shipment is not in a position to complete the shipment of
waste or its recovery (for example, is insolvent).
Name of the person who arranges
the shipment
(company´s stamp):
Name of the consignee
(company´s stamp):
Date:
Date:
Signature:
Signature:
Manual for enforcement
Page 129 Manual for enforcement
Page 130 9.14
Example for a statement of conformity with the end-of-waste criteria (glass cullet)
Manual for enforcement
Page 131 9.15
Consolidated waste lists
9.15.1 Consolidated Annex III of WSR
Consolidated Annex III
Regardless of whether or not wastes are included on this list, they may not be subject to the
general information requirements laid down in Article 18 if they are contaminated by other
materials to an extent which
(a) increases the risks associated with the wastes sufficiently to render them appropriate for
submission to the procedure of prior written notification and consent, when taking into
account the hazardous characteristics listed in Annex III to Directive 91/689/EEC on
hazardous waste; or
(b) prevents the recovery of the wastes in an environmentally sound manner.
B1
METAL AND METAL BEARING WASTES
B1010
Metal and metal-alloy wastes in metallic, non-dispersible form:
-
Precious metals (gold, silver, the platinum group, but not mercury)
-
Iron and steel scrap
-
Copper scrap
-
Nickel scrap
-
Aluminium scrap
-
Zinc scrap
-
Tin scrap
-
Tungsten scrap
-
Molybdenum scrap
-
Tantalum scrap
-
Magnesium scrap
-
Cobalt scrap
-
Bismuth scrap
-
Titanium scrap
-
Zirconium scrap
-
Manganese scrap
-
Germanium scrap
-
Vanadium scrap
-
Scrap of Hafnium, Indium, Niobium, Rhenium and Gallium
Manual for enforcement
Page 132 B1020
-
Thorium scrap
-
Rare earths scrap
-
Chromium scrap
Clean, uncontaminated metal scrap, including alloys, in bulk finished form (sheet, plate, beams, rods, etc.):
-
Antimony scrap
-
Beryllium scrap
-
Cadmium scrap
-
Lead scrap (but excluding lead-acid batteries)
-
Selenium scrap
-
Tellurium scrap
B1030
Refractory metals containing residues
B1031
Molybdenum, tungsten, titanium, tantalum, niobium and rhenium metal and metal alloy wastes in metallic
dispersible form (metal powder), excluding such wastes as specified in list A under entry A1050, galvanic
sludges
B1040
Scrap assemblies from electrical power generation not contaminated with lubricating oil, PCB or PCT to an
extent to render them hazardous 19
B1050
Mixed non-ferrous metal, heavy fraction scrap, not containing Annex I materials in concentrations sufficient
to exhibit Annex III characteristics
B1060
Waste Selenium and Tellurium in metallic elemental form including powder
B1070
Waste of copper and copper alloys in dispersible form, unless they contain Annex I (Remark: of the Basel
Convention) constituents to an extent that they exhibit Annex III (Remark: of the Basel Convention)
characteristics
B1080
Zinc ash and residues including zinc alloys residues in dispersible form unless containing Annex I
constituents in concentration such as to exhibit Annex III characteristics or exhibiting hazard characteristic
H4.3 20
B1090
Waste batteries conforming to a specification, excluding those made with lead, cadmium or mercury
B1100
Metal-bearing wastes arising from melting, smelting and refining of metals:
-
Hard zinc spelter
-
Zinc-containing drosses:
-
Galvanising slab zinc top dross (>90 % Zn)
-
Galvanising slab zinc bottom dross (>92 % Zn)
-
Zinc die casting dross (>85 % Zn)
19
Note that even where low level contamination with Annex I materials initially exists, subsequent processes, including recycling processes, may result in separated fractions containing significantly enhanced concentrations of those Annex I materials. 20
The status of zinc ash is currently (Remark: 1998 – meanwhile the reference to Class 4.3 was deleted) under review and there is a recommendation with United Nations Conference on Trade and Development (UNCTAD) that zinc ashes should not be dangerous goods. Manual for enforcement
Page 133 GB040
-
Hot dip galvanisers slab zinc dross (batch) (>92 % Zn)
-
Zinc skimmings
-
Aluminium skimmings (or skims) excluding salt slag
-
Wastes of refractory linings, including crucibles, originating from copper smelting
-
Slags from precious metals processing for further refining
-
Tantalum bearing tin slags with less than 0,5 % tin
ex 7112 Slags from precious metals and copper processing for further refining
262030
262090
Remark: The Basel Code in accordance with field 10 of Annex VII is:
B1100 - Slags from copper processing for further processing or refining not containing arsenic, lead or
cadmium to an extent that they exhibit Annex III hazard characteristics
GC010
Electrical assemblies consisting only of metals or alloys
Remark: The Basel Code in accordance with field 10 of Annex VII is:
B1110 Electrical and electronic assemblies:
GC020
Electronic assemblies consisting only of metals or alloys
Electronic scrap (e.g. printed circuit boards, electronic components, wire, etc.) and reclaimed electronic
components suitable for base and precious metal recovery
Remark: The Basel Code in accordance with field 10 of Annex VII is:
B1110 Electrical and electronic assemblies:
-
Waste electrical and electronic assemblies or scrap (1)(including printed circuit boards) not
containing components such as accumulators and other batteries included on list A, mercuryswitches, glass from cathode-ray tubes and other activated glass and PCB-capacitors, or not
contaminated with Annex I constituents (e.g. cadmium, mercury, lead, polychlorinated biphenyl) or
from which these have been removed, to an extent that they do not possess any of the
characteristics contained in Annex III (note the related entry on list A, A1180)
-
Electrical and electronic assemblies (including printed circuit boards, electronic components and
wires) destined for direct re-use and not for recycling or final disposal
B1115
Waste metal cables coated or insulated with plastics, not included in list A1190, excluding those destined for
Annex IVA operations or any other disposal operations involving, at any stage, uncontrolled thermal
processes, such as open-burning
B1120
Spent catalysts excluding liquids used as catalysts, containing any of:
-
Transition Metals, excluding waste catalysts (spent catalysts, liquid used catalysts or other
catalysts) on list A
Manual for enforcement
Page 134 -
Scandium
Titanium
Vanadium
Chromium
Manganese
Iron
Cobalt
Nickel
Copper
Zinc
Yttrium
Zirconium
Niobium
Molybdenum
Hafnium
Tantalum
Tungsten
Rhenium
Lanthanides (rare earth metals):
Lanthanum
Cerium
Praseodymium
Neodym
Samarium
Europium
Gadolinium
Terbium
Dysprosium
Holmium
Erbium
Thulium
Ytterbium
Lutetium
B1130
Cleaned spent precious-metal-bearing catalysts
GC050
Spent fluid catalytic cracking (FCC) catalysts (e.g. aluminium oxide, zeolites)
B1140
Precious-metal-bearing residues in solid form which contain traces of inorganic cyanides
B1150
Precious metals and alloy wastes (gold, silver, the platinum group, but not mercury) in a dispersible, nonliquid form with appropriate packaging and labelling
B1160
Precious-metal ash from the incineration of printed circuit boards (note the related entry on list A, A1150)
B1170
Precious-metal ash from the incineration of photographic film
B1180
Waste photographic film containing silver halides and metallic silver
B1190
Waste photographic paper containing silver halides and metallic silver
B1200
Granulated slag arising from the manufacture of iron and steel
B1210
Slag arising from the manufacture of iron and steel including slags as a source of TiO2 and Vanadium
B1220
Slag from zinc production, chemically stabilised, having a high iron content (above 20 %) and processed
according to industrial specifications (e.g. DIN 4301) mainly for construction
B1230
Mill scaling arising from the manufacture of iron and steel
B1240
Copper oxide mill-scale
B1250
Waste end-of-life motor vehicles, containing neither liquids nor other hazardous
components
GC030
ex 890800 Vessels and other floating structures for breaking up, properly emptied of any cargo and
Manual for enforcement
Page 135 other materials arising from the operation of the vessel which may have been classified as a
dangerous substance or waste
B2
WASTES CONTAINING PRINCIPALLY INORGANIC CONSTITUENTS, WHICH MAY CONTAIN METALS
AND ORGANIC MATERIALS
B2010
B2020
Wastes from mining operations in non-dispersible form:
-
Natural graphite waste
-
Slate waste, whether or not roughly trimmed or merely cut, by sawing or otherwise
-
Mica waste
-
Leucite, nepheline and nepheline syenite waste
-
Feldspar waste
-
Fluorspar waste
-
Silica wastes in solid form excluding those used in foundry operations
Glass waste in non-dispersible form:
-
Cullet and other waste and scrap of glass except for glass from cathode-ray tubes and other
activated glasses
GE020
ex 7001 ex 701939 Glass fibre waste
B2030
Ceramic wastes in non-dispersible form:
-
Cermet wastes and scrap (metal ceramic composites)
-
Ceramic based fibres not elsewhere specified or included
GF010
Ceramic wastes which have been fired after shaping, including ceramic vessels (before and/or after use
B2040
Other wastes containing principally inorganic constituents:
-
Partially refined calcium sulphate produced from flue-gas desulphurisation (FGD)
-
Waste gypsum wallboard or plasterboard arising from the demolition of buildings
-
Slag from copper production, chemically stabilised, having a high iron content (above 20 %) and
processed according to industrial specifications (e.g. DIN 4301 and DIN 8201) mainly for
construction and abrasive applications
-
Sulphur in solid form
-
Limestone from the production of calcium cyanamide (having a pH less than 9)
-
Sodium, potassium, calcium chlorides
-
Carborundum (silicon carbide
-
Broken concrete
-
Lithium-Tantalum and Lithium-Niobium containing glass scraps
GG030
ex 2621 Bottom ash and slag tap from coal fired power plants
GG040
ex 2621 Coal fired power plants fly ash
Remark: The Basel Code in accordance with field 10 of Annex VII is:
Coal-fired power plant fly-ash, not included on list A (note the related entry on list A, A2060)
B2060
Spent activated carbon not containing any Annex I constituents to an extent they exhibit Annex III
Manual for enforcement
Page 136 characteristics, for example, carbon resulting from the treatment of potable water and processes of the food
industry and vitamin production (note the related entry on list A A4160
B2070
Calcium fluoride sludge
B2080
Waste gypsum arising from chemical industry processes not included on list A (note the related entry on list
A, A2040)
B2090
Waste anode butts from steel or aluminium production made of petroleum coke or bitumen and cleaned to
normal industry specifications (excluding anode butts from chlor alkali electrolyses and from metallurgical
industry)
B2100
Waste hydrates of aluminium and waste alumina and residues from alumina production excluding such
materials used for gas cleaning, flocculation or filtration processes
B2110
Bauxite residue (red mud) (pH moderated to less than 11,5)
B2120
Waste acidic or basic solutions with a pH greater than 2 and less than 11,5, which are not corrosive or
otherwise hazardous (note the related entry on list A, A4090)
B2130
Bituminous material (asphalt waste) from road construction and maintenance, not containing tar* (note the
related entry on list A A3200)
(*)The concentration level of Benzol[a]pyrene should not be 50mg/kg or more.
B3
WASTES CONTAINING PRINCIPALLY ORGANIC CONSTITUENTS, WHICH MAY CONTAIN METALS
AND INORGANIC MATERIALS
B3010
Solid plastic waste:
The following plastic or mixed plastic materials, provided they are not mixed with other wastes and are
prepared to a specification:
-
Scrap plastic of non-halogenated polymers and copolymers, including but not limited to the
following21:
-
ethylene
-
styrene
-
polypropylene
-
polyethylene terephthalate
-
acrylonitrile
-
butadiene
-
polyacetals
-
polyamides
-
polybutylene terephthalate
-
polycarbonates
-
polyethers
-
polyphenylene sulphides
-
acrylic polymers
21
It is understood that such scraps are completely polymerised. Manual for enforcement
Page 137 -
-
-
alkanes C10-C13 (plasticiser)
-
polyurethane (not containing CFCs)
-
polysiloxanes
-
polymethyl methacrylate
-
polyvinyl alcohol
-
polyvinyl butyral
-
polyvinyl acetate
Cured waste resins or condensation products including the following:
-
urea formaldehyde resins
-
phenol formaldehyde resins
-
melamine formaldehyde resins
-
expoxy resins
-
alkyd resins
-
polyamides
The following fluorinated polymer wastes22:
-
Perfluoroethylene/propylene (FEP)
-
Perfluoro alkoxyl alkane
-
Tetrafluoroethylene/per fluoro vinyl ether (PFA)
-
Tetrafluoroethylene/per fluoro methylvinyl ether (MFA)
-
Polyvinylfluoride (PVF)
-
Polyvinylidenefluoride (PVDF)
GH013
391530 ex 390410-40 Polymers of vinyl chloride
B3020
Paper, paperboard and paper product wastes
The following materials, provided they are not mixed with hazardous wastes:
Waste and scrap of paper or paperboard of:
-
unbleached paper or paperboard or of corrugated paper or paperboard
-
other paper or paperboard, made mainly of bleached chemical pulp, not coloured in the mass
-
paper or paperboard made mainly of mechanical pulp (for example, newspapers, journals and
similar
B3030
-
printed matter)
-
other, including but not limited to
1.
laminated paperboard;
2.
unsorted scrap
Textile wastes
The following materials, provided they are not mixed with other wastes and are prepared to a specification:
-
Silk waste (including cocoons unsuitable for reeling, yarn waste and garnetted stock)
-
not carded or combed
-
other
22
‐ Post‐consumer wastes are excluded from this entry. ‐ Wastes shall not be mixed. ‐ Problems arising from open‐burning practices to be considered. Manual for enforcement
Page 138 -
-
-
Waste of wool or of fine or coarse animal hair, including yarn waste but excluding garnetted stock
-
noils of wool or of fine animal hair
-
other waste of wool or of fine animal hair
-
waste of coarse animal hair
Cotton waste (including yarn waste and garnetted stock)
-
yarn waste (including thread waste)
-
garnetted stock
-
other
Flax tow and waste
-
Tow and waste (including yarn waste and garnetted stock) of true hemp (Cannabis sativa L.)
Tow and waste (including yarn waste and garnetted stock) of jute and other textile bast fibres
(excluding
-
flax, true hemp and ramie)
Tow and waste (including yarn waste and garnetted stock) of sisal and other textile fibres of
the genus Agave
-
Tow, noils and waste (including yarn waste and garnetted stock) of coconut
Tow, noils and waste (including yarn waste and garnetted stock) of abaca (Manila hemp or
Musa textilis Nee)
-
Tow, noils and waste (including yarn waste and garnetted stock) of ramie and other vegetable
textile fibres,
-
-
not elsewhere specified or included
Waste (including noils, yarn waste and garnetted stock) of man-made fibres
-
of synthetic fibres
-
of artificial fibres
Worn clothing and other worn textile articles
-
Used rags, scrap twine, cordage, rope and cables and worn out articles of twine, cordage,
rope or cables of textile
-
sorted
-
other
B3035
Waste textile floor coverings, carpets
B3040
Rubber wastes
The following materials, provided they are not mixed with other wastes:
B3050
B3060
-
Waste and scrap of hard rubber (e.g. ebonite)
-
Other rubber wastes (excluding such wastes specified elsewhere
Untreated cork and wood waste:
-
Wood waste and scrap, whether or not agglomerated in logs, briquettes, pellets or similar forms
-
Cork waste: crushed, granulated or ground cork
Wastes arising from agro-food industries provided it is not infectious:
-
Wine lees
Manual for enforcement
Page 139 -
Dried and sterilised vegetable waste, residues and byproducts, whether or not in the form of
pellets, or a kind used in animal feeding, not elsewhere specified or included
-
Degras: residues resulting from the treatment of fatty substances or animal or vegetable waxes
Waste of bones and horn-cores, unworked, defatted, simply prepared (but not cut to shape),
treated with acid or degelatinised
-
Fish waste
-
Cocoa shells, husks, skins and other cocoa waste
-
Other wastes from the agro-food industry excluding by-products which meet national and
international requirements and standards for human or animal consumption
B3065
Waste edible fats and oils of animal or vegetable origin (e.g. frying oils), provided they do not exhibit an
Annex III characteristic
B3070
The following wastes:
-
Waste of human hair
-
Waste straw
-
Deactivated fungus mycelium from penicillin production to be used as animal feed
B3080
Waste parings and scrap of rubber
B3090
Paring and other wastes of leather or of composition leather not suitable for the manufacture of leather
articles, excluding leather sludges, not containing hexavalent chromium compounds and biocides (note the
related entry on list A, A3100)
B3100
Leather dust, ash, sludges or flours not containing hexavalent chromium compounds or biocides (note the
related entry on list A, A3090)
B3110
Fellmongery wastes not containing hexavalent chromium compounds or biocides or infectious substances
(note the related entry on list A, A3110)
GN010
ex 050200 Waste of pigs', hogs' or boars' bristles and hair or of badger hair and other brush making hair
GN020
ex 050300 Horsehair waste, whether or not put up as a layer with or without supporting material
GN030
ex 050590 Waste of skins and other parts of birds, with their feathers or down, of feathers and parts of
feathers (whether or not with trimmed edges) and down, not further worked than cleaned, disinfected or
treated for preservation
B3120
Wastes consisting of food dyes
B3130
Waste polymer ethers and waste non-hazardous monomer ethers incapable of forming peroxides
B3140
Waste pneumatic tyres, excluding those destined for Annex IVA operations
B4
WASTES WHICH MAY CONTAIN EITHER INORGANIC OR ORGANIC CONSTITUENTS
B4010
Wastes consisting mainly of water-based/latex paints, inks and hardened varnishes not containing organic
solvents, heavy metals or biocides to an extent to render them hazardous (note the related entry on list A,
A4070)
B4020
Wastes from production, formulation and use of resins, latex, plasticisers, glues/adhesives, not listed on list
A, free of solvents and other contaminants to an extent that they do not exhibit Annex III characteristics, e.g.
Manual for enforcement
Page 140 water based, or glues based on casein starch, dextrin, cellulose ethers, polyvinyl alcohols (note the related
entry on list A, A3050)
B4030
Used single use cameras, with batteries not included on list A
Annex IIIA
B1010
a
and
mixtures of waste classified under Basel entries B1010 and B1050
B1050
B1010
b
and
mixtures of waste classified under Basel entries B1010 and B1070;
B1070
B3040
c
and
mixtures of wastes classified under Basel entries B3040 and B3080
B3080
GB040
d1
und
B1100
mixtures of wastes classified under (OECD) entry GB040 and under Basel entry B1100 restricted to hard
zinc spelter, zinc-containing drosses, aluminium skimmings (or skims) excluding salt slag and wastes of
refractory linings, including crucibles, originating from copper smelting
GB040
and
e1
B1070
mixtures of wastes classified under (OECD) entry GB040, under Basel entry B1070 and under Basel
entry B1100 restricted to wastes of refractory linings, including crucibles, originating from copper smelting
and
B1100
B1010
mixtures of wastes classified under Basel entry B1010
B2010
mixtures of wastes classified under Basel entry B2010
B2030
mixtures of wastes classified under Basel entry B2030
mixtures of wastes classified under Basel entry B3010 and listed under Scrap plastic of non-halogenated
B3010
polymers and copolymers
B3010
mixtures of wastes classified under Basel entry B3010 and listed under Cured waste resins or
condensation products
B3010
mixtures of wastes classified under Basel entry B3010 and listed under Perfluoro alkoxyl alkane
B3020
mixtures of wastes classified under Basel entry B3020 restricted to unbleached paper or paperboard or of
corrugated paper or paperboard, other paper or paperboard, made mainly of bleached chemical pulp, not
coloured in the mass, paper or paperboard made mainly of mechanical pulp (for example, newspapers,
journals and similar printed matter)
B3030
mixtures of wastes classified under Basel entry B3030
B3040
mixtures of wastes classified under Basel entry B3040
Manual for enforcement
Page 141 B3050
mixtures of wastes classified under Basel entry B3050
Annex IIIB
BEU01
Pressure sensitive adhesive label laminate waste containing raw materials used in label material
production not covered by Basel entry B3020
BEU02
Non-separable plastic fraction from the pre-treatment of used liquid packages
BEU03
Non-separable plastic-aluminium fraction from the pre-treatment of used liquid packages
BEU04
Composite packaging consisting of mainly paper and some plastic, not containing residues and not
covered by Basel entry B3020
BEU05
Clean biodegradable waste from agriculture, horticulture, forestry, gardens, parks and cemeteries
Manual for enforcement
Page 142 9.15.2 Consolidated Annex IV
Consolidated Annex IV of WSR
LIST OF WASTES SUBJECT TO THE PROCEDURE OF PRIOR WRITTEN NOTIFICATION
AND CONSENT (‘AMBER’ LISTED WASTE)
Wastes listed in Annexes II and VIII to the Basel Convention
Y46
Waste collected from households23
Y47
Residues arising from the incineration of household wastes
A1
METAL AND METAL BEARING WASTES
A1010
Metal wastes and waste consisting of alloys of any of the following:
-
Antimony
-
Arsenic
-
Beryllium
-
Cadmium
-
Lead
-
Mercury
-
Selenium
-
Tellurium
-
Thallium
but excluding such wastes specifically listed on list B24.
A1020
A1030
Waste having as constituents or contaminants, excluding metal waste in massive form, any of the following:
-
Antimony; antimony compounds
-
Beryllium; beryllium compounds
-
Cadmium; cadmium compounds
-
Lead; lead compounds
-
Selenium; selenium compounds
-
Tellurium; tellurium compounds
Wastes having as constituents or contaminants any of the following:
-
Arsenic; arsenic compounds
-
Mercury; mercury compounds
-
Thallium; thallium compounds
23
24
Unless appropriately classified under a single entry in Annex III The reference to list B refers to Annex III oft he WSR. Manual for enforcement
Page 143 A1040
Wastes having as constituents any of the following:
-
Metal carbonyls
-
Hexavalent chromium compounds
A1050
Galvanic sludges
A1060
Waste liquors from the pickling of metals
A1070
Leaching residues from zinc processing, dust and sludges such as jarosite, hematite, etc.
A1080
Waste zinc residues not included on list B, containing lead and cadmium in concentrations sufficient to
exhibit Annex III characteristics (Remark: Annex III refers to Annex III of the Basel Convention)
A1090
Ashes from the incineration of insulated copper wire
A1100
Dusts and residues from gas cleaning systems of copper smelters
A1110
Spent electrolytic solutions from copper electrorefining and electrowinning operations
A1120
Waste sludges, excluding anode slimes, from electrolyte purification systems in copper electrorefining and
electrowinning operations
A1130
Spent etching solutions containing dissolved copper
A1140
Waste cupric chloride and copper cyanide catalysts
A1150
Precious metal ash from incineration of printed circuit boards not included on list B25
A1160
Waste lead-acid batteries, whole or crushed
A1170
Unsorted waste batteries excluding mixtures of only list B batteries. Waste batteries not specified on list B
containing Annex I (Remark: of the Basel Convention) constituents to an extent to render them hazardous
A1190
Waste electrical and electronic assemblies or scrap (1) containing components such as accumulators and
other batteries included on list A, mercury-switches, glass from cathode‑ray tubes and other activated glass
and PCB capacitors, or contaminated with Annex I constituents (e.g. cadmium, mercury, lead,
polychlorinated biphenyl) to an extent that they possess any of the characteristics contained in Annex III
(note the related entry on list B, B1110)26
AA010
261900 Dross, scalings and other wastes from the manufacture of iron and steel27
AA060
262050 Vanadium ashes and residues
AA190
810420 ex 810430 Magnesium waste and scrap that is flammable, pyrophoric or emits, upon contact with
water, flammable gases in dangerous quantities
A2
WASTES CONTAINING PRINCIPALLY INORGANIC CONSTITUENTS, WHICH MAY CONTAIN METALS
AND ORGANIC MATERIALS
A2010
Glass waste from cathode-ray tubes and other activated glasses
25
Note that mirror entry on list B (B1160) does not specify exceptions. PCBs are at a concentration level of 50 mg/kg or more. 27
This listing includes wastes in the form of ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake, unless a material is expressly listed elsewhere. 26
Manual for enforcement
Page 144 A2020
Waste inorganic fluorine compounds in the form of liquids or sludges but excluding such wastes specified on
list B
A2030
Waste catalysts but excluding such wastes specified on list B
A2040
Waste gypsum arising from chemical industry processes, when containing Annex I constituents to the extent
that it exhibits an Annex III hazardous characteristic (note the related entry on list B, B2080)
A2050
Waste asbestos (dusts and fibres)
AB030
Wastes from non-cyanide based systems which arise from surface treatment of metals
AB070
Sands used in foundry operations
AB120
ex 281290 ex 3824 Inorganic halide compounds, not elsewhere specified or included
AB130
Used blasting grit
AB150
ex 382490 Unrefined calcium sulphite and calcium sulphate from flue gas desulphurisation (FGD)
RB020
ex 6815 Ceramic based fibres of physical-chemical characteristics similar to those of asbestos
A3
WASTES CONTAINING PRINCIPALLY ORGANIC CONSTITUENTS, WHICH MAY CONTAIN METALS
AND INORGANIC MATERIALS
A3010
Waste from the production or processing of petroleum coke and bitumen
A3020
Waste mineral oils unfit for their originally intended use
A3030
Wastes that contain, consist of or are contaminated with leaded anti-knock compound sludges
A3040
Waste thermal (heat transfer) fluids
A3050
Wastes from production, formulation and use of resins, latex, plasticisers, glues/adhesives excluding such
wastes specified on list B (note the related entry on list B, B4020)
A3060
Waste nitrocellulose
A3070
Waste phenols, phenol compounds including chlorophenol in the form of liquids or sludges
A3080
Waste ethers not including those specified on list B
A3090
Waste leather dust, ash, sludges and flours when containing hexavalent chromium compounds or biocides
(note the related entry on list B, B3100)
A3100
Waste paring and other waste of leather or of composition leather not suitable for the manufacture of leather
articles containing hexavalent chromium compounds or biocides (note the related entry on list B, B3090)
A3110
Fellmongery wastes containing hexavalent chromium compounds or biocides or infectious substances (note
the related entry on list B, B3110)
A3120
Fluff — light fraction from shredding
A3130
Waste organic phosphorous compounds
A3140
Waste non-halogenated organic solvents but excluding such wastes specified on list B
A3150
Waste halogenated organic solvents
A3160
Waste halogenated or unhalogenated non-aqueous distillation residues arising from organic solvent
Manual for enforcement
Page 145 recovery operations
A3170
Wastes arising from the production of aliphatic halogenated hydrocarbons (such as chloromethane,
dichloroethane, vinyl chloride, vinylidene chloride, allyl chloride and epichlorhydrin)
A3180
Wastes, substances and articles containing, consisting of or contaminated with polychlorinated biphenyl
(PCB), polychlorinated terphenyl (PCT), polychlorinated naphthalene (PCN) or polybrominated biphenyl
(PBB), or any other polybrominated analogues of these compounds, at a concentration level of 50 mg/kg or
more28
A3190
Waste tarry residues (excluding asphalt cements) arising from refining, distillation and any pyrolitic treatment
of organic materials
A3200
Bituminous material (asphalt waste) from road construction and maintenance, containing tar (note the
related entry on list B B2130)
AC060
ex 381900 Hydraulic fluids
AC070
ex 381900 Antifreeze fluids
AC080
ex 382000 Brake fluids
AC150
Chlorofluorocarbons
AC160
Halons
AC170
ex 440310 Treated cork and wood wastes
AC250
Surface active agents (surfactants)
AC260
ex 3101 Liquid pig manure; faeces
AC270
Sewage sludge
A4
A4010
WASTES WHICH MAY CONTAIN EITHER INORGANIC OR ORGANIC CONSTITUENTS
Wastes from the production, preparation and use of pharmaceutical products but excluding such wastes
specified on list B
A4020
Clinical and related wastes; that is wastes arising from medical, nursing, dental, veterinary, or similar
practices, and wastes generated in hospitals or other facilities during the investigation or treatment of
patients, or research projects
A4030
Wastes from the production, formulation and use of biocides and phytopharmaceuticals, including waste
pesticides and herbicides which are off-specification, out-dated29, or unfit for their originally intended use
A4040
Wastes from the manufacture, formulation and use of wood-preserving chemicals30
A4050
Wastes that contain, consist of or are contaminated with any of the following:
-
Inorganic cyanides, excepting precious-metal-bearing residues in solid form containing traces of
inorganic cyanides
28
The 50 mg/kg level is considered to be an internationally practical level for all wastes. However, many individual countries have established lower regulatory levels (e.g. 20 mg/kg) for specific wastes. 29
‘Out‐dated’ means unused within the period recommended by the manufacturer. 30
This entry does not include wood treated with wood‐preserving chemicals. Manual for enforcement
Page 146 -
Organic cyanides
(Remark: includes spent potlinings from aluminium smelting because they contain Y33 inorganic cyanides. If
the cyanides have been destroyed, spent potlinings are assigned to Part II entry AB120 because they
contain Y32, inorganic fluorine compounds excluding calcium fluoride)
A4060
Waste oils/water, hydrocarbons/water mixtures, emulsions
A4070
Wastes from the production, formulation and use of inks, dyes, pigments, paints, lacquers, varnish excluding
any such waste specified on list B (note the related entry on list B, B4010)
A4080
Wastes of an explosive nature (but excluding such wastes specified on list B)
A4090
Waste acidic or basic solutions, other than those specified in the corresponding entry on list B (note the
related entry on list B, B2120)
A4100
Wastes from industrial pollution control devices for cleaning of industrial off-gases but excluding such wastes
specified on list B
A4110
Wastes that contain, consist of or are contaminated with any of the following:
-
any congenor of polychlorinated dibenzo-furan
-
any congenor of polychlorinated dibenzo-dioxin
A4120
Wastes that contain, consist of or are contaminated with peroxides
A4130
Waste packages and containers containing Annex I substances in concentrations sufficient to exhibit Annex
III hazard characteristics
A4140
Waste consisting of or containing off-specification or out-dated 31 chemicals corresponding to Annex I
categories and exhibiting Annex III hazard characteristics
A4150
Waste chemical substances arising from research and development or teaching activities which are not
identified and/or are new and whose effects on human health and/or the environment are not known
A4160
Spent activated carbon not included on list B (note the related entry on list B, B2060)
AD090
ex 382490 Wastes from production, formulation and use of reprographic and photographic chemicals and
materials not elsewhere specified or included
AD100
Wastes from non-cyanide based systems which arise from surface treatment of plastics
AD120
ex 391400 ex 3915 Ion exchange resins
AD150
Naturally occurring organic material used as a filter medium (such as bio-filters)
----
The following entries are not contained in Annex IV of the WSR but may be used where
appropriate in field 14 of Annex IA and IB of WSR (notification and movement document) as
Basel Code.
31
‘Out‐dated’ means unused within the period recommended by the manufacturer Manual for enforcement
Page 147 Waste EEEs which are not covered by entry GC010 or GC020 of Annex III of the WSR
A1180
Waste electrical and electronic assemblies or scrap32 containing components such as accumulators and other
batteries included on list A, mercury-switches, glass from cathode‑ray tubes and other activated glass and
PCB capacitors, or contaminated with Annex I constituents (e.g. cadmium, mercury, lead, polychlorinated
biphenyl) to an extent that they possess any of the characteristics contained in Annex III (note the related
entry on list B, B1110)
Fly ash from coal powered power plants not covered by entry GG040 of Annex III of the WSR
A2060
Coal-fired power plant fly-ash containing Annex I substances in concentrations sufficient to exhibit Annex III
characteristics (note the related entry on list B, B2050)
32
This entry does not include scrap assemblies from electric power generation. Manual for enforcement
Page 148 9.16 List of equipment for executing transport inspections (not exhaustive)





















Safety vest – with name
Safety helmet
Safety gloves
Safety shoes or boots
Safety clothes (overall or boiler suit)
Respirator (full face masks)
Dust respirator (filtering Half-masks to protect against solid and liquid particles
(asbestos))
First-aid box
A folding ladder
Flashlight (light special for the head then the hands can be free - useful in the twilight or
in a dark container)
Stamp with name of the competent authority
Binoculars or field glasses (special for mobile inspections)
Camera (digital)
Address lists
Mobile phone
Checklists
Information folders for the driver including e.g. basics about classification of wastes,
provisions in case of TFS, copies of forms, etc.
Briefcase or handbag with the EU WSR and relevant documents e.g. different
interpretations of classification of waste in paper version – alternatively in a laptop
Chains to secure a container door
Mobile gas detectors (if available)
Radiation detectors (if available)
Remark: Safety equipment and information and documentation tools are to a large extend
relevant for company inspections as well.
Manual for enforcement
Page 149 9.17
List of waste inspection points
Inspection point
With Bosnia and Herzegovina: Županja,
Stara Gradiška, Ličko Petrovo Selo,
Kamensko, Slavonski Šamac
Type of location
Border
Port
Railway station
other
Border
Port
Railway station
other
Border
Port
Railway station
other
Border
Port
Railway station
other
With the Republic of Montenegro:
Karasovići
Border
Port
Railway station
other
Sea port: Pula, Rijeka, Zadar, Šibenik,
Split, Ploče, Dubrovnik
Border
Port
Railway station
other
River port: Vukovar, Osijek
Border
Port
Railway station
other
Border
Port
Railway station
other
Border
Port
Railway station
other
Border
Port
Railway station
other
With Bosnia and Herzegovina: Metković,
Slavonski Šamac, Volinja
With the Republic of Serbia: Bajakovo,
Ilok, Erdut
With the Republic of Serbia: Tovarnik
Manual for enforcement
Page 150 9.18
Names and contact data of permit writers and environmental protection
inspectors
LIST of permit writers and environmental protection inspectors (growing list)
Name
Permit writers:
Gordana Vesligaj
Sandra Subasic
Authority
MENP
MENP
Phone
01-3717-148
01-3717-147
Environmental protection inspectors:
Jasna Paladin-Popovic MENP
01-3712-785
Zora Hizman
MENP
01-3712-846
Lidija Tadic
MENP
044-524-392
Jadranka Krstelj
MENP
051-325-781
Davor Sertic
MENP
033-801-292
Zivana Krnic
MENP
022-212-704
Manual for enforcement
Fax
Email
gordana.vesligaj@mzoip.hr
sandra.subasic@mzoip.hr
01-3712-791
01-3712-811
044-524-397
051-325-784
033-800-940
022-219-163
jasna.paladin.popovic@mzoip.hr
zora.hizman@mzoip.hr
lidija.tadic@mzoip.hr
jadranka.krstelj@mzoip.hr
davor.sertic@mzoip.hr
zivana.krnic@mzoip.hr
Page 151 9.19
Names and contact data of coordinators taking part at the annual meeting of
enforcement authorities
Name
Manual for enforcement
LIST of COORDINATORS (growing list)
Authority
Phone
Fax
Email
Page 152 9.20
Checklist for preparation of road transport inspections
Action
Needed
(yes/no)
By whom
Deadline
Done
A Identify relevant tasks
and responsibilities
B Organise a team (overall)
Competences that must be
represented
Stopping a vehicle for
inspection
Establishing a road block
Carrying out inspections
at trucks
Braking seals
Sampling of waste
Detaining transports for
further investigation
Security measures
Follow-up actions
C Prepare communication
D Select a location
E Prepare inspection type
Detailed elements:
Facilities (telephone, fax,
dry working place)
Telephone numbers/ diary
with contacts
Safety measures and
recognizable uniforms
Local scenarios
Handling of information
Information
to
the
spokesperson
Evaluation and reporting
needs
Sampling and analysis
tools
Handling with unforeseen
circumstances
Manual for enforcement
Page 153 9.21
Checklist for preparation of company inspections
Action
Needed
(yes/no)
By whom
Deadline
Done
A Identify relevant task and
responsibilities
B Organise a team (overall)
Competences that must be
represented
Investigation
at
the
receiving
waste
processing site
Investigation of eventual
legal proceedings
Sampling of waste
Eventual withdrawal of
granted permissions
C Prepare communication
D Select a site
E Prepare inspection type
Detailed elements:
Facilities (telephone, fax)
Telephone numbers/ diary
with contacts
Copying information
Handling of information
Information
to
the
spokesperson
Evaluation and reporting
needs
Handling with unforeseen
circumstances
These checklists are intended to be of help in particular during the preparation of an inspection
activity. They include the steps as described in chapter 3 of this manual and allow ticking a box
when the specific action is required within the inspection action, attributing a responsible person
for each action, setting a deadline for action and ticking a box when the action has been
finished. Specific checklists for transport inspections and company inspections were developed.
Manual for enforcement
Page 154 9.22
List of laboratories for waste sampling and waste analysis
Manual for enforcement
Page 155 9.23
Decision tree on procedures according to WSR
Source: GUIDELINE IMPEL-TFS Enforcement Actions – Aug. 2009
A. The shipment of waste must take place with prior written notification and consent of
all competent authorities involved. 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.
B. Shipment is prohibited
C. Non-OECD-countries can indicate which procedure is applicable for a shipment to their
country of green listed waste for recycling:
 a prohibition; or
 a procedure of written notification and consent; or
 no control in the country of destination, form in accordance to Annex VII and
contract are compulsory.
Manual for enforcement
Page 156 D. The Annex VII form shall accompany each transport and there must be a contract
between the person who arranges the shipment and the consignee for recovery. The
competent authorities can demand a copy of contract. Waste shall be destined for
recovery operations within a facility which, under applicable national law, is operating or
is authorized to operate in the country of destination.
OECD countries: Australia, Austria, Belgium, Canada, Chile, Czech Republic, Denmark,
Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Israel, Italy, Japan,
Korea, Luxembourg, Mexico, Netherlands, New Zealand, Norway ,Poland, Portugal, Slovak
Republic, Slovenia, Spain, Sweden, Switzerland, Turkey, United Kingdom, United States
EFTA countries: Iceland, Liechtenstein*, Norway, Switzerland
Countries that have signed, but not ratified Basel convention: Haiti, United States of America
Non-Basel countries: Angola, Grenada, Kosovo, Myanmar, San Marino, Sao Tome & Principe,
Solomon Islands, South-Sudan, Tajikistan, Taiwan, Timor-Leste, Tuvalu, Vanuatu, Vatican City.
*Liechtenstein is to be regarded as a country to which the OECD Decision applies. (EC) No
740/2008
Manual for enforcement
Page 157 9.24
Descriptions of wastes in various languages
CROATIAN
otpad
pepeo
filtarski kolač
ENGLISH
Waste
Ashes
Filtercake
GERMAN
Abfall
Asche
Filterkuchen
rabljen
Used
gebraucht/benutzt
star
pasta
prah
smeće
Old
Paste
Powder
Rubbish/debr
is/ruins/rubbl
e
alt
Paste
Pulver
Schutt
ostaci
otpaci
Residues
Scrap
Rückstand
Schrott
šljaka
Slag
Schlacke
mulj
Sludge/slurry
Schlamm
prašina
onečišćen
Dust
Polluted/dirty/
Soiled
odbaciti
Rejects
Staub
Verunreinigt /
verschmutzt /
kontaminiert
Ausschuss /
Spukstoff
neispravna
roba
istrošen
Faulty
materials
Spent off
materijal od
čišćenja ulica
pahuljice
Sweepings
Flakes
Manual for enforcement
FRENCH
Les déchets
Les cendres
Les restes des
filters
Servi/usé/cons
ommé
Vieux/vieille
La pâte
La poudre
Les
décombres/les
gravats
Schadhafte
Waren
verbrauchte
Waren
Kehricht
Les résidues
Les rognures
de metal/la
ferraille/les
déchets/les
reblon
Le laitier/la
scories/le
machefer
La vase/la
bourbe/les
allurvions
Le poussier
Pollue/Sali/con
taminé/
souille/impuret
Matériaux
desapprouvés/
refusés
Matériaux
détraqués
Matériaux
épuissés
Balayures
Flocken/Splitter/
Schiefer
Flacons/écaillu
re
SLOVENIAN
odpadek
pepel
Filterski kolač
rabljen
star
pasta
prah
gradbeni odpadni
material/ruševine
/drobno kamneje
iz ruševin
ostanki
odpadki
žlindra
mulj
prah
onesnažen
izmet
defektni material
izrabljen
pometki
kosmiči
Page 158 9.25
Background information on railway transport
A better understanding of the rail transport is necessary to perform train inspections. Therefore,
in this Annex the following general aspects of rail transport are explained more detailed:
1. logistic process, namely the formation of train transport
2. rail transport consignment note
3. actors involved in the rail chain and their roles and tasks
1. Logistic process, namely the forms of train transport
Almost all forms of goods can be transported by rail. The type of goods/waste and the way in
which the destination can be reached will determine the type of wagon used and/or the specific
transport method that is chosen. The type of transport has to be taken into account when
performing a train inspection.
Within the transport of goods/wastes by rail, there are various transport options. Several
wagons together form a train. The way in which such a train is transported is different in each
case. In (inter)national goods transport by rail, a logistic distinction can be made between:
A. conventional transport
B. intermodal transport
A. Conventional transport
In conventional transport, two types of goods trains can be distinguished:
 Composite trains
 Block trains
Composite trains
Composite trains (also known as „multi-coloured‟ trains or „Unit Cargo‟) are goods trains
loaded with wagons for/from various designations/origins. In this form of transport, loose
wagons are assembled into national and international goods trains. The composite trains
run according to fixed timetables to various destinations in the country and Europe. At
national level these goods trains are often put together at the central shunting yards.
The most common procedure is as follows: once the goods have been loaded in one
country by the supplier/dispatcher, the trains departing from this country to other countries
are sent to one of the production locations operated by the railway company. From there,
they are in principle proceeding to shunting yard, where they are assembled into an
international goods train. Upon arrival in a particular country, the international goods trains
are uncoupled at the shunting yards and arranged for their domestic destinations.
From the shunting yard, they are driven to one of the production locations of the railway
companies in the country, from where the goods ultimately reach their final destination.
There may also be a direct scheduled service from a production location of the railway
companies to a foreign destination. In such cases, shunting yard is by-passed and a train
Manual for enforcement
Page 159 goes straight from the production locations of the railway companies to the foreign
destination and vice versa.
Block trains
Block trains (also known as „Charter Cargo‟) are goods trains loaded with wagons for a
single destination. One or two major companies have a connection to the rail network from
their business premises. The loads these companies dispatch by rail are such that they can
assemble a complete train in situ. There is, therefore, no point in taking the wagons to
shunting yard first. In such cases, transport can take place directly from the company to the
final destination without switching. This form of transport is common in the chemicals
industry and in the transport of ores and waste wood.
The loading and unloading of a wagon during conventional transport is done by the
dispatcher/receiver of the goods. This can be a company or a warehouse with its own
connection to the rail network or it can be a rail station (public loading and unloading depot
for goods transport) if appropriate facilities are available.
B. Intermodal transport
This form of train transport can be seen as a type of rail scheduled service and is known as
transport with shuttles.
Transport with shuttles
Transport with shuttles allows goods to be transported in containers, alternating loaders and
two-wheel trailers (also known as „Combi Cargo‟). The shuttle trains have a fixed
configuration and run at fixed times and along a fixed route, regardless of their freight
consignment. There are both national and international shuttle services. The departure and
arrival of shuttle trains takes place at a limited number of locations. These locations are the
terminals which have a rail connection to the rail network, also known as rail terminals. The
trains are loaded and unloaded at the rail terminals. The freight consists of goods loaded
elsewhere (container, trailer, etc.) and which, following a brief period of storage at the rail
terminal, are transported on to their final destination. The goods loaded onto the wagons of
the shuttle train at the rail terminal may have been brought by road, rail or water
(inland/maritime).
When they are unloaded from the wagons of the shuttle train, the goods/wastes will be
transported on road, rail or water and are shipped to their final destination, or if they leave
the European Union at sea, to a terminal.
2. The actors involved in the rail chain and their roles and tasks
For rail transport, the following players can broadly be distinguished:
A. suppliers and recipients: the companies that provide the consignment /receive it by
means of rail transport
B. rail operators; they organize the goods transport by shuttle train
C. railway companies; these companies operate the train on the railways (also known as
traction companies)
D. rail terminals
Manual for enforcement
Page 160 E. shunting yards
A. Suppliers and recipients
Depending on the nature and size of the goods, the consignment can be offered for/received by
transport using
 composite trains (Unit Cargo)
 shuttle trains (Combi Cargo)
 block trains (Charter Cargo)
Transport using composite trains
If goods are offered/received which can only fill one or a few rail wagons, the
providers/recipients can use the loading and unloading depots for goods transport by rail.
Transport using shuttle trains
For the transport of goods in containers, alternating loaders and two-wheel trailers, the
providers/recipients can use transport at rail terminals with shuttle trains.
Transport using block trains
Companies with a rail connection to the railway network and which have large goods
consignments for a single destination or which want to receive large consignments from a single
destination can have these transports organized by means of a block train.
The providers/recipients of goods transported by rail using composite trains and shuttle trains
are mostly dispatchers or transport companies. These firms play a key role in the choice of the
method of transport and can be seen as intermediaries between, for example, the actual
senders /recipients and the transporters. In transports using composite trains and shuttle trains,
pre and post-transport of goods is often necessary. The actual provider/recipient which does not
have its own transport department will generally ask a dispatcher or transport company to
arrange the transport of its goods, so that these companies are also usually mentioned on the
CIM consignment note as the provider/recipient of the goods.
B. Rail operators
Rail operators are the operators of shuttle trains and organize the loading and transport of the
trains. They lease the rolling stock from the railway companies (locomotive and wagons) and
ensure that the goods are loaded. The rail operators generally sell a total package (including
pre and post-transport, transhipment, storage, rail transport) on to their principals.
C. Railway companies
Railway companies are transport companies that operate railway connections using their own
staff and equipment.
In international goods transport by rail, at least as many railway companies are involved in the
actual transport as countries through which the transport takes place. At the changeover
between the railway network of one company and that of another (usually this coincides with
national borders) the train is taken over by the railway company over whose territory the
transport will take place. The previous locomotive is then replaced by a locomotive belonging to
the next railway company. This is partly to do with the fact that the mains voltage on the lines in
a number of countries is not the same.
Manual for enforcement
Page 161 Generally, the company’s own locomotives operate on its own territory. However, increasing
efforts are being made to move towards a situation in which there are no more hand-over
delays at borders for technical or administrative reasons.
D. Rail terminals
Specific facilities are required for activities such as loading and unloading containers, alternating
loaders and two-wheel trailers from and to the wagons which are to be transported by rail.
These are available at central points, namely at the rail terminals. The rail terminals carry out
the actual loading and unloading of shuttle trains.
They also take responsibility for the temporary storage of the containers, alternating loaders and
two-wheel trailers.
E. Shunting yards
Shunting yards are used to put together trains (shunting) to form national and international
goods trains. At various intersections within Europe, the trains can be shunted to form other
(inter)national trains, depending on their destination.
F. The rail transport consignment note
The “Uniform Rules Concerning the Contract of International Carriage of Goods by Rail” (CIM)
are applicable for all (waste) shipments by train. All transport of goods/wastes by rail throughout
the world uses the CIM consignment note, known in practice as the international rail
consignment letter (ISV). The CIM is comparable to the CMR consignment note which is used
for road transport.
The CIM consignment note includes more detailed information about the dispatcher, the
addressee, the nature of the consignment, the method of packaging and the weight. The
consignment note should also mention the list of documents which have been handed to the
transporter (such as WSR documents, holder information or notification forms).
Box 24 of this form contains the NHM code. This NHM code stands for the international goods
classification „Nomenclature Harmonize the Merchandise‟. The NHM code refers to a product
group and largely corresponds with the goods code used internationally by the Customs
Authority (code number of the harmonized system for the description and coding of goods). This
code can apply both to waste and to goods. There are a large number of NHM codes
specifically for waste products.
Box 21 of the form gives the nature and a description of the goods to be transported in a loaded
wagon.
The CIM consignment note consists of five copies. Copy 5 is intended for the railway company
in the country of departure and copy 2 is for the railway company in the country of arrival. The
other copies are intended respectively for the dispatcher (copy 4), the recipient (copy 1) and the
Customs Authority of the country of destination (copy 3).
The railway company in the country of departure numbers the CIM consignment note with a
country code, a station code and a serial number (a unique number on the bottom right of the
consignment note). These codes are international.
Manual for enforcement
Page 162 9.26
Annex G2 of IMPEL/TFS
Possible actions after the control Annex G2 Possibilitiesaccordingtothemanualaboutmanagingillegalshipmentsofwaste
1.
Discovered by the country of transit (Chapter III. 4.1)
CA of destination agrees with release of shipment: Name:
Signature: Name:
CA of destination doesn’t agree with release of shipment and will send a duly motivated request to the CA of dispatch or will dispose of the shipment in an environmentally sound manner: Signature: 2. Illegal situation is reparable (Chapter III. 4.2) I agree with reparation: Country of dispatch
I do not agree with reparation: Name:
Signature: Country of transit Country of destination Country of dispatch
Name:
Signature: Country of transit Country of destination 3. Responsible company is willing to return shipment voluntarily (Chapter III. 4.3)
3.1. Country of dispatch: Agrees with the return: Yes
No Agrees with simplified notification procedure: Yes
No Yes
No (no formal decision nor financial guarantee) Agrees with full notification procedure: Name:
Signature: Manual for enforcement
Page 163 3.2. Country of transit: Agrees with the return: Yes
No Agrees with simplified notification procedure: Yes
No Yes
No (no formal decision nor financial guarantee) Agrees with full notification procedure: Name:
Signature: 3.3. Country of destination: Agrees with the return: Yes
No Agrees with simplified notification procedure: Yes
No Yes
No (no formal decision nor financial guarantee) Agrees with full notification procedure: Name:
Signature: 4. Initial competent authority of dispatch will act as a notifier
According art.24.2 I have annexed a duly reasoned Name:
request and as the initial CA of dispatch I will make the notification. This notification will be made without establishing a financial guarantee. Signature: Manual for enforcement
Page 164 9.27
Waste inspection planning form for border crossing points (on land), railway
stations and ports including contact data of responsible persons
WASTE INSPECTION PLANNING FORM
Inspection point
Address
Type of location
Border
Railway station
Environmental
Inspector(s)
Phone
Fax
Email
Contact person(s)
police
Phone
Fax
Email
Contact person(s)
customs
Phone
Fax
Email
Inspection period
(e.g. Jan – Jul. 2013)
Reference No
(growing list)
Date
Port
other
Total number of
inspections planned
Collaboration
with other states
yes
no
yes
no
yes
no
yes
no
yes
no
yes
no
yes
no
Contact data
To be filled in for each inspection point (border crossing points, railway stations and
ports) according to the list of waste inspection points – see Annex 9.17 of this Manual.
Manual for enforcement
Page 165 9.28
Waste transport inspection form
WASTE TRANSPORT INSPECTION FORM
1
Reference
number
2.1 Date and time
(to be filled in by the co-ordinator of the waste inspection)
-
20
:
2.2 Location
2.3 Inspector
Name
3 Companies
involved
Name
Sender
Carrier
Receiver
Waste producer
Driver / captain
Other (Dealer, Broker, etc.)
Authority
Email
Phone
Address
City / State
Phone
Fax
Name
Address
City / State
Phone
Fax
Name
Passport
No.:
Date/location
birth
Nationality
Date of issue
of
Address
City / State
4 Type of vehicle
5 Means
transport
Truck
of
6 Vehicle
registration
(state of
registration)
7 Border
8 Packaging (fill in
No of items)
Manual for enforcement
Closed container
Open container
Bulk cargo
Train
Ship
Tank truck
Open trailer
Canvas trailer
Truck:
Trailer:
Ship:
Container No.
acc. to documents
Drum
other
Curtain trailer
other
actually used:
Jerrycan
Bulk solids
Bigbag
Palette
Compressed gas-
Compositepackaging
Box
tank
other
Page 166 9
Transport
documents for
TFS
Notification
Annex VII form
10 Other
documents, if
available
(enclose copies)
11 Waste
description and
classification
(by inspector)
Waste
classification
Physical
properties
Additional
information
12 Waste
description and
classification
(according to
accompanying
documents)
Amount
Waste
treatment
operation
13 Administrative
infringements
14 Illegal shipment
according to
Art. 2 (35)
Regulation (EC)
No 1013/2006
Notification No.:
All forms attached:
yes
Form used
yes
Consignment note
Waybill
Analysis
Contract
CMR
Annex III
Annex III/A
Annex III/B
liquid
solid
Dangerous goods
no
Digital photos
Information complete
yes
Bill of ladding
Customs documents
(Pro forma) invoice
Safety data sheet
other
Annex IV
not listed
yes
yes
Annex III
Annex III/A
Annex III/B
no
EWC
other
powder/powdery
viscous/paste
Sample taken
Sample analysed
gaseous
other
yes
no
yes
no
no
Annex IV
not listed
EWC
Product
other
m3
tons
Recovery
Movement document, serial No:
no
no
R
Disposal
D
Annex VII (e.g. missing or not complete documentation)
Notification (e.g. missing or not complete documentation)
without notification to all competent authorities concerned*
without the consent of the competent authorities concerned
with consent obtained from the competent authorities concerned through
falsification, misrepresentation or fraud
in a way which is not specified materially in the notification or movement documents
in a way which results in recovery or disposal in contravention of Community or
international rules;
when such a shipment is prohibited
without notification, when the waste is not listed in any of the annexes III, IIIA, IIIB
in a way which is not specified in the Annex VII form
* Shipments of waste explicitly destined for laboratory analysis shall not be subject to the
procedure of prior written notification when the quantity of the waste shipped does not exceed
25 kg.
Signature of inspector/stamp of authority
Manual for enforcement
Signature of driver/captain/other responsible person
Page 167 9.29
Total results waste inspection form
TOTAL RESULTS INSPECTION FORM
1 General information
Reference No
Inspection period
-
20
according to waste inspection planning form
until
-
20
Inspection location
Inspection authority
Rapporteur
E-mail
Fax
Phone
Participants of the
inspection
Name
Authority
Email
Phone
Other countries
participants
Name
Authority
Email
Phone
2 Results of the inspection
Total number of vehicles checked
Number of waste shipments checked
Number of infringements detected
Number of illegal shipments detected
3 Overview of infringements and illegal shipments (growing list)
Reference
number
(see TIF*)
Sender (country
and company)
Destination (country
and company)
Description of waste and
EWC-code
Infringement (explain
and describe the legal
provision concerned –
see TIF*)
4 Additional comments
*Waste Transport Inspection Form
Manual for enforcement
Page 168 9.30
1
Company inspection form
Reference
number
2.1 Date and time
-
20
:
hr
till
hr
2.2 Competent
Authority
2.3 Inspector
3
Reason
for the check
4
Controlled
Company
Name
Email
Phone
routine check
follow-up inspection
complaint
Order from MENP
Accident/Incident
Other (please specify)
See enclosures No:
Registration No
Name
Address
City and Country
Tel/Fax
Email
Responsible
Manager
5
Type of
installation
5a
Permit
Ref Nr:
Date:
Authority:
5b
Registration
Document
Ref Nr:
Date:
Authority:
6
Main Focus
7
Performance
Documentation
Storage
Storage hazardous waste
Installation
Other (please specify)
Controlled
and OK
Deficits
found
Description
Not controlled
during this check
7.1 Permit
Time limitation
(validity)
Waste types
7.2 Storage hazardous waste
Waste types
Manual for enforcement
Page 169 R/D Operation-insert
Code
Construction of the
facility
Technical equipment
Quantities stored
Storage condition
Other
7.3 Storage non hazardous waste
Waste types
R/D Operation-insert
Code
Construction of the
facility
Technical equipment
Quantity stored
Storage condition
Other
7.4 Treatment plant
Waste types
R/D Operation-insert
Code
Construction of the
facility
Technical equipment
Quantity stored
Treatment condition
Other
7.5 Documentation
Complete
Comprehensible
Waste management
program
Other
8
Need for action
9
Description of
the required
actions
10
Main emphasis
on next control
Manual for enforcement
no deficits detected
deficits to eliminate and report to RI within
immediate measures
next control within
act
Page 170 Signature of inspector
Signature of responsible person (facultative)
(according to box 4)
Manual for enforcement
Page 171 9.31
List of NCPs
July 2013
Country
Title
First name
Last name
E-mail
Austria
Mr
Walter
Pirstinger
walter.pirstinger@lebensministerium.
at
Belgium
Mr
Bart
Palmans
bart.palmans@lne.vlaanderen.be
Organization
Bundesministerium für Land- und
Forstwirtschaft, Umwelt und
Wasserwirtschaft
Address
Zip
Phone
Stubenbastei 5
A - 1010 Wien
(+)43/1.51522 3519
Environmental Inspectorate
Koning Albert II laan 20,
bus 8
B-1000 Brussel
(+)32 2 553 0306
Ministry of Environment and Water
22 Maria Louisa Blvd
1000 - Sofia
00 359 2 940 65 31
Bulgaria
Ms
Lina
Patarchanova
lpatarchanova@moew.government.b
g
Croatia
Ms
Vlasta
Pasalic
vlasta.pasalic@mzoip.hr
Ministry of Environmental and Nature
Protection
Vinogradska 25
10 000 Zagreb
(+)385 1 3712 786
Cyprus
Mr
Demetris
Demetriou
ddemetriou@environment.moa.gov.c
y
Department of Environment
20-22, 28th October Str.
2414 Nicosia
+357 22 408952, +357 99
133602
Czech Republic
Ms
Jana
Samkova
jana_samkova@env.cz
Ministry of Environment
Vrsovicka 65
Czech Republic
Ms
Jitka
Jensovska
jensovska@cizp.cz
Environmental Inspectorate
CIZP, Na brehu 267
Denmark
Estonia
Finland
Ms
Mr
Ms
Maria
Rene
Hannele
Lauesen
Rajasalu
Nikander
Environmental Protection Agency
Estonian Environmental Inspectorate
Finnish Environment Institute
France
Ms
Denise
Juin-Sevin
Germany
Mr
Harald
Junker
mrk@mst.dk
rene.rajasalu@kki.ee
hannele.nikander@ymparisto.fi
denise.juin-sevin@developpementdurable.gouv.fr
harald.junker@uba.de
Greece
Ms
Andromach
i
Drouza
m.drouza@eyep.minenv.gr
Ms
Evelyn
Wright
evelyn.wright@dublincity.ie
Ms
Lilija
Dukalska
lilija.dukalska@vvd.gov.lv
Lithuania
Ms
Rasa
Didjurgyte
Luxembourg
Mr
Frank
Thewes
Republic of
Macedonia
Mr
Darko
Malta
Mr
Strandgate 29
Kopli 76
P.O. Box 140
CZ-100 10 Prague
10
CS-190 00 Prague
9
DK 1401
10416 Tallinn
FIN-00251 Helsinki
(+45) 7254 4302
00372 6962228
(+358) 400 148 705
Umweltbundesamt
Hellenic Ministry for the Environment,
Physical Planning & Public Works,
Environmental Inspectorate
Wörlitzer Platz 1
6844 Dessau
0049 34021033045
1-3 Kifisias Av. GR-115 23
Athens
National TFS Office Waste Management
Services, Dublin City Council
Eblana House,Floor 2,
Marrowbone Lane
Dublin 8
+353 1 222 4235
+420 2 6712 2014
(+)420 222 860 366
Hungary
Ireland
Italy
Latvia
Rūpniecības str. 23
LV-1045 Riga
+371 67084238
r.didjurgyte@aaa.am.lt
Permits Quality Division, Department of
Supervision, State Environmental Service
Environment Protection Agency
A.JUOZAPAVICIAUS 9
Administration de l'environnement
16, rue Eugène Ruppert
VILNIUS LT-09311
L-2453
Luxembourg
+370 70663424
frank.thewes@aev.etat.lu
Blinkov
blinkovd@yahoo.com
State Environmental Inspectorate
1000 Skopje
+389 2 3251 550
Alfred
Sharples
contact.TFS@mepa.org.mt
Blata l-Bajda
+356 22907201, +356
22907202
Netherlands
Mr
Enes
Srndic
enes.srndic@ilent.nl
Norway
Mr
Thor
Henriksen
thor.henriksen@klif.no
Manual for enforcement
Malta Environment and Planning
Authority - MEPA Ministry of Housing, Spatial Planning and
the Environment
Norwegian Climate and Pollution Agency
Page 172 Blvd Goce Delcev b. b
(MRTV building, floor 12
room 1203)
Hexagon House, Spencer
Gardens
00352 405656 530
Postbus 16191, ipc 550
2500 BD Den Haag
0031 70339 2636
P.O. Box 8100 Dep
NO-0032 Oslo
+47 2257 3475
Poland
Ms
Edyta
KozłowskaKurek
e.kozlowska@gios.gov.pl
Portugal
Mr
Maria
José Falcão
mjfalcao@igamaot.gov.pt
Serbia
Mr
Branislav
Galesev
branislav.galesev@merz.gov.rs
Slovakia
Slovakia
Ms
Ms
Jana
Anna
Juríková
Bohers
jana.jurikova@enviro.gov.sk
anna.bohers@enviro.gov.sk
Slovenia
Mr
Bojan
Počkar
bojan.pockar@gov.si
Spain
Mr
Santiago
Davila
sdavila@magrama.es
Chief Inspectorate for Environmental
Protection
Inspeção-Geral da Agricultura, do Mar,
do Ambiente e do Ordenamento do
Território (IGAMAOT)
Wawelska ul. 52/54
PL-00 922 Warsaw
0048 22 5792249
Rua de "O Século" No. 63
P-1249-033 Lisboa
(+351)21 3215500/57
Romania
Ministry of Environment, Mining and
Spatial Planning
Ministry of Environment
Ministry of Environment
Inspectorate for Environment and Spatial
Planning
Nam. L. Stura 1,
Nam. L. Stura 1,
11070 New
Belgrade
812 35 Bratislava,
812 35 Bratislava,
Dunajska 47
SI-1000 Ljubljana
+ 386 1 420 4480
Ministry of Environment
C/ Plaza de San Juan de la
Cruz s/n
28071 Madrid
0034-915 976868
91, DR. Ivana Ribara
Sweden
Mr
Pär
Kollberg
par.kollberg@naturvardsverket.se
Environmental Protection Agency
Valhallavägen 195
Switzerland
Switzerland
Turkey
Mr
Ms
Andre
Simonne
Hauser
Rufener
andre.hauser@bafu.admin.ch
simonne.rufener@bafu.admin.ch
Federal Office for the Environment FOEN
Federal Office for the Environment FOEN
Worblentalstrasse 68
Worblentalstrasse 68
SE-106 48
Stockholm
CH-3003 Bern
CH-3003 Bern
Richard
Gray
richard.e.gray@environmentagency.gov.uk
Environment Agency
Richard Fairclagh House
Knutsford Road
Warrington,
Cheshire WA4 1HT
United Kingdom Mr
Manual for enforcement
Page 173 +381/64 81 66 307
+421 2 6020 1677
+421 2 6020 1677
+46 10 698 17 14
(+)41 31 323 13 35
(+)41 (0)31 323 86 52
+ 44 1925 542918
Manual for enforcement
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List of competent authorities
Manual for enforcement
Page 175 Manual for enforcement
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Page 216 9.33
Useful links
 EU Commission – Waste Shipments – Environment:
http://ec.europa.eu/environment/waste/shipments/index.htm
 EUR-Lex:
http://eur-lex.europa.eu/en/consleg/latest/index.htm
 OECD:
http://www.oecd.org/env/waste/theoecdcontrolsystemforwasterecovery.htm
 Basel Convention:
http://www.basel.int/Home/tabid/2202/mctl/ViewDetails/EventModID/8927/EventID/409/xmid/8052/
Default.aspx
 IMPEL – TFS:
http://impel.eu/
 Website MENP: http://www.mzoip.hr/ Manual for enforcement
Page 217 This project is funded by the European Union
Manual for enforcement
Page 218