SERVICES TO SUPPORT MEMBER STATES … 23, 2012 · Services to support Member States' enforcement actions and inspections concerning the application of EU waste …

European Commission, Brussels

SERVICES TO SUPPORT MEMBER STATES' ENFORCEMENT ACTIONS AND INSPECTIONS CONCERNING

THE APPLICATION OF EU WASTE LEGISLATION

07030/2010/576173/SER/C2

PRACTICAL MANUAL on permitting and inspection of

waste management operations

Final version

22 December 2011

In cooperation with

BiPRO Beratungsgesellschaft für integrierte Problemlösungen

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European Commission Practical Manual (FINAL) Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

BiPRO

Content

1. Orientation .............................................................................................................................. 8

1.1. Background and objectives ...................................................................................................... 9

1.2. Waste management operations covered ................................................................................ 10

1.3. Structure and use of the manual ............................................................................................ 12

2. Best Practice .......................................................................................................................... 13

2.1. Orientation ............................................................................................................................ 14

2.2. Best practice examples on permitting ..................................................................................... 16

2.2.1. Fixed set of conditions applicable to all waste operators (BE, Flanders) ..................................... 18

2.2.2. Permitting and setting of conditions for smaller waste treatment plants (AT) ............................ 20

2.2.3. Operational Risk Appraisal Scheme (Opra) - Risk Assessment Tool (UK) ..................................... 22

2.2.4. Risk-based approach to exempt waste operations (UK) ............................................................. 24

2.2.5. Compliance Assessment Scheme (UK) ...................................................................................... 26

2.2.6. Permitting checklist for primary WEEE treatment facilities (DE) ................................................. 29

2.2.7. Methods waste licensing and permitting - Public access to licensing files (IE) ............................. 32

2.2.8. Waste prevention in the environmental permit procedure (FI) .................................................. 34

2.2.9. Cooperation with authorities and plant operators (AT) ............................................................. 37

2.2.10. Training for authorities involved in permitting and inspections (EE) ........................................ 39

2.3. Best practice example on inspection ....................................................................................... 41

2.3.1. Methods for risk based classification and ranking of inspection objects (SE) ............................... 43

2.3.2. Waste stream based risk analysis (NL) ..................................................................................... 45

2.3.3. Administrative structure to enforce inspection (PL) .................................................................. 48

2.3.4. Guidelines for routine inspections of waste management facilities (DE) ..................................... 50

2.3.5. Check list for inspection of waste management operation (LT) .................................................. 52

2.3.6. Content, storing and accessibility of enforcement information including inspection/audit/monitoring reports (IE) ................................................................................. 54

2.3.7. WEEE inspection – Upstream and downstream inspection (BE, Flanders) ................................... 56

2.3.8. RoHS enforcement - Free sampling and destructive analysis of EEE (NL) .................................... 58

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2.3.9. WEEE enforcement - Addressing “leakage” in the take-back scheme (NL) .................................. 60

2.3.10. RoHS enforcement - Mixed system of testing and awareness raising (UK) ................................ 62

3. Checklists for Permit Conditions and Inspection ..................................................................... 64

3.1. Orientation on checklists ........................................................................................................ 65

3.1.1. Waste collection and transfer stations ..................................................................................... 67

3.1.2. Pre-treatment facilities ........................................................................................................... 71

3.1.3. WEEE treatment facilities ........................................................................................................ 76

3.1.4. Preparation for re-use facilities ............................................................................................... 80

3.1.5. Composting Facilities .............................................................................................................. 83

3.1.6. Material recovery facilities ...................................................................................................... 86

3.1.7. Waste incineration ................................................................................................................. 90

3.1.8. Landfills ................................................................................................................................. 95

4. Further Tools ......................................................................................................................... 99

4.1. Further tools - Orientation .................................................................................................... 100

4.2. Legal obligations for Member States at a glance .................................................................... 101

4.3. Overview table on permitting requirements .......................................................................... 103

4.4. Letter of advice to announce inspection ................................................................................ 110

4.5. Frequently asked questions ................................................................................................... 111

4.5.1. Frequently asked questions concerning permitting .................................................................. 111

4.5.2. Frequently asked questions concerning inspection .................................................................. 114

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List of tables

Table 1: Overview of best practice examples on permitting .................................................................. 17

Table 2: Tier-3 Opra attributes explained .............................................................................................. 23

Table 3: Compliance Record template for PPC Part A – Landfills [Compliance Assessment Scheme

Manual 2010; Annex 3] ............................................................................................................. 28

Table 4: Checklist for realising site inspections [LAGA 2009, Annex 6] .................................................. 31

Table 5: Licence Application/Enfoncement Documents ........................................................................ 33

Table 6: Issues covered in trainings for the staff involved in waste permitting ..................................... 39

Table 7: Exemplarily content of training seminars for staff involved in inspections of waste

management operations .......................................................................................................... 40

Table 8: Overview of best practice examples on inspection ................................................................... 42

Table 9: Examples of scores for different installations/activities ........................................................... 43

Table 10: Limits of the factors ................................................................................................................... 47

Table 11: Weighing factors ........................................................................................................................ 47

Table 12: Exemplarily content of guidance for inspection ........................................................................ 49

Table 13: Main stages of and issues covered by routine inspections ....................................................... 51

Table 14: Indicative questions for realising an on-site inspection ............................................................ 53

Table 15: Content of audit and inspection reports ................................................................................... 55

Table 16: Overview of checklists for permitting conditions and inspection ............................................. 66

Table 17: Overview of legal requirements regarding permitting ........................................................... 107

Table 18: Overview of legal requirements regarding inspection ............................................................ 109

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List of figures

Figure 1: Overview of waste management operations ............................................................................ 11

Figure 2: Risk-based approach for exemptions [Defra 2010] ................................................................... 25

Figure 3: Compliance Matrix .................................................................................................................... 27

Figure 4: Waste prevention in different stages of the env. permit procedure in Finland [Lindström et al.

2005, Annex IV: Salmenperä 2005] .......................................................................................... 35

Figure 5: Example of typical risk score and experiences score ................................................................ 44

Figure 6: Example or risk classification ..................................................................................................... 44

Figure 7: Mobile XRF gun .......................................................................................................................... 59

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List of acronyms

CLP Regulation

Regulation (EC) No 1272/2008 of the European Parliament and of the Council of 16 December 2008 on classification, labelling and packaging of substances and mixtures, amending and repealing Directives 67/548/EEC and 1999/45/EC, and amending Regulation (EC) No 1907/2006 (OJ L 353, 31.12.2008, p. 1)

IPPC Directive

Directive 2008/1/EC of the European Parliament and of the Council of 15

January 2008 concerning integrated pollution prevention and control

(Codified version) (OJ L 24, 29.1.2008, p. 8)

Landfill Directive

Council Directive 1999/31 of 26 April 1999 on the landfill of waste (OJ L

182, 16.7.1999, p. 1)

PCB Directive

Council Directive 96/59/EC of 16 September 1996 on the disposal of polychlorinated biphenyls and polychlorinated terphenyls (PCB/PCT) (OJ L 243, 24.9.1996, p. 31)

Public access to

environmental

information Directive


January 2003 on public access to environmental information and repealing

Council Directive 90/313/EEC

REACH Regulation

Regulation (EC) No 1907/2006 of the European Parliament and of the Council of 18 December 2006 concerning the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH), establishing a European Chemicals Agency, amending Directive 1999/45/EC and repealing Council Regulation (EEC) No 793/93 and Commission Regulation (EC) No 1488/94 as well as Council Directive 76/769/EEC and Commission Directives 91/155/EEC, 93/67/EEC, 93/105/EC and 2000/21/EC (OJ L 396, 30.12.2006, p. 1)

RoHS Directive


January 2003 on the restriction of the use of certain hazardous substances

in electrical and electronic equipment (OJ L 37, 13.2.2003, p. 19) to be

replaced by Directive 2011/65/EU of the European Parliament and of the

Council of 8 June 2011 on the restriction of the use of certain hazardous

substances in electrical and electronic equipment (OJ L 174, 1.7.2011, p.

88)

WAC Decision

Council Decision 2003/33/EC of 19 December 2002 establishing criteria and

procedures for the acceptance of waste at landfills pursuant to Article 16 of

and Annex II to Directive 1999/31/EC (OJ L 11, 16.1.2003, p. 27)

Waste Incineration

Directive


December 2000 on the incineration of waste ( OJ L 332, 28.12.2000, p. 91)

WEEE Directive


January 2003 on waste electrical and electronic equipment (WEEE) (OJ L

37, 13.2.2003, p. 24)

WFD Directive 2008/98/EC of the European Parliament and of the Council of 19

November 2008 on waste and repealing certain Directives (OJ L 312,

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22.11.2008, p. 3)

APC Air pollution control

BAT Best available techniques

CFC chlorofluorocarbon

CFD computerised fluid dynamics

CO Carbon monoxide

CO Carbon dioxide 2

CV Calorific Value

EEE Electrical and Electronic Equipment

EPA Environmental Protection Agency

EWC European Waste Code

LOI content or Loss of Ignition

MBT Mechanical Biological Treatment

MSDS Material Safety Data Sheets

Opra Operational Risk Appraisal Scheme

PCB polychlorinated biphenyls

SCR Selective catalytic reduction

TOC Total Organic Carbon

TV Television

VOC Volatile organic compounds

WEEE Waste electrical and electronic equipment

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1. Orientation

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1.1. Background and objectives

Proper implementation, application and enforcement of EU waste legislation

are key priorities of EU environmental legislation. It is the obligation of the EU

Commission to ensure and oversee the proper application of EU legislation

according to the Treaty of the European Union.

Enforcement of legislation is one of the cornerstones to make legislation

efficient. It is one of the essential elements in the policy cycle, and is often

situated in the implementation and the monitoring phases. The success rate

of enforcement helps to assess if legislation is successful or needs amending.

The European Commission (DG ENV) therefore initiated a study regarding

permitting and inspection practices related to waste legislation in EU Member

States. The overall aim of the study is to support and improve in particular the

implementation of the following EU waste legislation:

Waste Framework Directive (WFD) (2008/98/EC)

Landfill Directive (1999/31/EC) together with WAC Decision

(2003/33/EC)

RoHS Directive (2002/95/EC to be replaced by 2011/65/EU)

WEEE Directive (2002/96/EC to be replaced in short notice)

The specific study objectives are to prepare guidance documents and a

manual for inspections, controls (including monitoring) and permitting

(including classification) of waste management operations.

The guidance document addresses in particular the competent authorities

involved in permitting and inspections. It includes information on theoretical

and practical level, i.e. regarding implementation practice in the Member

States.

The purpose of this manual is to accompany the guidance document with

providing information on a more practical level. The key element of the

manual is the provision of 20 best practice examples, elaborated on the basis

of existing permitting and inspection practice applied within the EU Member

States. Further tools were elaborated to enhance the process of permitting

and inspections.

The manual provides practical advice and tools to improve permitting and inspection of waste management operations covered by the following EU legislation:

- Waste Framework Directive

- Landfill Directive and WAC Decision

- WEEE and RoHS Directives

---------------------------- The guidance document is available at: http://ec.europa.eu/environment/waste/framework/index.htm

http://ec.europa.eu/environment/waste/framework/index.htm�



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1.2. Waste management operations covered

This manual on permitting and inspections and the accompanied guidance

document should in particular focus on waste management operations

covered by the aforementioned four Directives (WFD, Landfill Directive, WEEE

Directive and RoHS Directive).

This includes a great variety of waste treatment operations, in particular:

Operations for collection, transport, recovery and disposal of waste

(Article 3 of the WFD) and the operations mentioned within the waste

hierarchy containing waste prevention, preparing for re-use, recycling,

other recovery (e.g. energy recovery) and disposal (Article 4 of the

WFD)

Landfills defined as “waste disposal sites for the deposit of the waste

onto or into land (i.e. underground)” inducing internal sites and

permanent sites used for temporary storage (Landfill Directive and

WAC Decision)

Electrical and electronic equipment containing hazardous substances

on site of production (use of hazardous substances in such equipment)

and on site of waste of such equipment including all waste operations

like collection, preparing for re-use and treatment of WEEE (RoHS

Directive and WEEE Directive)

In summary, the manual and the guidance to be prepared should address in

principle the waste management facilities and sites along the waste chain

starting with the waste producer and ending with a certain treatment

operation, including in particular WEEE collection and treatment facilities and

landfills. This includes a great variety of waste treatment operations with

applied techniques and operation conditions, ranging from small facilities

(e.g. facilities for preparing for re-use) to large facilities being regulated by

different legislative requirements (e.g. waste incinerators).

Not all of the waste management operations/techniques can be covered by a

separate checklist. Therefore, operations have been grouped following the

waste chain applying the general categorization given in the WFD. The tools

provided within the manual, i.e. the checklists for permitting and inspections

(see chapter 3.1), follow in principle the waste chain applying the general

categorization given in the WFD starting with the waste producer and ending

with a certain treatment operation, including in particular WEEE collection

and treatment facilities and landfills.

Figure 1 illustrates the waste operations addressed in this manual.

Waste management operations covered by the manual:

- Operations listed in Article 3 and 4 of the WFD

In particular:

- Landfills

- WEEE treatment facilities

Operations have been grouped following in principle the waste chain applying the general categorization given in the WFD starting with the waste producer ending with a certain treatment operation.

--------------------------- Further reading: More information on waste treatment operations, including statistics are laid down in the guidance document, chapter 3.

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Figure 1: Overview of waste management operations

• Reverse logistic operations (take-back-systems)

• Collection of MSW • Separate collection

(WEEE, biowaste, glass, metal, plastic, hazardous waste separation)

• Waste transport • Preliminary

/temporary storage • Waste

broking/dealing • Waste transfer

• Sorting/Separation

• Stabilisation

• Solidification

• Shredding

• MBT

• WEEE dismantling

• Blending/Mixing

• Biotechnical treatment facilities

• Organic physico-chemical treatment

• Inorganic physico- chemical treatment

Preparing for Re-use: • Checking

• Cleaning

• Reparation

Other recovery: • Incineration with

energy recovery (power plants)

• Backfilling

Recycling: • Composting

• Material recovery (glass, plastic, paper, metals)

Disposal • Inert waste

landfilling • Non-hazardous

waste landfilling • Hazardous waste

landfilling • Non-hazardous

waste incineration • Hazardous waste

incineration

Waste collection/ transfer

Waste final treatment Waste pre-treatment

Waste producer

• Hazardous waste

• Non-hazardous waste

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1.3. Structure and use of the manual

The manual includes the following sections and tools:

Within this section best practice examples from actual implemented

permitting and inspection practice are given. The examples include 10 cases

from permitting practice (chapter

Best practice examples (Chapter 2):

2.2) and 10 cases from inspection practice

(chapter 2.3) elaborated together with Member State authorities.

Addressees: Authorities dealing with permitting and inspection

9 checklists (chapter

Check lists (Chapter 3):

3.1) addressing different waste management operations

have been prepared intending to give permitting and inspection authorities an

indication on what conditions to include in a permit and what to check when

inspecting waste treatment facilities. Aspects on technical requirements, the

acceptance, handling and storage of waste, operational aspects and emission

to the environment have been included in the lists.

Addressees: Authorities setting permit conditions and authorities planning and

realising inspections

In this section further tools were elaborated to support permitting and

inspection procedures of waste legislation, consisting of:

Further tools (Chapter 4):

Legal obligation at a glance (chapter 4.2) presenting overview

information on legal obligations to the Member States regarding

permitting and inspection

Addressees: Authorities, operators, public requiring basic information

Letter of advice to announce on-site inspections (chapter 4.4) enabling

better preparation of the operator and the quicker availability of

information and data, thus shortening the time needed for carrying out

the inspections and saving the inspection resources

Addressees: Authorities planning and realising inspections

Frequently asked questions (chapter 4.5) providing rather a basic level

of information about the EU legal requirements and aspects how to

implement them on Member State level

Addressees: Authorities planning and realising inspections

Structure of the manual:

Chapter 2:

Best practice examples

Chapter 3:

Checklists for permit conditions and inspection

Chapter 4:

Further tools to support permitting and inspection procedures

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2. Best Practice

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2.1. Orientation

In order to illustrate ways of good implementation of waste legislation, in

particular effective procedures for permitting (incl. classification) and

inspections (including monitoring) of waste management operations, 20 ‘best

practice’ examples have been elaborated based on existing measures within

EU Member States.

Specifications

The following specifications were applied for elaborating best practice

examples:

The examples should be based on existing procedures in at least 10

Member States;

10 examples will cover the issue on permitting (including

classification) procedures;

10 examples will cover the subject of inspection (including

monitoring);

The examples will cover the relevant stages of the permitting and

inspection cycle.

Included aspects

The following aspects were considered:

Permit management practice, as good permits are an essential

element for compliance with EU requirements and are often a pre-

condition for adequate and effective inspections

Permit content, in particular the setting of clear and detailed criteria

for waste management operations

Risk analysis/Strategic planning of inspection and monitoring (in

order to determine which areas and operations should be prioritised

by inspections and monitoring activities)

Realisation of inspections including most appropriate methods

Follow-up and reporting including administrative ruling, court

decisions and penalties

Provision of training and guidance and organisation of effective

cooperation and networking to/with competent authorities and

waste management plant operators


Specifications:

- Coverage of EU Member States

- Coverage of relevant stages of permitting and inspection procedures

--------------------------- Further reading: More information on stages of permitting procedures and on the inspection cycle are laid down in the guidance document, chapter 4 and 5.

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Elaboration The examples of best practice have been elaborated in close cooperation with

the Member State authorities. The final version of the examples has been

verified with the concerned Member State authorities. At an expert workshop

(held on 12/05/2011 in Brussels) the 20 examples have been presented and

discussed with the participating experts (MS authorities and other

stakeholders). The purpose and the usefulness of the examples have been

assessed at the workshop and within the follow-up procedure to the

workshop.

Presentation of best practice The best practice examples are presented as factsheets. For better

orientation, the same document structure is applied for each example,

including the following contents:

Overview bar, including overview information regarding

- the responsible Member State

- the indication of the step within the permitting or inspection

process

- the EU legislation requirement on which the example is based on

- the geographical level of implementation, and

- the information since when the example is implemented

Description of the legal and general context (this part makes

reference to EU waste legislation, however the implementation on

the national level (national legislation) is the key element when

implementing the manual by national permitting/inspection

authorities)

Description of the objective of the measure/procedure

Description of the realisation

Footer bar leading to further information (download, contact)


Examples have been verified with MS authorities and other stakeholders

Structure of factsheets:

- Overview bar

- Context

- Objective

- Realisation

- Links to further information

--------------------------- Further reading: The best practice examples can be also downloaded as single pfd files at: http://ec.europa.eu/environment/waste/framework/index.htm




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2.2. Best practice examples on permitting

The permitting procedure is divided into different steps involving at each step

different authorities, the applying company and further stakeholders. The

following steps can be divided:

Within all the steps, administrative staff as well as operators and other

stakeholders need to be informed about the provisions, thus requiring

training, cooperation and guidance measures.

2. Assessment by competent authority Assessment of completeness and compliance of application Participation of authorities, public and experts (consultation

with/approval from other authorities, provision of information, public hearings, expert reports, certificates)

Consideration of objections from other authorities and the public Control of criteria and conditions (on-site inspections)

3. Issue of permit Formulation of permit (content of permit, including explanation of

conditions for operation, information about monitoring and inspection, legal specification)

Issuing a permit

4. Follow -up Information storage (data base, central register, etc.) Communication of issued permits (to other public authorities,

other level authorities) Using of information for inspection planning

1. Application for permit/ registration Specification of content of authorisation documents

(determination of authorisation system (permit/registration), competent authority, content of documents)

Advisory service for applicants (guidance for applicants, face-to-face consultation, helpdesks, etc.)

Preliminary check (quick check of completeness of documents)

Permitting

Permitting steps:

- Application

- Assessment

- Issue of permit

- Follow-up

--------------------------- Further reading: The steps for permitting /registration are explained in detail in the guidance document (chapter 4

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The following table provides an overview of the 10 best practice examples

elaborated on permitting.

Nr Title Permitting

Stage Legislation

covered MS

1 Waste permitting - Fixed set of conditions applicable to all waste operators

1. Application

2. Assessment

Waste Framework Directive

Landfill Directive

BE

2 Permitting and setting of conditions for smaller waste treatment plants

1. Application

2. Assessment


AT

3 Operational Risk Appraisal Scheme (Opra) – Risk Assessment Tool

1. Application

2. Assessment


UK

4 Risk-based approach to exempt waste operations

1. Application

2. Assessment


UK

5 Compliance assessment scheme

2. Assessment

3. Issue a permit


Landfill Directive

UK

6 Permitting checklist for WEEE primary treatment facilities

2. Assessment

3. Issue a permit WEEE Directive DE

7 Methods waste licensing and permitting - public access to licensing files

2. Assessment

4. Follow-up


Landfill Directive

IE

8 Waste prevention in the environmental permit procedure

All stages Waste Framework

Directive FI

9 Cooperation with authorities and plant operators


Directive AT

10 Trainings in waste permitting (and inspections)


Directive EE

Table 1: Overview of best practice examples on permitting

Overview on best practice examples on permitting

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2.2.1. Fixed set of conditions applicable to all waste operators (BE, Flanders)

Member State: Belgium, Flanders

Permitting steps: 1. Application 2. Assessment

Relevant EU legal requirement:

Waste Framework Directive Landfill Directive

Geographical level: Regional

Implementation: Since September 1991

Context

Article 13 WFD stipulates that Member States need to

take the necessary measures to ensure that waste

management is carried out without endangering

neither human health nor the environment. This is

further ensured by:

• Articles 17 (control of hazardous waste), 18 (ban on the mixing of hazardous waste) and 19 (labelling of hazardous waste)

• Articles 21 and 22 on appropriate management of waste oils and bio-waste respectively

• Articles 23, 24, 25 and 27 regarding permitting and minimum standards for waste treatment activities

• Articles 26 and 27 regarding registration and minimum standards for waste collectors/transporters and other waste operators not subject to permit requirements

For landfills being subject to permit obligations, the

Landfill Directive provides further detailed procedural

and substantial requirements as regards the

application (Article 7), the conditions (Article 8) and

the content (Article 9) of the permit.

Objective

The environmental legislation related to companies

with permit requirements is compiled in two Orders,

i.e. VLAREM I and VLAREM II. Furthermore waste

legislation applicable to companies and organisations

is compiled in one Order, i.e. VLAREA.

All standards and conditions are directly applicable to

companies.

Description

Permitting

On 1 September 1991, the Flemish Region adopted

VLAREM I, which sets out a classification for the

different sectoral activities and installations that need

an environmental permit (class 1 and 2) or a

registration (class 3). Most of the waste treatment

facilities are allocated to class 1 or 2. Depending on

different criteria like the amount of stored or treated

waste or the type of waste, waste treatment is

classified as 1 or 2. Class 1 installations are permitted

by the provinces (there are 5 provinces in Flanders);

class 2 installations are permitted by local authorities

(there are 308 municipalities in Flanders with on

average 20.000 inhabitants). There is no difference in

the ease of obtaining a permit between class 1 and

class 2 installations; only the authorisation level differs

as well as the level of inspection. Inspection of class 1

installations is performed by the Flemish

environmental inspection (regional level, not

provincial level); inspection of class 2 installations is

performed by the local authorities.

Permitting conditions

On 1 Augustus 1995, the Flemish Region adopted

VLAREM II, compiling all environmental legislation

applicable to companies with permit requirements

(including IPPC and other applicable EU Directives).

Three types of licensing conditions are distinguished:

• General conditions: standards regarding BAT,

safety-, risk- and nuisance control, measure and

registration obligations, storage of dangerous

products, etc.

• Sectoral conditions: these conditions apply to

specific industrial processes (waste treatment,

coatings, biocides, chemicals, wood, cosmetics,

1. Application

2. Assessment

3. Issue a Permit

4. Follow up

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laboratories, etc.) and are based on best available

technologies. Sectoral conditions have primacy

over general conditions if they deviate from them.

• Particular conditions: the authorities can also

impose a particular regulation in addition to the

general and sectoral conditions that apply to a

company.

VLAREM II also holds sectoral emission standards for

discharges into air, water and soil (so-called

“environmental quality standards”). Sectoral

conditions for waste treatment include:

• General provisions applicable to all waste treatment

facilities on acceptance and registration of waste

materials, an obligatory work plan, fire prevention

and fire fighting measures, a prohibition on diluting

waste, etc.

• Specific provisions for waste storage and treatment

provisions classified by type of waste (green waste,

vehicle wrecks, scrap, animal waste, specific non-

hazardous solid waste, hazardous waste, etc.)

• General and specific provisions for waste

incinerators classified by type of waste (hazardous,

non-hazardous, wood, medical waste, etc.)

• Provisions for landfills

• Provisions for waste from extractive industries

Conditions for waste transporters (no permit required)

On 17 December 1997, the Flemish Region adopted

VLAREA, that compiles all waste legislation, except for

conditions related to waste treatment facilities (see

VLAREM I).

Conditions for waste transporters include:

• All waste transporters need to be accredited and

registered with the Flemish Waste Agency (OVAM)

• All waste transporters must be accompanied by

suitable documentation; these documents need to

be kept for a minimum of five years.

• All waste transporters keep a waste material

register that includes the following information:

date of transfer, name & address of the producer of

the waste, amount and type of waste, method of

processing or utilising waste materials and

identification of the receiver of the waste materials.

Further information: Provisions of VLAREM I, VLAREM II and VLAREA are available in English on

http://navigator.emis.vito.be/milnav-consult/consultatie?language=en

http://navigator.emis.vito.be/milnav-consult/consultatie?language=en�

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2.2.2. Permitting and setting of conditions for smaller waste treatment plants (AT)

Member State: Austria (Vorarlberg)




Geographical level: National

Implementation: Since November 2002

Context

Article 23(1) WFD defines that “any establishment or

undertaking intending to carry out waste treatment” is

subject to permit obligations; waste treatment being

defined in Article 3(14) WFD as “recovery or disposal

operations, including preparation prior to recovery or

disposal”. Member States may exempt waste recovery

establishments or undertakings and waste disposal

establishments in case of own non-hazardous waste at

the place of production (Article 24). In that case,

general rules have to be laid down by the

corresponding Member State (Article 25(1) and (2)

WFD).

According to Article 26 WFD professional collectors,

transporters and dealers/brokers are subject to

registration by Member States.

The following procedural requirements for permits are

set by the WFD:

• Article 23(2) WFD states that a permit may be

granted for a specific period and may be renewable;

• Article 23(5) WFD: Permits produced under the

waste management regime may be combined with

other permits;

• Article 23(1) (a) to (f) lists a number of parameters

which are a necessary part of each permit in the

sense of Article 23 (“minimum content”);

• Article 23(3) clarifies that the MS authority shall

refuse to issue the permit if the intended method of

treatment is unacceptable from the point of view of

environmental protection, in particular when the

method is not in accordance with Article 13.

Objective

The Austrian permitting system aims at an efficient

implementation of EU and Austrian waste legislation also

considering smaller treatment plants and involving the

relevant stakeholders. The permit may be issued if the

plant meets certain environmental and safety criteria

(esp. concerning the air, soil, water and human well

being).

Description

The Austrian Federal State “Vorarlberg” applies a

thorough permitting system also including smaller waste

management operation plants. Every waste management

treatment plant in general needs a permit, including

recovery establishments. Permit procedures will be

realised in very close cooperation between the applying

facility and the authority, based on the following pillars:

• On regular basis a hearing is held and a written

permit is issued;

• The local governmental body is regularly party of the

permitting process and representing the interests of

the citizens:

• Neighbours of the planned facility are involved and

may seek appeal if in their opinion the administrative

ruling is wrong. They can raise reasonable doubts

concerning their safety/well being.

In cases where no infringement of rights of the

neighbours is to be expected, a formal hearing is not held

(e.g. very small facilities with no expected effect to the

neighbourhood).

Beside the necessity of the permit and the (electronic)

registration of the plant, the operator also has to be

licensed. For this, the operator has to show knowledge

of the waste treating business and in must not be fined

for certain environmental violations in the past. One

must not do business if permission is not valid.

1. Application

2. Assessment

3. Issue a Permit

4. Follow up

07030/2010/576173/SER/C2 21


For a complete new project the process may seem

complex at first. However the applied practice has

proven to be the smartest way for all involved parties,

showing the following benefits:

• The company gets legal clarity concerning the plant;

civil legal action is limited if a permit is issued after

a hearing. This is also valid to some extent

concerning administrative law.

• The operator takes benefit of extensive legal advice

concerning the whole environmental and industrial

administrative law, which is free of charge.

• He also gets to know what technical issues could be

solved before a formal application process is started

and can therefore save considerable time in the

whole process.

• After the pre-hearing stage an applicant normally

can calculate the economic costs on the conditions

on which the permission is based.

• It is also strongly recommended that the operator

seeks a pre-hearing with town officials and

neighbours. This has proven to be an especially

effective way of minimising formal complaints and

helps to maintain a good relationship.

• The benefit for the authority lies in the much higher

standard of the application documents which are

afterwards a part of the permission.

For small facilities, where no other waste-processing

takes place, the permit may be issued by the more

common county authorities for commercial

administrative law. All other waste treatment plants,

including landfills for soil and agricultural-biogas-plants,

are centralised. This helps to keep the expertise at a high

level. To the benefit of the applicant the proceedings will

follow the “one-stop-shop” rule, meaning that the waste

management operator has to consult only one authority,

which then is in charge to involve other authorities to

include all permitting aspects. This minimises

bureaucratic redundancy and the permission includes

nearly all concerned federal and state laws.

Every permit procedure will be finalised with an on-site

verification inspection where the conditions set for the

facility will be assessed (final routine inspection). If no

further case or incident based inspections are

performed, routine inspections are realised at least every

five years. The results of each inspection will be inserted

in a file notice which is available for other authorities and

technical experts. Routinely the operator gets a feedback

which may not only concern technical but also legal

aspects. It also helps to keep the operator current on

legal changes which may be of bigger effect for his

business.

Further information: www.vorarlberg.at/abfallwirtschaft

07030/2010/576173/SER/C2 22


2.2.3. Operational Risk Appraisal Scheme (Opra) - Risk Assessment Tool (UK)

Member State: United Kingdom





Implementation: Since April 2010

Context

Article 34(1) to (3) WFD sets obligations for inspections.

Following this provision, establishments or undertakings

which carry out waste treatment operations,

establishments or undertakings which collect or

transport waste on a professional basis, brokers and

dealers, and establishments or undertakings which

produce hazardous waste shall be subject to appropriate

periodic inspections by the competent authorities,

Article 34 (1) WFD. Article 34 (2) WFD stipulates that

inspections concerning collection and transport

operations shall cover the origin, nature, quantity and

destination of the waste collected and transported.

According to Article 34 (3) WFD, Member States may

take account of registrations obtained during the

Community Eco-Management and Audit Scheme

(EMAS), in particular regarding the frequency and

intensity of inspections.

As regards inspections of waste management facilities it

shall be considered that risk analysis and strategic

planning have to be made at an early stage in order to

determine which areas and operations should be

prioritised by inspections and monitoring activities.

Objective

Operational risk appraisal (Opra) is a simple risk

assessment tool used for resource planning, the setting

of fees and charges and for reporting by the

Environment Agency in England and Wales. The tool

aims at assessing the risk to the environment from sites

that are regulated with environmental permits.

Description

Opra allows targeting the available resources at facilities

that pose the greatest risk to the environment, e.g.

allocate resources for inspections. The Opra scheme is

also used to report on how facilities are performing and

for determining charges.

The approach to authorising activities has three ‘Tiers’.

The ‘Tiers’ relate to the amount of risk posed by the

activity being permitted:

Tier-1 – Reduced Opra (Registrations)

- Straight link from activity type to a risk. Does not

change with operator behaviour.

Tier-2 – Simplified Opra (standard and simple

bespoken permits)

- Straight link from activity type to a risk. This base risk

(hazard) is then influenced by non-compliance.

Tier-3 – Full Opra (complex bespoken permits)

- Five attributes

- Different Tiers-3 varying for Installations, Waste

Facilities, Water Quality and Mining waste

operations. Similar, but not the same.

The Opra assessment is based on five attributes (risk

parameters), each of which is allocated to one or more

lettered rating bands (see table on next page). Annex

B to the Opra document includes the specifications

(guidance) for applying the Opra scheme on waste

facilities.

Currently, the Opra scheme is not used for Tier-1

permits. A simplified version of the scheme is applied to

Tier-2 permits. The full Opra assessment is used for Tier-

3 permits.

1. Application

2. Assessment

3. Issue a Permit

4. Follow up

07030/2010/576173/SER/C2 23


Tier-3 Opra attributes

Attribute looks at Band rating

Complexity (Activities covered by the permit)

General: e.g. hazardous materials at the site, release/possible release into the environment For waste facilities: for most common types of waste facilities a categorisation is provided

A-E

Emissions and Inputs

(Inputs to and releases from

activities)

General: e.g. releases into air, water, land; waste coming onto site and being transferred off site For waste facilities: amount of waste

A-E

Location (State of the environment

around the site)

General: e.g. proximity to where people live, areas that have been given special legal protection etc. For waste facilities: e.g. proximity to aquifer, air quality zone, run-off

A-E

Operator Performance

(Management systems and enforcement

history)

General: e.g. management systems and procedures used, enforcement actions taken For waste facilities: e.g. operation and maintenance, competence and training level, emergency planning,

A-E

Tier-3 Opra attributes

Attribute looks at Band rating

penalties

Compliance Rating

(Compliance with the

conditions in the permit)

General: e.g. compliance with the conditions in the permit, regulatory work required to deal with cases of non-compliance

A-F

Table 2: Tier-3 Opra attributes explained

The information and answers for each attribute will

give a rating from A-E (A-F for compliance). An ‘A’

rating means that less ‘regulatory effort’ is needed,

while ‘E’ or ‘F’ means more regulatory effort is

required because of the increased environmental risk

of the particular activity.

For easier applications, spreadsheets for automatic

calculation of the ‘Opra banded profiles’ are provided

to operators.

General information, guidance and spreadsheets

have been made publicly available and can be

downloaded from the homepage of the Environment

Agency.

Further information: http://www.environment-agency.gov.uk/business/regulation/31827.aspx

http://www.environment-agency.gov.uk/business/regulation/31827.aspx�

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2.2.4. Risk-based approach to exempt waste operations (UK)






Implementation: April 2010

Context




defined in Article 2 (14) WFD as “recovery or disposal


disposal”.

According to Article 24, Member States may exempt

from the requirements laid down in Article 23(1)

establishments or undertakings for the following

operations:

(a) disposal of their own non-hazardous waste at the

place of production; or

(b) recovery of waste.

Where a Member State wishes to allow exemptions, as

provided in Article 24, it shall lay down, in respect of

each type of activity, general rules specifying the types

and quantities of waste that may be covered by an

exemption, and the method of treatment to be used.

Those rules shall be designed to ensure that waste is

treated in accordance with Article 13. In case of

disposal operations referred to in point (a) of Article 24

those rules should consider best available techniques.

In addition to the general rules, MS shall lay down

specific conditions for exemptions relating to

hazardous waste, including types of activity, as well as

any other necessary requirement for carrying out

different forms of recovery and, where relevant, the

limit values for the content of hazardous substances in

the waste as well as the emission limit values.

Besides, Member States shall inform the Commission of

the general rules laid down pursuant to Article 25(1) and

(2) WFD. According to Article 26 WFD professional

collectors, transporters and dealers/brokers are subject

to registration by Member States.

Objective

Establishments or undertakings that carry out certain

waste disposal or recovery operations have been

exempted from the need to hold an environmental

permit (formerly a waste management licence) for

many years. These operations are not unregulated, but

are subject to lighter touch regulation requiring the

operators to comply with certain rules and not to cause

harm to health or the environment.

The UK is one of the few Member States which

adopted exemptions from permitting in order to

provide a lighter touch regulation to small-scale low

risk waste recovery and disposal operations.

Following a major joint project between the

Department for Environment, Food and Rural Affairs

(Defra), the Welsh Government and the Environment

Agency a risk-based approach was adopted to

determine whether exemptions should be provided

and the size and scale of the exemptions prescribed in

the legislation.

Description

Figure 2 shows the risk based five-step approach, used

by the Government to determine whether to provide

an exemption in the Regulations for a certain waste

operation.

The approach enables a clear and consistent approach

to the assessment and decision making process in the

Regulations.

The Government is required to adopt general rules for

each type of exempt waste operation. Point 2 of Figure

2 means that where it is considered that the rules need

to be assessed in a case-by-case basis there is a

presumption that it would not be appropriate to

provide an exemption in the Regulations.

The threshold (i.e. the boundary in terms of the types

and quantities of waste handled) set between an

1. Application

2. Assessment

3. Issue a Permit

4. Follow up

07030/2010/576173/SER/C2 25


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exempt waste operation and the need for an

environmental permit is based not only on an

assessment of the risk but also on consideration of

‘other factors’.

Figure 2: Risk-based approach for exemptions [Defra

2010]

The Government’s approach involves an overall risk

assessment (high, medium or low) of a waste operation

involving specific waste types based on the risk of

pollution or harm arising from emissions into air, land

or water, etc. or due to noise/vibration, odour,

particulate/dust, litter or vermin.

In addition, the ‘other factors’ identified in point 5 of

Figure 2 have been taken into consideration by asking

the following questions:

1. Can the risk be easily mitigated e.g. by

containment or is active abatement technology

required?

2. Will the establishment or undertaking be required

to undertake risk assessment prior to the

operation commencing?

3. Are waste types well characterised and consistent?

4. Is it in the public interest to undertake a low

regulatory approach?

5. Would the exempt waste operation be subject to

abuse?

6. Is a high degree of operator compliance or

accreditation needed?

7. Is there a need for record-keeping?

8. Will regular inspection or other compliance

assessment be needed?

9. Is the cessation of operations likely to need

assessment?

10. Would the general binding rules be so complicated

that it would be difficult for the regulator and

establishment or undertaking to easily identify

what compliance looks like?

11. Are there other, political, policy or economic

considerations?

The key factor of the assessment are used to decide

whether or not to provide an exemption for the waste

operation.

Examples of exempt waste operations include for

instance crushing, grinding or size reduction of bricks,

tiles and concrete, waterway dredging, recovery or

disposal as part of the production process, balling,

compacting, crushing, shredding or pulverising,

spreading ash, etc.

This risk assessment approach enables a consistent

approach to amendments and the development of new

exempt waste operations will be adopted in the future

as part of a regular review process.

It should be noted that the above risk based approach

relates only to the Government’s development of new

or amended exempt waste operations and not the

interpretation of the exempt waste operations once

they are prescribed in regulations.

Further information: - [Defra 2010] Environmental Permitting Guidance – Exempt Waste Operations; March 2010:

http://archive.defra.gov.uk/environment/policy/permits/documents/ep2010exemptwaste.pdf - General information on waste exemptions in the UK: http://www.environment-

agency.gov.uk/business/topics/permitting/32322.aspx

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07030/2010/576173/SER/C2 26


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2.2.5. Compliance Assessment Scheme (UK)

Member State: United Kingdom (Scotland)

Permitting steps: 2. Assessment 3. Issue




Implementation: Since 2009

Context








establishments in case of own non-hazardous waste at

the place of production (Article 24); in that case,

general rules have to be laid down by that Member

State (Article 25(1) and (2) WFD).

According to Article 26 WFD professional collectors,

transporters and dealers/brokers are subject to

registration by Member States.

The following procedural requirements for permits are

set by the WFD:

• Article 23(2) WFD states that a permit may be

granted for a specific period and may be renewable;

• Article 23(5) WFD: Permits produced under the

waste management regime may be combined with

other permits;

• Article 23(1) (a) to (f) lists a number of parameters

which are a necessary part of each permit in the

sense of Article 23 (“minimum content”)

• Article 23(3) clarifies that the MS authority shall

refuse to issue the permit if the intended method of

treatment is unacceptable from the point of view of

environmental protection, in particular when the

method is not in accordance with Article 13

For landfills being subject to permit obligations, the

Landfill Directive provides further detailed procedural

and substantial requirements as regards the application

(Article 7), the conditions (Article 8) and the content

(Article 9) of the permit.

Objective

The Scottish Environmental Protection Agency (SEPA)

issues a range of licences designed to control activities

that could lead to pollution or environmental damage.

Compliance with these licences is important in ensuring

that the environment and human health are protected.

Industries and businesses should find it as easy as

possible to understand their responsibilities, to comply

with the regulations and to realise the many economic

benefits of good environmental practice. For these

reasons, SEPA has made a strong commitment in its

Corporate Plan 2008-2011 to delivering a programme

of Better Regulation. As part of this programme,

improvements are being made to SEPA's approach to

assess compliance with environmental licences,

permits, authorisations and certain registrations

(referred to generically as 'licences' in this

consultation). The aim is to receive more effective,

transparent and efficient regulation.

Description

The Compliance Assessment Scheme will apply across

all regulatory regimes, but will be implemented in a

phased manner to allow adequate time for thorough

preparation for each regime and to learn from issues

raised at each stage of implementation. The scheme

applies to Pollution Prevention and Control (PPC)

licences from January 2009, amongst others to landfills.

Since January 2010 also other Waste Management

Licences are included, in particular to transfer stations,

civic amenity site and fridge storage and treatment.

The Compliance Assessment Scheme is used to assess

an operator’s level of compliance with the licence.

A continuous assessment is used throughout a calendar

year with the level of compliance being assessed after

each inspection, data assessment or environmental

1. Application

2. Assessment

3. Issue a Permit

4. Follow up

07030/2010/576173/SER/C2 27


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event (such as an oil spillage) at a site. This assessment

is shown as a compliance level. The levels are;

excellent, good, broadly compliant, at risk, poor and

very poor.

The scheme distinguishes between conditions that

relate directly to the environment and those which

relate to management requirements that ensure

appropriate environmental protection. These two types

of conditions are referred to as Environmental Limit

Conditions (ELCs) and Environmental Management

Conditions (EMCs). SEPA considers both types of

conditions to be equally important and has developed a

compliance matrix comprising six compliance bands

(see Figure 1).

Environmental Limit Condition

(ELCs)

Envi

ronm

enta

l M

anag

emen

t Co

ndit

ions

(EM

Cs)

No breaches

Minor breach/one gross breach

Significant breach, more than one gross breach or repeat minor breach

High per-formance

Excellent Good Poor

Medium per-formance

Good Broadly compliant

Poor

Low per-formance

At risk Poor Very poor

Figure 3: Compliance Matrix

The assessment will be undertaken on a calendar year

basis by the inspecting officer who will record, explain

and comment on any breaches or non compliance on

the compliance record. Early in the following year,

information on this record will be used to determine

the annual overall compliance band (i.e. excellent,

good, etc.). The overall compliance band for 2009 can

be accessed by stakeholders via the SEPA homepage.

Information related to the assessment will be

recorded in the Compliance Record and assessed

against the overall Compliance Matrix (see Figure 1). A

Compliance Record template for Landfills (falling under

IPPC) is presented below (see following table). For

more details please review in particular Annex 3 of the

‘Compliance Assessment Scheme Guidance Manual’,

which can also be downloaded from the SEPA

homepage.

The following Environmental Limit Conditions (ELCs)

are set:

For landfills

Scope ELCs: description of activity and geographic

boundaries; waste types

Numeric ELCs: noise, suspended solids, biological

oxygen demand

Process ELCs: odour, fires, total waste quantity, annual

waste quantity, geological barrier, leachate

collection/sealing, Environmental harm

Process ELCs -Water - descriptive conditions: no

significant oil, sewage fungus, discoloration etc

For transfer stations/civic amenity sites/fridge storages

and treatment facilities

Scope ELCs: activity, waste types

Process ELCs: waste quantities, hours of operation,

maximum duration of storage, impermeable pavement,

degassing of coolants oil temperature, odour, litter,

burning

Numeric ELCs: noise, lighting limits

The following includes examples for the specification

of some ELCs regarding landfills.

The following Environmental Management Conditions

(EMCs) are set:

For landfills

Management: knowledge of licence by appropriate

staff, management plan, managerial

structure/commitment, staffing, training, monitoring

and control systems/procedures and emergency

response procedures/accident plans/short term

response to incidents

Plant and infrastructure: emergency response

procedures/accident plans/short term response to

incidents, monitoring equipment, maintenance of

processes, plant and installation to relevant standards,

implementation of monitoring/testing/calibration

programmes, spare part availability

Record and availability: record keeping, information

and records available as required by licence, reports to

SEPA required under licence, notification of incidents

07030/2010/576173/SER/C2 28


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For transfer station/civic amenity sites/fridge storage

and treatment

Management: knowledge of licence by appropriate

staff, knowledge of working plan by appropriate staff,

managerial structure/commitment, staffing, training,

monitoring and control systems/procedures,

emergency response procedures

Plant and Infrastructure: plant and infrastructure,

maintenance of processes, plant and installation on

relevant standards, implementation of

monitoring/testing/calibration programmes

Reporting and recording: record keeping, reports to

SEPA required under licence, notification of incidents

Environmental Limits

ELC

parameter

Typical licence conditions

Data sources

No breaches

Minor breach(es) or minor env. event(s)

Repeated minor breaches or events

Gross breach Significant breach(es)

Comments

Numeric ELCs

Noise Where set 2.9.2

Compliant with licence

Breach of licence condition

Four or more minor breaches

Monitoring or reporting failure only

Causes Category 1 (major) or Category 2 (significant) environmental event

ELC condition where noise limits are set

Suspended solids


Exceeds the licensed limit but is less than twice the licensed limit

See look-up table for number of minor breaches constituting repeated minor breaches

Exceeds twice the licensed limit


Total waste quantity

4.1.1 Waste data returns


Breach of licence condition

N/A As above


Not likely to be routinely assessed - final operational year assessment condition

OVERALL ELC band

Table 3: Compliance Record template for PPC Part A – Landfills [Compliance Assessment Scheme Manual 2010; Annex 3]

Further information: Compliance Assessment Scheme (general information): http://www.sepa.org.uk/about_us/what_we_do/compliance_assessment.aspx Compliance Assessment Scheme Guidance Manual 2010: http://www.sepa.org.uk/about_us/publications/better_regulation.aspx (i.e. Annex 3) 2009 Assessment Reports: http://www.sepa.org.uk/about_us/what_we_do/compliance_assessment/2009_assessment_reports.aspx

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07030/2010/576173/SER/C2 29


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2.2.6. Permitting checklist for primary WEEE treatment facilities (DE)

Member State: Germany

Permitting steps: 2. Assessment 3. Issue


WEEE Directive


Implementation: Since September 2009

Context

Article 6(1) WEEE Directive sets the obligations to the

Member States “to ensure that producers or third

parties acting on their behalf, in accordance with

Community legislation, set up systems to provide for

the treatment of WEEE using best available treatment,

recovery and recycling techniques.” Further Article 6(2)

lays down, that Member States shall ensure that any

establishment or undertaking carrying out treatment

operations obtains a permit from the competent

authorities, in compliance with the Waste Framework

Directive.

Further, Article 6(2) WEEE Directive provides that for

derogations from permit requirements under Article

24(b) WFD, specified inspections in the respective

recovery facilities are a precondition. In this regard the

competent authority shall carry out an inspection

before the registration verifying:

• the type and quantities of waste to be treated;

• the general technical requirements to be complied

with;

• the safety precautions to be taken.

The inspection shall be carried out at least once a year

and the results shall be communicated by the Member

States to the Commission.

Objective

The German Electrical and Electronic Equipment Act

(ElektroG) implements the WEEE Directive into national

law. One objective is to ensure that WEEE treatment is

only performed by establishments having the necessary

knowledge and technical equipment. Therefore the

ElektroG provides provisions for facilities where

primary treatment takes place. Those facilities must

ensure that annual certification is performed by an

expert. The certification is valid for a period of no

longer than 18 months. The expert shall set a deadline

not exceeding 3 months for the operator within which

the requirements for this certification must be

satisfied. When verifying compliance, certification

results must be taken into account. Within the

certification procedures, inspections of the facility are

to be realised.

Description

The German Federal Working Group Waste (LAGA)

established a guideline for WEEE, including in its Annex

6 a list of questions for the conditions of WEEE treating

facilities, meant to be used by authorised

experts/inspectors. Administrative staff can

subsequently use these checklists when proceeding

permits/realising inspections at relevant waste

treatment facilities or use it as a template to complete

own checklists [LAGA 2009]. The checklist mainly

focuses on questions regarding obligations set in the

WEEE Directive. However, it also includes the checking

of additional legal requirements (e.g. on the Regulation

on certain fluorinated greenhouse gases), to reduce

administrative burden and bundling inspection

capacities.

1. Application

2. Assessment

3. Issue a Permit

4. Follow up

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Check list for WEEE primary treatment facilities 1 Activity

1.1

Is the facility operating as a primary treatment facility which has to be certified (in accordance with German law), or is it operating as a next step in the treatment chain (on which no primary data collection is imposed)?

1.2 Which EEE categories are treated or sorted at the facility?

1.3 Is a partial/complete de-pollution of the collected waste carried out (removal of harmful substances)?

1.4 Are relevant waste treatment steps, including the sorting and storing, subject to other legal provisions?

1.5 Are any subcontractors appointed by the primary treatment facility?

1.6 Are subcontractors regularly monitored (unless primary treatment facilities)?

1.7 Is a possible re-use of products taken into consideration?

2 Operating rules

2.1 Are operating rules available in a written form?

2.2 Are all relevant provisions for occupational safety and organisation included?

2.3 Is the process/operation defined in the operating rules?

2.4 Are procedures/instructions on how to behave in case of a hazardous situation included in the operating rules?

2.5

Are provisions included, e.g. operating instructions according to safety rules for handling of certain types of WEEE, such as cathode ray tubes or CFC-containing cooling appliances?

2.6 Are important passages of the operating rules posted conspicuously on relevant facility premises?

3 Instruction handbook/manual 3.1 Is an instruction handbook/manual in place?

3.2

Are all necessary measures for standard operation, maintenance and disruptions of operation, proper waste handling/discarding of WEEE as well as the occupational safety at the workplace defined?

3.3 Are these measures in line with fire protection, alarm and action plans?

3.4 Are the roles and responsibilities of the staff defined?

3.5 Are inspection- and maintenance procedures established?

3.6 Is the work flow (material flow diagram) described?

3.7 Are operating procedures for safety and

environmental protection-related activities compiled?

3.8 Is the instruction handbook/manual posted conspicuously on relevant facility premises?

4 Operations diary

4.1 Is record kept for all incoming WEEE (according to European Waste Code) and for related quantities?

4.2

Are documents for proper waste management, consignment notes/dispatch notes, consignee's return available for all outgoing WEEE, WEEE components and materials?

4.3 Are all relevant registration requirements met?

4.4

Is the amount of waste for different WEEE categories verified (through sampling of the input) and are the identified WEEE amounts appropriately documented?

4.5 Are the quantities of re-used WEEE, assemblies or components documented (possibly selling certificate)?

4.6 Are subcontractors, appointed to recover/dispose WEEE, WEEE components, materials, well documented?

5 Operation requirements

5.1 Are all technical requirements fulfilled (e.g. according to Annex III of WEEE Directive)?

5.2

Is the incoming equipment and parts of it examined concerning damages, which could possibly cause danger or release of hazardous substances?

5.3 Is the damaged equipment separately stored in storage areas specifically destined for that purpose?

5.4 Are binders for spills and mercury adsorbers available?

5.5

Are separated toxic components such as batteries, capacitors or mercury-containing components accepted? If yes, is the required permit available?

5.6 Is a risk assessment according to REACH/CLP available?

5.7

Does the collected data on the mass flows provided to the respective manufacturers allow them to fulfil their information sharing obligations?

5.8 Are all recovery/re-use/recycling targets set in the WEEE Directive met?

6 Storage of WEEE assemblies, components, materials and fractions

6.1

Are appropriate containers for the storage of batteries, PCB/PCT containing capacitors and other hazardous waste such as radioactive waste available?

6.2 Are dismantled parts or fractions stored appropriately (avoiding any pollution of

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07030/2010/576173/SER/C2 31


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water, soil and air)? 6.3 Are different fractions stored separately?

6.4 Is the storage area protected against unauthorised access?

6.5 Are applicable legal provisions regarding the handling and storage of harmful substances and groups of elements considered?

6.6 Are binders for spills and mercury adsorbers available in storage areas?

7 Removal, disassembly and separation (treatment)

7.1 Are all relevant facility requirements for disassembly, according to met?

7.2 Are, at least, all fluids removed?

7.3

Are the substances listed in Annex II of the WEE Directives, preparations and components removed and sent to appropriate disposal/recovery operations?

7.4

Are components containing radioactive substances disposed of corresponding to the specifications defined in the Radiation Protection Ordinance?

7.5 Are PCB containing capacitors disposed of in accordance with the Directive of the disposal of PCB/PCT (PCB Directive)?

7.6

Are the following additional requirements according fulfilled • Removal of wooden parts of radio/TVs • Removal of oily filters before mechanical

treatment • Removal of vacuum cleaner bags from

vacuum cleaner • Removal of mineral cotton and passed to

suitable recovery/treatment operation. 8 Treatment of cooling appliances

8.1 Are requirements) related to cooling appliances met?

8.2 Is the reliability of the drainage approved annually by a competent authority?

8.3 Is the CFC-content of the degassed refrigerator oil <2 g total halogen/kg?

8.4 Is the insulating material degassed in an enclosed and leakage tested system?

8.5 Are the measures for continuous leakage tests documented?

8.6 Are continuous measurements of CFC emissions in the exhaust gas carried out and what are the measured values?

8.7 Are the nature and quantity of withdrawn and discarded materials documented?

8.8

Is the nature and quantity of withdrawn and discarded materials documented according to the Regulation on certain fluorinated greenhouse gases (EU Regulation 842/2006/EC)

8.9 Is a CFC annual inventory established for all CFCs, according to their degree of chlorination?

8.10

Are employees appropriately educated in relation to fluorinated greenhouse gases (according to the Regulation on substances that deplete the ozone layer (EU Regulation 2037/2000/EC) and the Regulation on certain fluorinated greenhouse gases (EU Regulation 842/2006/EC)?

9 Additional criteria for transfrontier shipment and re-use of appliances

9.1

Are regulatory requirements according to the Waste Shipment Regulation (EU Regulation 1013/2006/EC) regarding disposal/recovery fulfilled?

9.2 Are collected devices passed as products?

9.3 Is the functionality of the devices, components approved?

10 Further issues 10.1 Is incoming waste correctly classified?

Table 4: Checklist for realising site inspections [LAGA 2009, Annex 6]

Further information: Requirements for treatment of WEEE, September 2009 (available in German) [Anforderungen zur Entsorgung von Elektro- und Elektronik – Altgeräten, Mittelung der LAGA 31]: http://www.laga-online.de/servlet/is/23874/M31_2030092009_2.pdf?command=downloadContent&filename=M31_2030092009_2.pdf Implementation guide for treatment operations, May 2005 (available in German) [Vollzugshilfe Entsorgungsfachbetriebe; Mitteilung 36]: http://www.laga-online.de/servlet/is/23874/m36_vollzugshilfe_entsorg_betr.pdf?command=downloadContent&filename=m36_vollzugshilfe_entsorg_betr.pdf

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2.2.7. Methods waste licensing and permitting - Public access to licensing files (IE)

Member State: Ireland

Permitting steps: 2. Assessment 4. Follow up





Context






disposal”.

Article 15(1) to (4) IPPC Directive obliges the European

Member States to ensure that the public concerned is

given early and effective opportunities to participate in

the procedure of issuing a permit for new installations

or any substantial change and for updating a permit or

permit conditions for an installation. When a decision

has been taken, the competent authority shall inform

the public and shall make the corresponding

information available (e.g. content of decision, copy of

permit etc.).

Directive 2003/4/EC (Public access to environmental

information) requires that responsible authorities make

available and disseminate environmental information

to the general public to the widest extent possible, in

particular by using information and communication

technologies (recital 9). Article 6(2)(f) of the same

Directive concretises that authorisations with a

significant impact on the environment are accessible

for the public.

Hence information on waste permits falling under the

IPPC Directive and on authorisations with a significant

impact on the environment has to be made publicly

available.

Objective

In Ireland waste disposal and recovery facilities are

required to hold an authorisation in accordance with

the Waste Management Acts, 1996 to 2008. A four tier

system of authorisation has been established for the

regulation of such activities. In general, a waste

recovery or disposal facility requires either:

• a Waste (or IPPC) licence, or

• a Waste Facility Permit, or

• a Waste Certificate or Registration

• no authorisation as it is an exempted activity

The EPA regulates sites that are subject to a Waste

Licence (highest risk activities). Local Authorities

regulate sites that are subject to a Waste Facility

Permit and private operators that are subject to a

Certificate of Registration. The EPA regulates Local

Authority activities that are subject to a Certificate of

Registration.

In order to enable a smooth authorisation procedure

and to support the application for environmental

permits or registration, the Irish EPA provides

comprehensive information to stakeholders on their

website.

Description

As part of the EPA’s policy of openness and

transparency and in accordance with the Access to

Information of the Environmental Regulation and

various Licensing/Permitting Regulations, authorisation

files are accessible for stakeholders and the public.

Members of the public may compose written

comments/objections to the EPA about waste licence

applications (within 28 days of notification of the

proposed decision). A fee is charged for raising

1. Application

2. Assessment

3. Issue a Permit

4. Follow up

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objections. Everyone who makes a comment is notified

of the EPA’s proposed decision on the application.

The public has access to the application documentation

in hardcopy format and, where available, electronic

format (e.g. PDF files). The available material includes

summary details of licence applications and related

documents. Currently, around 40,000 PDF documents

are available online including: all licences granted to-

date, applications received by the EPA since December

2004 (a limited number received before December

2004) and Annual Environmental Reports for 2008

onwards.

For each facility, the following documents can typically

be obtained:

Application/Enforcem

ent Typically included

Applicant Documents Application form, letter from

applicant, objection by applicant

EPA Documents

Proposed/recommended/final

decision, Inspector’s Report,

Technical Committee Report, letter

to applicant, Technical Amendment

Requests, etc.

Third Party Documents Various submissions/comments

from third parties

Annual Environmental

Reports Annual Environmental Report(s)

Miscellaneous

Documents Additional information

Table 5: Licence Application/Enfoncement Documents

Stakeholders can browse alphabetically by

Applicant/Licensee name, search by Register Number,

use the provided search field, browse by facility type

(e.g. landfill, hazardous waste facility, material recovery

facility, waste transfer station etc.), etc.

The EPA provides relevant documents on their

homepage as soon as possible and every effort is made

to ensure completeness and accuracy of files. In case

that no electronic documents are available under a

certain category (see Table 5-5), information on where

these can be obtained in hardcopy format is included.

Furthermore, stakeholders have the opportunity to set

up a ‘RSS Feed’, which is a simple way of keeping up to

date with particular licence applications. By subscribing

to the ‘RSS Feed’ stakeholders will receive alerts when

new documents have been uploaded on the EPA

website.

Further information: Information on waste licensing and permitting: www.epa.ie/whatwedo/licensing/waste/ Information on public access to licensing files: www.epa.ie/whatwedo/licensing/files/ Search for a waste application, license, Annual Environmental Reports: www.epa.ie/terminalfour/waste/index.jsp

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2.2.8. Waste prevention in the environmental permit procedure (FI)

Member State: Finland

Permitting steps: All stages





Context

The WFD stipulates in its Article 4 that waste has to be

prevented in the first place and that Member States

may take legislative or non-legislative measures to

ensure that any natural or legal person who

professionally develops, manufactures, processes,

treats, sells or imports products (producer of the

product) has extended producer responsibility (Article

8 WFD). Article 3(12) WFD defines waste prevention

as: “measures taken before a substance, material or

product has become waste, that reduce the quantity

of waste, the adverse impacts of the generated waste

on the environment and human health, or the content

of harmful substances in materials and products.” Hence, Member States may take initiatives to oblige

the producing industry to reduce waste.

Objective

In order to obtain an environmental permit in Finland,

an activity has to meet the requirements laid down in

the Environmental Protection Act (86/2000), the

Waste Act (1072/1993, amendments up to 173/2010)

and the regulations issued under these laws. With

regard to waste prevention and material efficiency,

Section 5 of the general provisions of the

Environmental Protection Act and Section 4 of the

Waste Act’s general duties of care are crucial. At this

point it should be mentioned that the new waste

legislation has just been approved in the Parliament.

Relating to the new Waste Act, a revised guide on

promoting material efficiency in environmental

permits will be published in spring 2011.

Finland pursues the trendsetting approach that waste

prevention should become an integral part of the

environmental permitting procedure, as the procedure

can be seen as a control instrument of a planned

activity, which enables the setting obligations and limits

concerning waste production and emissions. Waste

prevention can be defined as preventive actions taken

which lead to the reduction of waste volume or

mitigation of the harmful effects of waste. These actions

can cover raw-material acquirement, product design,

production processes, skills and expertise of staff, use of

hazardous substances, packaging and storing, etc.

From the point of view of a permit procedure the author

concludes that there is most potential for waste

prevention in industrial operations and less potential in

mineral extraction, energy production or waste and

water management [Salmenperä 2005].

Description

There is not only one appropriate way to take waste

prevention into account during the permitting

procedure. The permit procedure is influenced by

different factors such as the nature of the activity and

the assessed impacts on the environment. Therefore, it

is important to consider waste prevention throughout

each stage of the permitting procedure, as illustrated in

Figure 5-3.

1. Application

2. Assessment

3. Issue a Permit

4. Follow up

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Possible examples for waste prevention conditions included in a permit

Reduction of metal waste amount “The amount of metal waste generated by an operation should be reduced in such a way, that metal waste volume generated in year x is 5% smaller than metal waste volume generated in year” Prevention of packaging “In procurement of chemicals and raw materials multi-use or recyclable containers and packages should be used as much as possible and small-size and disposable packages should be avoided” Replacement of hazardous substances “The operator shall find out if it is possible to replace a “hazardous substance x” with a non-hazardous substitute till the end of year x.” Expand life-span “The operator shall find out if it is possible till the end of year x to prolong the life-cycle of the chemicals used in the operation.” Monitor life-cycle “The operator shall submit by [date] a new application for the review of permit conditions. The application shall include monitoring of the life-cycle of the produced products or other corresponding account on the product life-cycle’s environmental effects.” Account on waste generation “Specified waste generation resulting from an operation (x kg/t of a produced product or a turnover or the employee number) shall be monitored annually. If the specified waste generation increases, the operator shall provide an account on the increase along with the annual report.” Public procurement “Till the end of year x the operator shall develop purchase supporting criteria or a set of directions which apart from dealing with other activities essential for the operation shall also take environmental issues into consideration.” Account of measures to reduce waste “The operator shall provide the Environment Centre till the end of year x with an account on activities which enable minimisation of the overall quantity of waste generated by the operation”

Figure 4: Waste prevention in different stages of the

env. permit procedure in Finland [Lindström

et al. 2005, Annex IV: Salmenperä 2005]

1. Permit application

Information on the nature of the activity and its impact

on the environment need to be included in the permit

application. The applicant and the permit authority

should collaborate in order to define what information

is important for granting the permit and advance waste

prevention. Discussions between the permit authority

and the operator should cover the following

issues/questions:

• Is information regarding material flows, production

processes and generated waste included in the

permit application?

• Is a process flow chart attached to the application?

• Is an account on activities undertaken and/or

activities which will be undertaken in order to

minimise waste and reduce its harmful effects

included in the permit application?

• Is waste volume monitoring data from the past few

years included?

• Is information related to a potential environmental

management system (EMS) and its objectives

included (i.e. objectives for waste prevention)?

• Is it possible to gather data through the EMS which

can be utilised for the permit application?

2. Permit consideration

Notifying and publicising of the application

Preparation of the environmental permit application

Launching of the permit application

Processing of the official documents and possible further

clarifications

Statements, complaints and opinions

Hearing of the applicant – revision of the

operation description and possible response

Permit consideration

Publicising of the decision

Permit decision

Appellate procedure

Legally valid permit

Compliance monitoring and control

1. Information on the material

flow, waste, processes,

waste monitoring

2. Discussions about waste prevention

possibilities, encouraging the

operator

3. Implementation

of permit conditions advancing

waste prevention

4. Compliance monitoring and control also of

the issues concerning

waste prevention

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Further information: All information can be obtained from: The Finish Environment Institute [Lindström et al. 2005]: Waste-related conditions in Environmental Permits (i.e. Annex IV, [Salmenperä 2005] Waste Prevention in the Environmental Permit Procedure in Finland); the project was realised in collaboration with IMPEL Download at: http://www.environment.fi/default.asp?contentid=140863&lan=en

Site visits, discussions and negotiations with the permit

applicant and other ways of communication e.g. e-mail,

phone calls, etc. give the permitting authority a chance

to motivate the applicant to find out possible ways for

waste prevention (see Figure 5-3.).

The communication during the permit procedure

should, however, not be a one-way flow of information,

but rather take the form of a discussion and a mutual

exchange of ideas. It is not the role of the permit

authority to act as an expert.

3. Permit conditions

According to Section 42 and 45 of the Environmental

Protection Act, necessary regulations on waste,

minimisation of waste volume and its harmfulness have

to be included in a permit.

As already mentioned, the use of conditions concerning

waste prevention is a new issue. However, an

environmental permit should include as many detailed

conditions as possible. The permit condition concerning

waste prevention can, e.g. include

• Reduce waste volume of generated waste

• Reduce specific waste components essential

because of its hazardous character

• Substitute raw materials

• Install an account on activities undertaken during

the past year in order to minimise waste quantity

and its harmful environmental effects and report

those measures to the authority (e.g. with annual

report)

Such conditions allow easier permit surveillance and it is

clear for the operator what actions to take in order to

minimise waste. Thereby, it is essential that permit

conditions do not limit the ability to compete and/or to

limit the production capacity. In addition, permit

conditions should not include any orders concerning

technical solutions, as the operator should be given the

opportunity to make own choices of appropriate

technique which is best for reaching a level or target set

in the permit.

In order to implement control and monitoring, the

methods and frequency of performing them should be

formulated in the permit, as well as the ways of data

analysis and reporting the results to supervisory

authorities. The operator can also be obliged to provide

other necessary information needed for monitoring

purposes.

4. Inspection

Inspection of the permit conditions is an important

stage of the permitting procedure. Inspection usually

focuses on the documents submitted by the operator,

but it can also take a form of a discussion on the

implementation of permit conditions and reaching the

objectives set out by it. In connection to waste

prevention, it is good if waste prevention issues are also

discussed during the inspection stage.

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2.2.9. Cooperation with authorities and plant operators (AT)

Member State: Austria (Vienna)





Implementation: Since November 2002

Context








establishments or undertakings in case of own non-

hazardous waste at the place of production (Article 24);

in that case, general rules have to be laid down by that

Member State (Article 25(1) and (2) WFD).

The cooperation of authorities involved in the

permitting and inspection procedures and the

cooperation with the plant operator are crucial for

permitting under waste legislation and for a smooth

realization of permit procedures of waste management

facilities.

Objective

The Austrian permitting system aims at an efficient

implementation of European and Austrian waste

legislation with realizing a good cooperation amongst the

involved authorities and strong support/cooperation

with the plant operator needing a permit.

Description

In Austria every waste management treatment plant in

general needs a permit, including recovery and smaller

establishments. The Austrian Federal State “Vienna”

sees training and education of both authorities and

plant operators as a cornerstone of smooth

implementation of EU and Austrian waste legislation.

Close cooperation between the concerned authorities

but also between the competent authority and the

plant operator is performed to a priori to avoid

problems and hindrances.

The concept of cooperation and information includes

the following measures:

Training and education for the authorities which is

based on:

• The administrative staff being involved in waste

permitting and inspections is being educated by

the city of Vienna within specific courses including

information on permitting and inspection

procedures, waste legislation and technologies

and further environmental issues

• When starting work at the office a “buddy

system” is being applied, meaning that new

administrative staff is for the first

permits/inspections supervised and accompanied

by an experienced colleague

• The experts are responsible for a certain set of

waste management operations; being in charge

for the whole permitting and inspection

procedure for one plant – thus unifying the

competences about a certain case and bundling

the knowledge about waste management

technologies

• Further training providing information on new

procedural, legislative and technical

developments is provided by the administration

academy Vienna (“Verwaltungsakademie”);

usually attended by the administrative staff once

a year

Cooperating amongst authorities:

• The expert in charge for the plant permit is checking

the necessity to involve other authorities (air,

water, occupational health, industrial engineering

etc.), requests for agreement/comments on the

permit, and collects all responses

1. Application

2. Assessment

3. Issue a Permit

4. Follow up

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• A similar procedure is performed when planning

and realising controls: experts on other legal issues

(as mentioned above) are being asked to contribute

to inspection planning (issues to be inspected) and

to take part in the inspection

• Large inspections (“komisionelle Revision”) are

performed at least every 5 years, including up to 25

experts from different fields of expertise being

involved in paper and on-site inspections

• For facilities with higher danger potential, large

inspections are realised every 2-3 years

• Inspections based on complaints are performed in

between this time interval including only the experts

involved on the particular issue

• All permit material and inspection reports are stored

at the authority and are available to use for the

involved authorities

Cooperating with/support for the operator requesting a

permit:

• The whole procedure of permitting is accompanied by

extensive consultation of the waste management

plant operator including information on legislative

and technical details

• Also if further investment is planned, the operator is

invited to consult the authority before investment is

done

• The expert who is handling the whole administrative

procedures of a plant (including permitting and

inspections) is dedicated as a contact person to the

operator – thus enabling the expert to concentrate

expertise and knowledge about the particular facility

and to reducing administrative burden to the

operator and enabling

• Operators are informed by the authority about news

and changes in legislative obligations (e.g. via

informal Email alert)

• Necessary documents and support for operators are

available as downloads at the website

Further information: http://www.wien.gv.at/umweltschutz/abfall/entsorgung.html

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2.2.10. Training for authorities involved in permitting and inspections (EE)

Member State: Estonia





Implementation: Since 1992/2004

Context








establishments or undertakings in case of own non-

hazardous waste at the place of production (Article 24),

in that case, general rules have to be laid down by that

Member State (Article 25(1) and (2) WFD).

The cooperation of authorities involved in the

permitting and inspection procedures and the provision

of guidance material and training seminars for the

involved permitting and inspection staff are crucial for

permitting under waste legislation.

Objective

As waste management operations include a wide variety

of organisational structures and technical equipment,

permitting and inspection authorities need expertise

knowledge, qualification and regular training to

thoroughly realising smooth permitting procedures and

inspection. The main objective of the provided training

seminars for permitting and inspection staff in Estonia is

to harmonize the quality of the permits and to improve

the efficiency of inspections.

Description

Regular trainings on permitting and inspection issues are

organised and realised by the involved authorities. A

variety of information is available for realising the

trainings (e.g. manuals, presentations).

Permitting trainings

Training seminars for authorities and staff involved in

permitting are usually organised by the Estonian

Environmental Board. If necessary, however, other

institutions, like the Ministry of Environment, the

Environmental Inspectorate, the Environmental

Information Centre, etc. are involved in the

preparation and realisation of the trainings; and if

needed these institutions also participate in trainings

organised by other authorities.

Trainings for staff involved in permitting under waste

legislation in Estonia are organised as often as

necessary, but usually at least 1-2 times a year. The

main topics discussed during such trainings are

exemplary listed in Table 5-6.

Main topics covered Example

How to interpret legislation

e.g. definition of “waste”; what is “dangerous waste”, focus on national particularities

How to solve problems in practice

e.g. how to implement waste hierarchy

Discussions on different topics

related to issuing permits

e.g. what kind of requirements apply to certain types of waste and to certain handling operations in certain places

Site visits Visiting certain waste facilities, e.g. lead battery recyclers

Presentation of new technologies

e.g. presentation of post shredder technologies

Table 6: Issues covered in trainings for the staff

involved in waste permitting

1. Application

2. Assessment

3. Issue a Permit

4. Follow up

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Inspection trainings

Training courses for inspectors of waste management

operations in Estonia are organised annually by the

Environmental Inspectorate.

The provided training courses can be divided as

indicated in Table 5-7.

Training courses

provided Exemplary Content

Trainings for new inspectors

(tutoring)

- A new inspector and inspector with experiences working together for 3 months (buddy system)

- Training takes place during regular work

Trainings for tutors

- Train the trainers, communication

Training for regional

inspectors in each region

- Head office goes to the region, they do an example control of one company in the region and give advice how to improve the supervision

Training courses

provided Exemplary Content

Training seminars for all

inspectors in Estonia

- Presentation of new legislation, requirements

- Information exchange in relation to practices, BAT, cases

Training seminars in cooperation with other

authorities (e.g. Ministry of

Environment Board)

General questions are posed and answered in a discussion, covering issues such as:

- New directives and requirements; how to implement them

- Cooperation and discussion between the Env. Board and the Inspectorate

- Case studies

Trainings organised by

the IMPEL network

- Joint inspections and enforcement actions (IMPEL Enforcement Action project)

- Learning from experience in other countries

Table 7: Exemplarily content of training seminars for

staff involved in inspections of waste

management operations

Further information: The Environmental Inspectorate: http://www.kki.ee/est/ (Training Specialist, Triin Sikkal, [email protected] ) Environmental Board: http://www.keskkonnaamet.ee/ Various training documents (presentations) can be accessed via the Environmental Inspectorate’s Intranet

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2.3. Best practice example on inspection

Regarding inspection and monitoring, the best practice examples cover the

four stages of the inspection cycle.

In addition practices on providing training and guidance to competent

authorities, organising effective networking amongst officials in competent

authorities on local, regional and national level, etc. have been introduced, as

far as possible.

Inspection

Inspection cycle:

- Strategic planning

- Execution Framework

- Realisation of inspections

- Monitoring/Follow-up

--------------------------- Reference: The inspection cycle was elaborated by the IMPEL network and is thoroughly explained in the guidance book “Doing the Right Things II”, available as download at: http://impel.eu/key-projects/key_1/doing-the-right-things

2. Execution Framew ork Work protocols and

instructions Protocols for communication Information management

and exchange Equipment and other

3. Realisation of Inspections Routine/non-routine inspections Investigation (incl. accidents, incidents,

non-compliance) Reporting Information exchange (e.g. with

partner organisations)

4. Monitoring/ Follow -up Monitoring Accounting for effort,

performance results Comparing and auditing External reporting

1. Strategic P lanning Describing the context (scope of inspection plan,

gathering information for performing the risk assessment)

Setting priorities (risk assessment, ranking and classification of installations and activities, resources)

Defining objectives and strategies (quantitative/qualitative inspection objectives and targets, inspection strategies to ensure compliance, communication strategy)

Planning and reviewing (organisational, human and financial conditions, inspection plan including inspection schedule, review and revision)

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The following table provides an overview of the 10 best practice examples

elaborated on inspection.

Nr Title Inspection Cycle

Stage Legislation

covered MS

1 Methods for risk based classification and ranking of inspection objects

1. Strategic planning Waste Framework

Directive SE

2 Waste stream based risk analyses

1. Strategic planning Waste Framework

Directive NL

3 Administrative structure to enforce inspections

1. Strategic planning 2.Execution Framework

Landfill Directive


PL

4 Guidelines for routine inspections of waste management facilities

3.Realisation of inspections


DE

5 Check list for inspections of waste management operations



LT

6

Content, storing and accessibility of enforcement information including inspection/audit/monitoring reports

3. Realisation of inspections


IE

7 WEEE inspection – upstream and downstream inspection


WEEE Directive BE

8 RoHS enforcement- free sampling and destructive analysis of EEE


RoHS Directive NL

9 WEEE enforcement - addressing “leakage” in the take-back scheme


4. Follow up

WEEE Directive NL

10 RoHS enforcement - mixed system of testing and awareness raising


4.Follow up

RoHS Directive UK

Table 8: Overview of best practice examples on inspection

Overview of best practice examples on inspection

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2.3.1. Methods for risk based classification and ranking of inspection objects (SE)

Member State: Sweden

Inspection steps: 1. Strategic planning




Implementation: Since 2004 (depending on region)

Context

Article 34(1) to (3) WFD sets obligations for

inspections. Following this provision,

establishments or undertakings which carry out

waste treatment operations, establishments or

undertakings which collect or transport waste on a

professional basis, brokers and dealers, and

establishments or undertakings which produce

hazardous waste shall be subject to appropriate

periodic inspections by the competent authorities,

Article 34(1) WFD. Article 34(2) WFD stipulates that

inspections concerning collection and transport

operations shall cover the origin, nature, quantity

and destination of the waste collected and

transported. According to Article 34(3) WFD,

Member States may take account of registrations

obtained during the Community Eco-Management

and Audit Scheme (EMAS), in particular regarding

the frequency and intensity of inspections.

As regards inspections of waste management

facilities it shall be considered that risk analysis and

strategic planning have to be made at an early stage

in order to determine which areas and operations

to prioritise by inspections and monitoring

activities.

Objective

The Swedish Risk Assessment Model has been

developed mainly for industrial installations and

treatment plants which require environmental

permits or notifications according to the Swedish

Environmental Code. The Risk Assessment Model

covers IPPC installations as well as smaller

enterprises and other activities than industrial ones.

Description

The classification is made with reference to the

potential risk of the installation/activity as such and

with reference to the experiences the inspection

authority has obtained regarding how each operator

runs the installation, how the management is

performed and earlier records of contacts with the

authorities etc.

While assessing the typical and characteristic risks,

several factors need to be considered (e.g. kind of

installation, complexity of installation, environmental

impacts, energy consumption, location, etc.). During

the assessment of experiences, aspects related to the

operator need to be taken into account (e.g. operator

performance, self monitoring, reporting and

compliance records, environmental management

systems, etc.). In both cases it is recommendable to

create a guide which defines guiding principles to be

used when assessing the relevant factors. The typical

risk score and the experience score for each

installation/activity can subsequently be derived from

the summarized figures.

In order to get an overview of the risk assessment

concerning all the installations and activities covered

by the inspecting authority and its inspection plan the

figures are summed up for each installation (see

Table 9) and plotted in a diagram (see Figure 5).

Installation A B C D E F Typical risk

score 40 65 45 25 70 55

Experience score

30 60 70 45 55 30

Table 9: Examples of scores for different

installations/activities

1. Strategic planning

2. Execution Framework

3. Realisation of Inspections

4. Monitoring/Fo

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Figure 5: Example of typical risk score and

experiences score

The installations/activities can afterwards be

classified into different categories for decisions

concerning inspections (Figure 6). The four categories

are:

• Risk class 1 – high risk and bad experience

• Risk class 2 – low risk and bad experiences

• Risk class 3 – high risk and good experiences

• Risk class 4 – low risk and good experiences

Figure 6: Example or risk classification

This differentiation gives, combined with eventual

special instructions and stated considerations on

inspection, an input for the setting of priorities

concerning for instance frequencies within the

inspection planning including the inspection schedule.

The described method is modified in different ways at

the inspection and enforcement authorities on

regional and local level in Sweden. For example, the

Swedish Association of Local Authorities and Regions

(SALAR) has developed a method for risk based

classification and ranking of inspection objects, which

includes a connection to the yearly charges that

companies pay to finance inspection and

enforcement. This more specified method is in

practice among many inspection authorities at local

level (municipalities).

A

B C

D E

F

0 10 20 30 40 50 60 70 80

0 10 20 30 40 50 60 70 80

Typi

cal R

isk

Scor

e

Experience Score

Further information: EPA homepage: http://www.naturvardsverket.se/en/In-English/Menu/ Draft abstract Fact Sheet on methods for risk based classification and ranking of inspection objects (installations and activities): www.infomil.nl/publish/pages/59691/riskassessmentsweden.doc.pdf

High typical risk Good experience

High typical risk Bad experience

Low typical risk Good experience

Low typical risk Bad experience

Risk class 3

Risk class 4

Risk class 1

Risk class 2

http://www.naturvardsverket.se/en/In-English/Menu/�

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2.3.2. Waste stream based risk analysis (NL)

Member State: Netherlands

Inspection steps: 1. Strategic planning





Context


Following this provision, establishments or

undertakings which carry out waste treatment

operations, establishments or undertakings which

collect or transport waste on a professional basis,

brokers and dealers, and establishments or

undertakings which produce hazardous waste shall be

subject to appropriate periodic inspections by the

competent authorities, Article 34(1) WFD. Article 34(2)

WFD stipulates that inspections concerning collection

and transport operations shall cover the origin, nature,

quantity and destination of the waste collected and

transported.

As regards inspections of waste management facilities

it shall be considered that risk analysis and strategic

planning have to be made at an early stage in order to

determine which areas and operations should be

prioritised by inspections and monitoring activities.

Objective

In the Netherlands waste policy specifies in its National

Waste Management Plan (LAPII) policies for waste

streams and also identifies 83 waste sectors, each with

a separate sector plan. To determine the priorities for

enforcement the Inspectorate has also decided to

make a risk assessment based on the current LAP waste

sectors. A risk is determined by the effect that occurs

when there is improper handling of the waste and the

chance that such acts will occur.

Description

Thirteen risk factors have been selected and each

factor is indicated on what basis it will be assessed and

how the severity of the risk is determined. The factors

are divided into two effect factors and 11 chance

factors.

Some risk factors concern the treatment of waste in

the Netherlands, others concern waste shipments

within the Netherlands or transfrontier shipments.

Effect factors

1. Characteristics of the waste

The hazardous properties of waste largely determine

whether there is environmental risk in case of

unauthorized or irresponsible treatment. For LAP

sectors consisting solely of non-hazardous waste

(separately collected paper and cardboard) the

environmental impact of poor handling is smaller and

thus provide the lowest risk. LAP sectors which entirely

consist of hazardous waste provide the greatest risk

(e.g. halogenated oils). In between there is a category

of LAP sectors which contain non-hazardous and

hazardous wastes (e.g. WEEE).

2. Waste covered

The assessment of environmental risk posed by a waste

stream is largely determined by the risk characteristics

of the waste as mentioned above. The linking between

LAP sectors and the codes from the European waste list

defining a waste stream (EWL codes) is usually based

on the hazardous properties indicated in the EWL list (*

for hazardous waste) – this implies that the involved

parties comply with the law and take all necessary

precautions to prevent contamination of the waste

streams. However, a number of waste streams - by the

method of creation, size and the complexity of

processing steps - often are more polluted than

expected according to their composition from EWL

codes. Such is the case with construction and

demolition waste, which, depending on the origin, can

carry significant amounts of asbestos that are released

during demolition, but unnoticed. This may be

unintentional, due to lack of knowledge or attention.




4. Monitoring/ Follow-up

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There may also deliberately blended hazardous waste

turned into less hazardous waste. Environmental

impacts are then higher than expected.

Risk factors

The risk factors are distinguished into risk factors of

importance for:

• the treatment of waste in the Netherlands

• the waste shipments (including transfrontier

shipments)

• both domestic manufacturing and waste shipments

Specifics to treatment of waste in the Netherlands

3. Waste generated in the Netherlands

The quantity of the waste stream is an indicator for the

total impact that the flow can have on the

environment. The greater the waste stream the greater

the likelihood that such impacts will occur.

4. Dynamics of waste generation in the Netherlands

Dynamics of the generation of waste (expressed as % of

the total amount increased/decreased) is also an

indicator of risk of environmental harm or handling not

compliant with the laws. Particularly if there is a sharp

drop in the volume of a waste stream, without a

plausible explanation, this may be an indication that

the stream is treated differently by the processors or

disposers. For instance, a decrease in the amount of

PCB wastes is not in itself a remarkable signal. PCBs are

phased out and it is therefore obvious that the amount

of waste containing PCBs emerging in the Netherlands

over time decreases. However, if the quantity of waste

oil would significantly decrease suddenly, this could be

a reason to see 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.

5. 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 and the probability of detection is smaller. As a

consequence it could happen that some companies

may consider being less careful with the rules to go.

Specifics to transfrontier waste shipments

6. Export dynamics

Also export dynamics can be an indication of risk of

environmental harm, if there is no plausible

explanation for these dynamics.

7. Export quantity

Similar to the volume of waste generated in the

Netherlands, the quantity of waste exported is an

indicator of the likelihood that environmental damage

will occur.

8. Export share

For some waste streams, the processing takes largely

or completely place abroad. The chance that there are

problems is greater.

9. 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.

10. Risk destination countries

Not only the fact that waste is being exported is

important, but also the destination country. In 2009

the Inspectorate made a classification of the

destination countries based on characteristics and the

following three criteria:

• Prosperity Level

• Action against corruption

• Interim treatment

There is more risk, if waste is transported through a

number of links in the chain. Supervision is more

difficult and the risk of poor handling is larger. The

indicator being used is the share of export to those

interim operations (e.g. storage/transfer, bulking,

sorting).

Generic for national shipments and WSR

11. Treatment costs in the Netherlands

If legal treatment in the country of origin is expensive,

the risk that illegal trade occurs is greater. The absolute

level of the costs plays a more important role than the

trends.

12. Meet the minimum standards (treatment)

In the LAPII, for each waste stream the minimum

standard for treatment has been identified. The

authority uses the minimum standard for granting

licenses for the treatment facilities. If the treatment

does not meet the minimum standard, then the waste

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is not processed at the wanted level (see IPPC, BAT or

other national standards). That does not mean that the

treatment is illegal, but indicates that more

environmental gains can be obtained.

Limits of the factors

For most factors it is necessary to define limits. These

are usually determined by taking an interval around the

average value for the factor of all LAP waste streams.

The limits used are shown in Table 10.

Factor Small limit value

Average limit value

High limit value

Average

value for all

LAP waste

streams

1. Generated in NL

<500 kt 500-

3,000 kt <3,000 kt 1,093 kt

2. Dynamics in NL

<20 % 20-100 % <100 % N.A

3. Number of Producers

<1,000 1,000-5,000

<5,000 3,723

4. Dynamics of exports

<20 % 20-100 % <100 % N.A

5. Quantity exported

<50 kt 50-200 kt <200 kt 185 kt

6. Share exported

<10 % 10-25 % <25 % 18 %

7. Number of exporters

<10 10-50 <50 33

8. Share interim operation

<5 % 5-20 % <20 % 13 %

9. Costs of treatment in NL

<50 €/t 50-

100 €/t <100 €/t 85 €/t

10. Compliance (minimum treatment standards)

Devi-ation

<0.005 % of total

volume

Part of waste

processed below

min. standard

Import-ant part processed below the min. standard

Table 10: Limits of the factors

Calculation of risk score

Based on the above factors and limits, the LAP scores

for each factor can be determined. In order to compare

the overall results, the scores for different

characteristics are added together. This is done in 3

steps.

• For each factor a score is determined

The factor having a large effect or a great chance

received the value 1; factors with average effect or

chance receive the value of 0..

• Weighing of factors

Factor Weighing

factor 1. Generated in the Netherlands 1 2. Dynamics in the Netherlands 0.3 3. Number of Producers 0.3 4. Dynamics of exports 0.3 5. Quantity exported 1 6. Share exported 0.3 7. Number of exporters 0.3 . Risk destination countries 1.5 . Interim treatment 0.3 9. Cost treatment in the Netherlands 1 10. Compliance with minimum treatment standards

0.3

Table 11: Weighing factors

For the effect factors, the hazardousness of waste

account for 75% and waste generation for 25%. In

addition, the weighing factors are selected in a way

that the highest and lowest scores for likelihood and

impact of the LAP currents are equal. Impact and

probability weigh as heavily in the final score.

• The score for each risk factor is multiplied

After multiplying the base score with a weight of the

final scores, the risk factors and effect factors are

added up to a total score.

Final prioritisation

For the final ranking a risk analysis is not the only

aspect. Other factors such as the compliance

behaviour, political priority and political attention play

a role. Furthermore, (future) developments in the

waste market, laws, regulations and policies which may

not directly be linked to a waste stream are considered.

A combination of these three aspects determines the

final ranking. This risk analyses will not change every

year, so a three/five year’s cycle will do. The last two

aspects could be updated in an annual document.

The Inspectorate sends every year a letter to its

enforcement partners (police, customs) and asks to

focus their controls on waste streams with a high

priority. Additionally, a risk analysis of the companies in

this (priority) waste sector is performed by the

Inspectorate. The Inspectorate executes the company

controls within a period of a few months. The follow up

depends of the outcome of these controls. If the

companies involved comply with the regulation the

control frequency is lowered to an average.

Further information: VROM-Inspectorate: www.vrominspectie.nl or [email protected]

http://www.vrominspectie.nl/�


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2.3.3. Administrative structure to enforce inspection (PL)

Member State: Poland

Inspection steps: 1. Strategic planning 2. Execution Framework




Implementation: Since years, further elaborated 2010

Context


inspections. Following this provision, establishments

or undertakings which carry out waste treatment






competent authorities, Article 34(1) WFD.

The Landfill Directive obliges authorities in Article 8

and 13 to realise on-site inspections at landfills, in

particular before the start of operation and finally

after closure.

The planning of inspections covering the whole entity

of a Member States, the setting of priorities for

inspections and the provision of guidance material for

the inspectors are crucial for the realisation of

effective inspections.

Objective

The Polish enforcement structure aims at an effective

allocation of inspection resources. The Chief Inspector

for Environmental Protection, who heads inspection

for environmental protection, has the status of a

central government administration body and is

appointed and dismissed by the Prime Minister. The

duties of the inspections are carried out by the Chief

Inspector, supported by the Chief Inspectorate and the

related Voivodship Inspectors being part of the

comprehensive Voivodship-level administration

system. The basic tasks of environmental inspections

include control of compliance with environmental

legislation, assessment of the quality of the

environment within the framework of the State

Environmental Monitoring System, and major accident

prevention.

Description

In the system described above, the Chief Inspectorate

plans inspection activities on central level assigning

tasks and actions for the Voivodship Inspectorates. At

the same time Voivodship Inspectorates depend on

the financial and personal resources allocated by the

Voivod, so each Voivodship Inspector has different

resources available for similar tasks than the other

Voivodship Inspectorates.

Therefore, in the aforementioned situation, the

Voivodship Inspector has to effectively allocate

available resources of the Voivodship Inspectorate for

Environmental Protection, to fulfil the tasks put on

him by the Chief Inspector.

The Polish central inspectorate bundles

responsibilities for enforcing waste legislation and

coordinates inspections at regional level by:

• Setting priorities for the focus on inspections (on

a four years basis)

• Giving instructions to the regional inspectorates

about the setting of inspection plans

• Providing general guidance for realising

inspections

• Elaborating guidance for inspection cycles

(campaigns) and direction of inspection activities

for the following years (e.g. providing particular

guidance on inspection of landfills, glass

packaging waste)

• Organising of trainings for regional inspectors

and regular meetings with the management of

the Voivodship Inspectorates





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• Involving regional inspectors in international

projects

• Providing a forum for information exchange for

inspectors

• Purchasing equipment for Voivodship

Inspectorates (for monitoring and inspection

activities)

Issues

covered Content

Target

Explaining the necessity of those

inspections at the particular time; e.g.

the task was inscribed in the Polish

National Plan for Waste Management

2010 (KPGO)

Describing the information which needs

to be obtained as a result of these series

of inspections e.g. the number of

landfills, which fulfil the requirements of

the Landfill Directive

Legal base

Specification of environmental law

describing the subject of inspection e.g.

Act on Waste, Regulation concerning

specific requirements of localization,

Issues

covered Content

construction and closure of individual

landfill types

Leading the

inspection,

including the

scope of

inspection

Specific checklists for inspections;

including terms/time-table; specification

of the site e.g. does the landfill fulfil

formal and legal requirements, does it

apply criteria and requirements of WAC

Decision?

Presenting

inspection

results

Tables, forms, instructions to fill in

Table 12: Exemplarily content of guidance for inspection

The aim of preparing „guidance for inspection of a

given subject” is to uniform the process of carrying out

inspections on the subject chosen by the central

inspectorate, which will also later facilitate the

preparation of a report at a national level (the same

data available from regional inspectorates). Such

reports are published at the webpage of the central

inspectorate, available to the society.

Further information: General information on implementation: Ministry of Environment, Director of Waste Management Department, Beata Klopotek, [email protected]

Example of Landfills report: http://www.gios.gov.pl//zalaczniki/artykuly/skladowiska_komunalne.pdf (in Polish)

Further documents available: checklists for the waste management sector (e.g. for recovery) and a guidebook for inspectors elaborated for the Polish Inspection for Environmental Protection in the Project PL0100, financed by Norwegian Financial Mechanism


http://www.gios.gov.pl/zalaczniki/artykuly/skladowiska_komunalne.pdf�

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2.3.4. Guidelines for routine inspections of waste management facilities (DE)

Member State: Germany (Hesse)

Inspection steps: 3. Realisation of Inspections




Implementation: Since December 2008

Context




establishments or undertakings which collect or

transport waste on a professional basis, brokers and

dealers, and establishments or undertakings which

produce hazardous waste shall be subject to

appropriate periodic inspections by the competent

authorities, Article 34(1) WFD. Article 34(2) WFD

stipulates that inspections concerning collection and

transport operations shall cover the origin, nature,

quantity and destination of the waste collected and

transported. According to Article 34(3) WFD, Member

States may take account of registrations obtained during

the Community Eco-Management and Audit Scheme

(EMAS), in particular regarding the frequency and

intensity of inspections.

In the third inspection cycle step the inspections are

carried out. Inspection activities (aimed at compliance

checking and compliance assistance) are prepared and

executed. Traditional inspection activities are the

(physical) routine (site) inspections, non-routine (site)

inspections and investigations of incidents. Many of

these activities can and should be executed according to

standard protocols and working instructions. The

cooperation and information exchange with partner

organisations is also part of this step. Information on the

inspection activities carried out, their results and their

follow up should be stored in an accessible database

[Doing the Right Things II_2008].

Objective

Traditional inspection activities are the (physical)

routine (site) inspections, non-routine (site) inspections

and investigations of incidents.

Many of these activities can and should be executed

according to guides, standard protocols and working

instructions.

Description

In order to guide routine inspections at waste

management facilities, the German Federal State Hesse

provides a concise guidance for routine waste inspections.

The aim is to verify the conditions required by the

legislation.

The operator has to convince the authorities that the

activity will not cause environmental pollution and is

carried out in accordance with environmental quality

standards and the licence conditions.

The results of the routine inspection will be discussed with

the operator and the implementation of additional

measures and enforcement actions will be discussed in

the light of timing, effectiveness and cost-efficiency.

In the course of site inspections, a checklist is used

covering the issues indicated in the following table (see

Table 13).

The checklist for routine inspections can be applied in

general to all waste management plants. Specific issues,

for instance type and size of the facility, will be considered

additionally.

Issues covered To be done during routine site

inspections

Identified

deficiencies

• Inspection of actions taken in

relation to the already identified

deficiencies

Environmental

quality standards

• Inspection of environmental

quality standards

Auxiliary

conditions

• Check of compliance with

additional conditions defined in

the licence




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inspections

Storage and flow

capacity

• Check of compliance with the

licensed storage and operational

capacity (flow capacity)

Facility units and

storage of waste

• Inspection of the appropriate

arrangement of various facility

units (e.g. arrangement of

appliances, necessary storage

areas etc.)

• Inspection if the waste storage

is appropriate (e.g.

suitable/approved container,

waterproof ground, sheltered

areas etc.)

Waste identified

and classification

of the waste

• Check whether the waste

identified during the site

inspection and its classification

are in accordance with the

licence conditions

Facility and

Appliances

• check if plant sections,

installations and appliances are

intact and ready and in

operation

• Check whether measures for the

protection of the

installation/appliances are


inspections

installed and intact (e.g. fences,

labelling etc.)

• Check whether certain facility

sections, which need to be

accessible all the time, can be

accessed

Additional issues

• Identification of possible hazard

spots

• Preventive measures for

potential accidents

• Immediate elimination of

identified deficiencies and, if

necessary, closure and/or

prohibition

Table 13: Main stages of and issues covered by routine

inspections

Further information: Guidance on routine inspections of waste treatment facilities, Hesse, Germany, 10.12.2008 - for internal use only

(in German) (Vollzugshandbuch der Abfallwirtschaft. Abfallrechtliche Inspektionen. Nr. 2: Leitfaden für die Regelüberwachung

von Abfallentsorgungsanlagen –Umweltinspektionen )

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2.3.5. Check list for inspection of waste management operation (LT)

Member State: Lithuania






Context


inspections. Following this provision, establishments

or undertakings which carry out waste treatment






competent authorities, Article 34 (1) WFD. Article 34

(2) of the WFD stipulates that inspections concerning

collection and transport operations shall cover the

origin, nature, quantity and destination of the waste

collected and transported. According to Article 34 (3)

WFD, Member States may take account of

registrations obtained during the Community Eco-

Management and Audit Scheme (EMAS), in particular

regarding the frequency and intensity of inspections.

Objective

Traditional inspection activities are the (physical)

routine (site) inspections, non-routine (site)

inspections and investigations of incidents. Many of

these activities can and should be executed according

to guides, standard protocols and working

instructions.

Description

The Lithuanian Environmental Protection Agency

prepared a list of indicative questions in order to

support routine and non-routine inspections at waste

management facilities. Inspectors use and fill out the

list when realising the inspections at the facilities

(Table 14 ).

Questionnaire for realising inspections

1 Company location: Is the company/facility

located in an/a:

1.1 - industrial area?

1.2 - nature protection zone?

1.3 - residential area?

2 Environmental Management System

2.1 Has the company introduced an EMS? (ISO

14001/EMAS)

3 Environmental Protection Permits

3.1 Has the company environment protection

permit? IPPC/other

3.2 What is the IPPC validity period?

4 Waste Management

4.1 Is the waste managed in accordance with the

Waste Management Rules' requirements?

4.2 Has the company a waste register/account?

4.3 Is there a prior order to register/account waste

in the company?

4.4 Is there a company/facility waste reduction

plan?

4.5

Is the waste reduction plan reviewed and

updated (in case of changes in production

technology, otherwise at least every five

years)?

4.6 Did the company develop rules on recovery and

disposal of the waste?

4.7 Is there waste marking?

4.8 What kinds of waste are generated (by waste

category)?

4.9 Is the waste sorted?

4.10 Does the company have contract(s) with waste




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treatment/management companies? (note

contract number and date)?

4.11 Is the waste treatment/management company

registered at the register of such companies?

5

How is waste recovered? (Recovery

operations R1-R10)?

Does the company use/recover wastes during

the technical operations?

6 How is waste disposed of (waste disposal

operation D1-D15)

7 Waste Storage

7.1

Is the waste stored in a way that does not

adversely affect human health and the

environment?

7.2 Is the waste storage site in accordance with

environmental requirements?

7.3 Is non-hazardous waste stored more than a

year after its generation?

7.4 Is hazardous waste stored more than three

months after its generation?

8 Storing of waste data documentation

8.1 Are waste data records managed in accordance

with the requirements?

9 Provisions for cancellation of activity of waste

storage, recovery and disposal

9.1

Does the company have prepared a closing plan

for the activities (If it is company of waste

recovery or disposal or company that stores the

wastes for longer than it is indicated in the

Article 8 of Waste Treatment Law)

10 Hazardous Waste Management

10.1 Does the company, that handles the hazardous

waste, have the license of hazardous waste

treatment/management?

10.2 Are hazardous wastes stored in accordance

with the requirements?

11 Packaging and packaging waste

11.1 Does the company collect packaging and

packaging wastes?

11.2 Is the packaging marked/labelled with

information on the origin of materials used?

11.3 Is the packaging and packaging waste returned

to the seller? (note contract number and date)

11.4 Does a return system for packaging or

packaging waste exist?

11.5 Does the company have an account/register of

packaging wastes?

12 Fees of environmental pollution for taxable

waste products and packaging waste

12.1

Are the fees of environmental pollution for

taxable waste products and packaging waste

paid?

12.2

Are the fees of Environmental pollution with

taxable products waste and packaging waste

calculated correctly?

13

Have there been complaints, accidents,

incidents and cases of non-compliance?

(If yes, note in the remarks, how it were

reacted )

14 Were the violations of previous inspection

eliminated?

15 Is there a need to tighten the environmental

conditions of a permit?

Table 14: Indicative questions for realising an on-site

inspection

Further information: Check list for inspection of waste management facilities

(Kontrolinių klausimų lapas specifiniam atliekų tvarkymo patikrinimui)

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2.3.6. Content, storing and accessibility of enforcement information including

inspection/audit/monitoring reports (IE)

Member State: Ireland






Context




establishments or undertakings which collect or transport

waste on a professional basis, brokers and dealers, and

establishments or undertakings which produce hazardous

waste shall be subject to appropriate periodic inspections

by the competent authorities, Article 34(1) WFD. Article

34(2) WFD stipulates that inspections concerning

collection and transport operations shall cover the origin,

nature, quantity and destination of the waste collected

and transported. According to Article 34(3) WFD,

Member States may take account of registrations

obtained during the Community Eco-Management and

Audit Scheme (EMAS), in particular regarding the

frequency and intensity of inspections.

During the third inspection cycle step ‘Realisation of

Inspections’ the inspection work is carried out. The

routine and non-routine inspections are conducted and

reports of findings are composed. Furthermore, this step

possibly contains the information exchange with partner

organisations [Doing the Right Things II_2008].

The inspection reports, also including accidents,

incidents, occurrence of non compliance etc. have to be

composed and stored in a good accessible database.

According to [Doing the Right Things II_2008] inspection

reports should at least be:

• composed after every site visit

• processed/stored (inspection data)

• evaluated for further actions

• finalised as soon as possible

• documented (keeping record)

• stored in an accessible database

• communicated to the operator

• available to the public (within 2 months)

Objective

In order to provide greater access to all stakeholders, the

Irish EPA provides public access to enforcement

documents for each IPPC- and waste licensed facility. This

includes all correspondence from the licensee, the EPA

and third parties unless deemed confidential in

exceptional cases. It includes reports on EPA inspections,

audits and monitoring of facilities. This can be seen as

part of the EPA’s policy of openness and transparency.

Description

The following is an example of good practice in relation

to how enforcement information can be stored and made

available to relevant stakeholders (e.g. general public,

partner organisations, etc.) in a best possible way.

Access to enforcement documents (see above) is

provided at EPA offices at four locations in Ireland. The

EPA website provides a list of files available at each office

and a Public Viewing Procedure

(http://www.epa.ie/whatwedo/enforce/lic/info/). Documents

are placed on file and are made available immediately

when issued by the EPA or received by the EPA from

licensees and third parties. Annual Environmental

Reports (AERs) are made available on-line on the EPA

website via the system covered by the example in

chapter 5.7. Every effort is made to ensure completeness

and accuracy of the files. Photocopying is available at a

specific cost rate per page and a PC is made available for

website access.

In relation to audit and inspection reports, the available

reports will vary (e.g. depending on criteria such as




http://www.epa.ie/whatwedo/enforce/lic/info/�

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facility type, issues covered, findings, etc.). However, in

general audit and inspection reports provide information

on the following issues (see Table 15).

Issues covered Content

Background

Information

Facility name and address, licence

number, date of audit/inspection,

reference number, etc.

Opening meeting Time, persons present,

information of note

Environmental

Management

Programme

Review of facility Environmental

Management Programme

Site inspection Description of areas of the site

that were inspected

Interview List of persons interviewed

Documentation List of documents requested for

Issues covered Content

review

General

comments General comments

Closing Meeting Time, persons present,

information of note

Non-compliances

Details of each non-compliance

detected, the relevant licence

condition breaches and the

corrective action required

Observations Details of each observation made

and any action required

Signature Signature

Table 15: Content of audit and inspection reports

Further information: Information on public access to enforcement files: http://www.epa.ie/whatwedo/enforce/lic/info/

http://www.epa.ie/whatwedo/enforce/lic/info/�

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2.3.7. WEEE inspection – Upstream and downstream inspection (BE, Flanders)

Member State: Belgium (Flanders)



WEEE Directive

Geographical level: Regional

Implementation: Since July 1999

Context

The WEEE Directive sets collection, recycling and

recovery targets for a defined set of electric and

electronic equipment (EEE) in EU-27. Member States

need to:

• encourage the design and production of EEE which

take into account and facilitate dismantling and

recovery, in particular the re-use and recycling of

waste electrical and electronic equipment (WEEE)

• ensure that from 13 August 2005 onwards:

- final holders and distributors can return WEEE

free of charge;

- distributors of new products ensure that waste

of the same type of equipment can be returned

to them free of charge on a one-to-one basis;

- producers are allowed to set up and operate

individual or collective take-back systems;

- the return of contaminated waste presenting a

risk to the health and safety of personnel may

be refused;

• draw up a register of producers and keep

information on the quantities and categories of EEE

placed on the market, collected, recycled and

recovered in their territory. Every three years, they

must also send a report to the Commission on the

implementation of this Directive;

• inform consumers.

Manufacturers must set up systems for the recovery of

WEEE collected separately. Furthermore, they must

apply the best available treatment, recovery and

recycling techniques for WEEE. Finally, they must

finance the collection, treatment, recovery and

environmentally sound disposal of WEEE.

Articles 15 and 16 WEEE Directive contain provisions

related to Member States’ obligations for penalties and

inspection. The obligations of the WEEE Directive

concern EEE manufacturers, waste treatment facilities

and collective take-back organisations.

Objective

The Public Waste Agency of Flanders (OVAM) inspects

both manufacturers/importers of EEE as well as waste

collectors/waste treatment facilities. The agency works in

close cooperation with the Belgian collective take-back

organisations (Recupel for EEE and BEBAT for batteries,

incl. flashlights) in order to identify free-riders.

Description

Enforcement of the WEEE Directive is a regional

competence, so inspection is performed independently in

the Flemish, Brussels and Walloon Region. A Flemish take

back obligation is included in legislation since 17/12/1997,

upstream and downstream inspection dates from 1999,

when a specific inspection service within OVAM was

dedicated to this task. Recently, the Brussels and Walloon

Region adopted an enforcement procedure that is very

similar to the Flemish one. Flemish WEEE inspection runs

on two tracks:

• Upstream inspection: manufacturers, importers,

wholesale, retail

• Downstream inspection: waste collectors and waste

treatment facilities, civic amenity sites

For upstream inspection, selection of companies is based

upon:

• Looking in “Yellow Pages” (including information on

local businesses) and picking out EEE and/or

batteries companies;

• Inspecting the suppliers of companies that have been

inspected (based on invoices)




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• If new EEE is added to the Recupel list of covered

products, those products will be inspected (e.g.

watches were recently added to the list, so all shops

selling watches were inspected); also new products

on the market can be inspected;

• Free-riders are signalled by the organisation

responsible for the collective take-back scheme for

WEEE (Recupel and BEBAT);

Items/issues that are controlled are amongst others the

charging of a Recupel fee (control of accountancy, invoices),

free one-to-one take-back of household appliances by

retailers, etc.

For downstream inspection, especially civic amenity sites

and waste collectors and treatment facilities working for

Recupel are inspected. In a few cases the inspection is the

result of an upstream inspection that reveals that WEEE is

transported to a non-licensed waste treatment facility.

Items/issues that are controlled are the waste identification

forms and other required documents, correct storage and

separate collection of WEEE, etc.

Except for control on correct disposal of WEEE to licensed

treatment facilities, upstream inspection of importers and

manufacturers of household appliances that are registered

with Recupel are not inspected by OVAM, but by Recupel

itself. Currently, OVAM focuses more on upstream

inspection of professional appliances for which registration

with Recupel is less common.

OVAM considers inspection more as a way of raising

awareness of WEEE regulations with companies, and does

not immediately try to penalise them. Only infringements

repeated twice or more times are penalised.

In 2009, 269 upstream inspections in companies were

performed, of which 205 companies were not in full

compliance with WEEE regulations. However, only 8

companies were eventually penalised. 38 downstream

inspections were performed, of which 13 companies were

not in full compliance (but no penalties).

The peculiarity of the Flemish inspection effort, focussing on

free-riders, is the collaboration with Recupel. This

organisation has a large knowledge of the market and

frequently reports to OVAM free-riders or suspect

enterprises. When they are inspected, OVAM offers them

the possibility to get regularised by submitting an individual

waste prevention and waste management plan or

subscribing to Recupel and by paying contributions

retrograde for the last years. OVAM and Recupel have thus

shared interests in a close cooperation.

Nevertheless, OVAM and Recupel work independently from

each other, and OVAM inspects whether Recupel meets its

obligations.

Further information: Flemish Waste Agency homepage: http://www.ovam.be (also available in English) Flemish Waste Legislation (VLAREA): http://navigator.emis.vito.be/milnav-consult/faces/consultatieOverzicht.jsp (in English)

http://www.ovam.be/�

http://navigator.emis.vito.be/milnav-consult/faces/consultatieOverzicht.jsp�

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2.3.8. RoHS enforcement - Free sampling and destructive analysis of EEE (NL)

Member State: The Netherlands



RoHS Directive



Context

The RoHS Directive restricts the use of 6 hazardous

substances in the manufacture of various types of

electronic and electrical equipment (EEE). RoHS

regulations apply to all producers that manufacture or

assemble, import or re-badge EEE in EU-27.

Member States need to ensure that, from 1 July 2006,

new EEE put on the market does not contain lead,

mercury, cadmium, hexavalent chromium,

polybrominated biphenyls (PBB) or polybrominated

diphenyl ethers (PBDE). The Directive lists a set of

exemptions for the use of the hazardous substances for

specific technical uses where alternatives do not

presently exist. There are also permissible maximum

concentration values which allow for any trace

presence.

The RoHS Directive does not contain a provision

explicitly and specifically related to Member States’

obligations for inspection and monitoring. However,

Member States are obliged to take the measures

necessary to ensure that the Directive is fully effective,

even if not mentioned in the Directive itself explicitly,

following Article 4(3) of the Treaty on European Union

as amended by the Treaty of Lisbon (Ex-Article 10 EC

Treaty).

The obligations as of RoHS Directive do in the first place

concern waste treatment facilities, waste holders or

waste producers, but the manufacturers of EEE.

Inspections and control required by the RoHS Directive

may be executed with respect to WEEE, but might also

occur related either to production facilities or with

respect to EEE before it becomes waste. By this, the

enforcement of the RoHS Directives is closely related to

the enforcement of the REACH Regulation or specific

substance-related regulation, such as the POPs

Regulation.

Objective

The aim is to check whether EEE appliances fulfil the

requirements of the RoHS Directive by taking actual

samples from the equipment and performing testing on

the concentrations of the 6 restricted substances.

Description

Enforcement of RoHS regulations in the Netherlands is a

national competence. Inspection is performed by the

Dutch Environment Ministry (VROM). Key element of

RoHS inspection (RoHS compliance) in the Netherlands is

that it focuses on product testing and not on compliant

documentary evidence.

Dutch law makes inspection officers entitled to take free

samples, so officers are not obliged to buy a product if

they want to destruct it for analysis. In the following, the

main stages of such an inspection are briefly explained.

1. In the Netherlands, inspection officers go to the

warehouse of importers or retailers, and select a

number of products they want to test.

2. The equipment is destructed and a mobile X-ray

fluorescence (XRF) gun is used to make a first

rough assessment of the concentrations of heavy

metals. Mobile XRF guns have proven to make

inspections more efficient and effective because

less equipment needs to be send to laboratories

and direct measures can be taken if equipment

does not comply. Because inspection officers can

take free samples, they can test the number of

products they want. If products would need to be

bought, only the outside of the equipment could

be tested, or only a limited number of products

would be destructed. Only by destructing the

products, a correct assessment of the presence of

heavy metals can be made.




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Figure 7: Mobile XRF gun

3. Irregular samples are sent to a laboratory for

detailed analysis.

In 2007, the starting date for RoHS inspection, a risk

assessment was made. The results indicated that

especially equipment sold in, for instance (discount)

warehouses or cosmetics and drug stores hold a higher

risk of being in violation with the RoHS Directive. One of

the reasons is that a sale of EEE in this type of stores is

not their core business, and the products are usually

sold at lower prices.

In 2008, the Inspectorate tested EEE in all categories

defined in the WEEE Directive, 10% did not comply.

In 2009, WEEE categories 2, 4 and 7 defined in Annex

1A of the WEEE Directive were inspected, namely small

household appliances, consumer equipment (e.g.

cheap radios) and toys, leisure and sports equipment.

With regard to toys, the focus was especially on the

cheap toys available on fairs.

About 450 products were tested, and about 20% was

not compliant. Especially the results for cheap toys

were very bad: none of the 18 tested products was

compliant.

In 2010, again the focus of RoHS inspection was WEEE

category 7, i.e. cheap toys. Results of the inspections

however are not officially published yet.

In 2011, the Inspectorate will mainly test WEEE

category 1, i.e. large household appliances. For

instance repair/second hand shops will be inspected.

Further information: Dutch Environment Ministry – Inspection homepage: http://www.rijksoverheid.nl/ministeries/ienm (in Dutch)

http://www.rijksoverheid.nl/ministeries/ienm�

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2.3.9. WEEE enforcement - Addressing “leakage” in the take-back scheme (NL)

Member State: The Netherlands

Inspection steps: 3. Realisation of Inspections 4. Follow-up


WEEE Directive



Context

The WEEE Directive sets collection, recycling and

recovery targets for a defined set of electric and

electronic equipment (EEE) in EU-27. Member States

need, among other, to ensure that from 13 August 2005

onwards:

• final holders and distributors must have the

possibility to return the waste of such electrical and

electronic equipment (WEEE) free of charge;

• distributors of new products must ensure that waste

of the same type of equipment can be returned to

them free of charge on a one-to-one basis (except for

contaminated waste presenting a risk to the health

and safety of personnel, for which Member States

have to develop alternative systems);

• for the sake of the provisions above, producers are

allowed to set up and operate individual or collective

take-back systems.

Manufacturers must set up systems for the recovery of

WEEE collected separately and apply the best available

treatment, recovery and recycling techniques for WEEE.

Finally, they must finance the collection, treatment,

recovery and environmentally sound disposal of WEEE.

Collection, recovery and recycling targets have to be met.

Objective

The enforcement activities in the WEEE chain were

enhanced to prevent WEEE ending up in the illegal export

circuit. After identification of the “leakages” in the

collection of WEEE, specific campaigns and agreements

were set up with industrial associations, retailers and

municipalities.

Description

Enforcement of the WEEE regulations in the Netherlands

is a national competence. Inspection on WEEE is

performed by the Dutch Ministry for Infrastructure and

Environment (IenM) and is closely linked with inspection

on the Waste Shipment Regulation.

Next to inspecting EEE producers and importers on their

compliance with provisions of the WEEE Directive (i.e.

inspection of administrative documents), Dutch

enforcement has particular attention for illegal export of

WEEE.

In 2004, IenM found that companies in the entire chain

of production and disposal of EEE sold WEEE to non-

licensed or non-registered waste collectors. These waste

collectors distributed the WEEE to waste exporters or

they exported the WEEE themselves to non-OECD

countries, either as waste or more frequently unjust as

second hand.

In 2005-2006, IenM put much effort in the awareness

raising of the different actors. It was found that the

violation of WEEE Directive provisions were rather the

result of a lack of understanding of the regulation than a

deliberate breach. Given the strong network of industrial

associations in the Netherlands, awareness raising

campaigns were set up with the different relevant

associations. These campaigns were further supported

by effective inspection and enforcement with retail,

collectors and waste exporters.

In 2008, new inspections revealed that enforcement

needs to be kept at a high level to ensure good

compliance with the WEEE Directive. Furthermore, it was

concluded that a chain approach is necessary for

achieving better results.

In 2009, a new enforcement project was set up to

prevent illegal export of WEEE. A special focus went to

municipal civic amenity sites (collection of WEEE from




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households) and retail. In addition, when customs found

violations of the Waste Shipment Regulations, Dutch

WEEE inspection tracked back the supplier of the WEEE.

50 % of the inspected retailers showed breaches in the

correct disposal and administrative reporting of WEEE.

No infringements were found with the municipal civic

amenity sites, although registration of incoming WEEE

was often insufficient. Many of the sites sell part of the

WEEE to licensed waste collectors or dispose of it to re-

use/repair centres. This is not in breach with legislation,

but it can lead to the following problems:

• the waste collectors in the chain are the potential

source for “leakage” in the system. They take out the

valuable metals or other compounds from the WEEE

and sell the rest of the waste to for instance waste

traders;

• consumers pay a fee (“polluters pay principle”) for

the collection, recycling and recovery of WEEE by the

producers represented by the take-back organisation.

If the civic amenity sites sell part of the “valuable

WEEE” to waste collectors instead of to the take-back

organisation, the consumers have not received what

they have paid for, and cannot be sure that the WEEE

is recycled according to high standards. This might

undermine the support for paying a fee and

undermines the credibility of the producers;

• if take-back organisations are left with only the un-

valuable WEEE, while municipalities “cash” the

valuable WEEE, this might lead to financial problems

in the take-back scheme and illegitimate transfers of

means.

In order to make sure that WEEE is recycled and

recovered according to the WEEE Directive, IenM

ensures that WEEE is collected through the take-back

organisations WECYCLE and ICT-Milieu. Therefore, a

voluntary agreement has been set up between

municipalities and WECYCLE/ICT-Milieu, which has been

signed by all municipalities in the Netherlands. It holds

following engagements for municipalities:

• Correct separate collection and storage of WEEE,

• Disposal of WEEE to take-back organisations

WECYCLE and ICT-Milieu. Only WEEE that can be re-

used by Dutch households can be delivered to re-

use/repair centres,

• Registration of incoming and disposed WEEE;

and the following issues for WECYCLE and ICT-Milieu:

• Provision of containers for collection of WEEE to

municipalities,

• Emptying full containers within 2 working days,

• Providing figures on the collected weight of WEEE

The municipalities receive a given price per kilo WEEE. A

similar agreement is also being set up between retailers

and WECYCLE.

Further information: Dutch Environment Ministry – Inspection homepage: http://www.rijksoverheid.nl/ministeries/ienm (in Dutch)

http://www.rijksoverheid.nl/ministeries/ienm�

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2.3.10. RoHS enforcement - Mixed system of testing and awareness raising (UK)


Inspection steps: 3. Realisation of Inspections 4. Follow-up


RoHS Directive


Implementation: Since July 2006

Context

The RoHS Directive restricts the use of 6 hazardous

substances in the manufacture of various types of

electronic and electrical equipment (EEE). RoHS

regulations apply to all producers that manufacture or

assemble, import or re-badge electric and electronic

equipment in EU-27. Member States need to ensure that,

from 1 July 2006, new EEE put on the market does not

contain lead, mercury, cadmium, hexavalent chromium,

polybrominated biphenyls (PBB) or polybrominated

diphenyl ethers (PBDE). The annex of the Directive lists a

set of exemptions for the use of the hazardous

substances for specific technical uses where alternatives

do not presently exist. There are also permissible

maximum concentration values which allow for any trace

presence.

The RoHS Directive does not contain a provision explicitly

and specifically related to Member States’ obligations for

inspection and monitoring. However, Member States are

obliged to take the measures necessary to ensure that

the Directive is fully effective, even if not mentioned in

the Directive itself explicitly, following Article 4(3) of the

Treaty on European Union as amended by the Treaty of

Lisbon (Ex-Article 10 EC Treaty). Also the revised RoHS

Directive, which publication is expected soon, includes a

stronger connection to Regulation 765/2008/EC setting

out the requirements for accreditation and market

surveillance relating to the marketing of products. The

obligations as of the RoHS Directive do not in the first

place concern waste treatment facilities, waste holders

or waste producers, but the manufacturers of EEE.

Inspections and control required by the RoHS Directive

may be executed with respect to WEEE, but might also

occur related either to production facilities or with

respect to EEE before it becomes waste. By this,

enforcement of RoHS Directives is closely related to the

enforcement of the REACH Regulation or specific

substance-related regulation, such as the POPs

Regulation.

Objective

UK’s mixed enforcement system combines product

testing with awareness raising and business support.

Working and cooperating with businesses leads to a

better understanding of regulations and therefore better

compliance with the regulations. The UK considers the

EU Network of Enforcement Authorities to be an

essential component in delivering a consistent EU

delivery of the directive.

Description

Enforcement of RoHS regulations in the UK is a national

competence. Inspection is performed by the National

Measurement Office Enforcement Authority (NMO).

Enforcement runs on two tracks:

• Product testing

• Awareness raising and support of businesses

The selection of products is based on risk assessment

using risk modelling: which product groups run the

biggest risks of surpassing concentration limits.

This is not a static list of products, but a continuous,

dynamic assessment of new products. For instance, at

the appropriate time in the production cycle, Christmas

related electronic products might pose a risk because

they come out only once per year.




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Next to enforcement and testing officers, the RoHS

enforcement team also consists of officers dedicated to

supporting businesses and making them aware of

regulations. NMO is represented on relevant conferences

and seminars, it maintains regular contact with trade

organisations and it also holds contact with individual

businesses.

The National Measurement Office has a dedicated

website (www.bis.gov.uk/nmo/rohs) with leaflets,

guiding booklets, and other publications. The website

provides information on industry conferences,

seminars, etc. where NMO will be represented. The

website also contains an online enquiry system where

business can get answers with regard to RoHS

enforcement. Enquiries can also be made by phone or

letter.

The combination of inspection and business support

leads to better results than putting lots of effort in

awareness raising without product testing or putting

much effort in inspection without supporting and

informing producers how to comply.

Over the period from 1.4.2009 to 31.3.2010 the authority engaged with over 300 organisations. The majority of the engagements were in the form of targeted projects on specific market sectors. This was then supported by a number of additional engagements with specific organisations based on intelligence such as information provided by another Member State or through a verifiable complaint.

During the year the screening facility at NMO has tested 72 items. Where restricted substances were detected above the maximum concentration levels, the reports were passed to the enforcement officers for assessment. A smaller number of items were also escalated to full analysis at third party facilities. This was mainly where NMO believed there was a higher risk of detected bromine being in a restricted form or where the authority required further clarification as part of an ongoing investigation. Of the 72 items found to contain the substances, 29 had levels detected that required a follow up activity of which some resulted in direct intervention. However, several of the items tested, on investigation, were identified as being placed on the market before 1 July 2006. This was particularly true for low value- and seasonal products.

Further information:

National Measurement Office /RoHS): http://www.bis.gov.uk/nmo/rohs

National Measurement Office Enforcement Delivery 2009-2010: http://www.bis.gov.uk/assets/bispartners/nmo/docs/rohs/docs/enforcement%20annual%20report%202009-

http://www.bis.gov.uk/nmo/rohs�

http://www.rohs.gov.uk/�

http://www.rohs.gov.uk/�

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3. Checklists for Permit Conditions

and Inspection

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3.1. Orientation on checklists

Purpose of checklists

In general waste treatment facilities are subject to permit obligations (for an

overview on permitting requirements and exemptions see chapter 4.2 of this

manual).

Setting the right conditions within the permit and taking into account technical,

legal and practical aspects of the particular waste treatment facility is of utmost

importance to ensure the operation of a waste facility without endangering

human health and the environment.

The compliance with EU and national legislation is to be checked using the

delivered permit documents (e.g. certificates) but also by performing on-site

inspections at facilities. This assessment leads, in correct situations, to the

delivery of a permit containing requirements for construction, design,

operation and restoration of the site.

Additionally, during the operation phase, regular (routine) and non-routine site

inspections (e.g. on basis of complaints) are to be performed by the competent

authorities (for an overview on inspection requirements see chapter 4.2 of this

manual). Those types of inspection intend to check the implementation status

in comparison to the control referential (i.e. the permit). The inspection also

covers the operating conditions.

Waste facilities range from very small facilities, i.e. facilities for preparing for

re-use, to large facilities being regulated by several legislative requirements, i.e.

incinerators, including a great variety of techniques and operation conditions.

Use of checklists

The following checklists intend to give both permitting and inspection

authorities an indication on what conditions to include in a permit/what to

check when inspecting waste treatment facilities. Taking the afore mentioned

into account, the reference for elaborating a more specified checklist for a

facility should always be the permit. However the purpose of the following

checklist is to include the most important aspects on:

Technical requirements of the facility

The acceptance, handling and storage of waste

Operational aspects

Emissions into the environment (air, water, etc.)

The lists should be used as indicative lists filled up with additional

conditions/aspects regarding the particular technique/operation and for

inspections during the operation phase with information contained in the

Use and purpose of the checklists:

The checklists intend to give the permitting and inspection authorities an indication what conditions to include in a permit/what to check when inspecting the facility.

The lists should be used as indicative list filled up with additional requirements regarding the particular technique/operation.

--------------------------- Further reading: for further information about the waste management categorization used see chapter 2 of this manual.

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permit.

Not all waste management operations/techniques could be covered by an own

checklist. Therefore, operations have been grouped following the waste chain

applying the general categorization given in the WFD, starting with the waste

collection/transfer and ending with a certain treatment operation, including in

particular WEEE collection and treatment facilities and landfills (for further

information about this categorization used see chapter 1.2 of this manual).

The following table provides an overview of the 8 checklists for permitting

conditions and inspection.

Nr Title Included operations

Checklist for permit conditions and inspection of:

1 Waste collection and transfer stations

• Reverse logistic operations (take-back system) • Collection of MSW • Separated collection • Waste transport • Preliminary/temporary storage • Waste transfer • Waste broking/dealing

2 Pre-treatment facilities

• Sorting/Separation • Stabilisation • Solidification • Shredder • MBT • Blending or mixing • Biotechnical treatment facilities • Organic physico-chemical treatment • Inorganic physic- chemical treatment

3 WEEE treatment facilities

• WEEE dismantling • Storage of WEEE • Removal, disassembly and separation • Treatment of WEEE

4 Preparing for re-use facilities

• Checking • Cleaning • Reparation

5 Compost facilities • Composting

6 Material recovery facilities

• In particular glass, plastic, paper, metals

7 Incinerators • Incineration with energy recovery (power plants) • Non-hazardous waste incineration • Hazardous waste incineration

8 Landfills • Inert waste landfilling • Non-hazardous waste landfilling • Hazardous waste landfilling

Table 16: Overview of checklists for permitting conditions and inspection

Checklists for permitting conditions and inspection:

1. Waste collection and transfer stations

2. Pre-treatment facilities

3. WEEE treatment facilities

4. Preparing for reuse facilities

5. Compost facilities

6. Material recovery facilities

7. Incinerators

8. Landfills

--------------------------- Further reading: More information on waste management operations covered including information on statistics are included in the guidance document, part III.

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3.1.1. Waste collection and transfer stations

(1) Check List – Waste Collection and Transfer Stations I. Facility Are relevant facility design issues considered (e.g. site location, type of facility, operational design,

energy efficiency, etc)? Is a location plan available, showing the location of the site and the outline of the facility? Is the access to roads facilitated (i.e. waste collection and transport vehicles)? Is sufficient storage capacity available, for present and future waste storage? Are the available drainage systems, power supplies, water supplies adequate for the licence? Are site buildings situated in a way to minimise potential impacts on neighbouring properties? Are provisions for emergency management incorporated? Is a decommissioning plan available that will return a site to the condition prevailing prior to waste

management activities so that it will be suitable for alternative use?

II. Waste Types Are checking/compliance measures introduced to ensure that waste acceptance is restricted to those

types and quantities for which the facility was designed and permitted by the licence (e.g. checking, sampling and recording of incoming waste and provisions for dealing with non-permitted wastes that are delivered)?

Is sufficient information provided by waste producers so that the operator of the transfer station can comply with the licence conditions (e.g. detailed description of wastes)?

Is the description of wastes checked and are records made regarding waste types, quantities, sources and waste carrier?

Is the incoming and outgoing waste subject to visual inspection (i.e. on-site verification) and weighing (i.e. weighbridges, place to offload and spread waste)?

Is the short/long-term leaching behaviour and/or characteristic properties of waste determined by or on behalf of the waste producer/contractor? And are possible risks when handling particular wastes identified and included in the waste transfer documents?

Is periodical testing carried out using standardised analysis methods, to determine whether a waste complies with licence conditions and/or specific reference criteria (carried out by the facility operator)?

Is specific information regarding the types and quantities of waste treated forwarded to the competent

authority (e.g. EPA) at defined intervals?

In terms of BAT, the waste acceptance procedures defined in the Landfill Directive Annex II(3) are also applicable to waste transfer stations [EPA IE 2003].

III. Facility Operation Is it ensured that the experience of the staff is appropriate with the level of expertise required (i.e. “Fit

and Proper Person”)? Are trainings provided to staff, including new areas of development and refresher courses? Is an Environmental Management System (EMS) implemented (e.g. ISO 14001)? Does the EMS, as a minimum, includes a schedule of environmental objectives and targets, corrective

actions, awareness and training, management structure, communications procedures, regular reporting of environmental performance and regular audit (internal and independent)?

Are systems in place, which ensure that standards are maintained, including incident and complaints management procedures?

Is data appropriately managed for waste received, processed and transported off-site?

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(1) Check List – Waste Collection and Transfer Stations IV. Vehicles Are vehicles subject to regular maintenance and service programmes to ensure that vehicles are running

as efficient as possible? Are procedures to monitor fuel use implemented in order to monitor efficiency?

Are vehicles engines switched off when not in use (both on-site and visiting vehicles)?

V. Dust/Fine Particulates Control Are operational procedure/working plans in place, which set out the design, operational considerations

and requirements to minimise and control potential nuisance from dust? Are detailed procedures of the receipt and handling of hazardous waste (incl. asbestos) formulated and

applied in practice (in case the facility is permitted to accept such wastes)? Is the effectiveness of the design and operational provisions regularly monitored? Is dust monitoring performed at specified locations on and off site? Are water sprinklers operated in waste handling areas? Are dust extraction systems, to remove dust and particulates from working areas, used?

Are all relevant areas (e.g. main transfer stations) as well as roadways regularly swept?

VI. Odour Control Are wastes known to be malodorous not accepted? Are appropriate procedures developed and implemented for dealing with malodorous waste? Are waste delivering/removing vehicles enclosed or covered? Is the biodegradable waste removed from the premises as soon as practicable (e.g. within 48 h of its

arrival)? Are odour neutralising sprays and additives used before onward transport? Are appropriate air filtration systems with bio-filter to remove odour used? Are all waste handling areas regularly inspected and monitored by facility staff? Is odour monitored at specified locations on-site and off-site (i.e. sensitive areas, settlements)?

Is compacting or treatment of malodorous waste carried out in an enclosed area?

VII. Litter Control Are operational procedures, including monitoring of litter generation and control of potential nuisance, in

place? Are visual inspections carried out and are written inspection records maintained (i.e. signed and dated,

indicating the times of inspection and any action taken)? Are transfer and waste handling activities (e.g. shredding, compacting) carried out within a building or an

enclosed/covered area? Are site roads regularly maintained? Is the incoming waste only accepted in sealed or covered vehicles?

Are perimeter planting, fencing and landscaping to reduce wind impacts installed?

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(1) Check List – Waste Collection and Transfer Stations VIII. Noise & Vibration Control Is the plant and equipment adequately maintained to mitigating noise levels? Is equipment selected that has low noise emission levels (confirms with EU Noise Standards)? Is it ensured that noisy equipment is not used for long periods of time and at inappropriate times (e.g.

defined in operational procedures)? Are patterns of waste delivery monitored in order to ensure that vehicle movements are avoided during

specific periods? Are site roads maintained to reduce noise and vibration from vehicle movement? Are noisy plants and equipment located away from residential areas and enclosed if possible? Is regular monitoring of noise levels carried out? Are noise related complaints recorded and investigated?

Are noisy activities carried out indoors and are building doors kept closed?

IX. Control of Emissions to Surface Water Is the operation carried out in a way which prevents spillage or escape of substances that could pollute the

surface water system? Are all direct discharges to surface water and sewer passed through a silt trap and oil

separators/interceptors? Are interceptor cleanings performed on a regular basis (incl. regular visual inspection and maintenance of

written records)? Is surface water monitoring (e.g. sampling at agreed locations; upstream/downstream of the site) carried out

regularly (e.g. monthly, quarterly)? Are adjacent/close by surface water courses inspected at agreed intervals? Are related written records maintained (including e.g. observations, actions taken and outcomes from any

corrective actions)? Is the flow of foul water/sewer discharge continuously monitored (i.e. flowmeter)? Is the composition of foul water/sewer discharge monitored at agreed intervals (i.e. to be agreed with the

competent authority)?

X. Chemical Waste Storage Control Are all relevant facility/storage area design requirements fulfilled (e.g. impermeable surfaces in storage

areas, non-combustible materials, fire resistant walls, ventilation etc.)? Is it ensured that certain chemicals (e.g. oxidising and toxic substances) are kept apart? Are separate dedicated storage areas/bays provided for different classes of dangerous substances, incl.

physical barriers such as walls, bunds etc.? Are written procedures for the acceptance and storage of waste, which clearly set out the selection of

suitable storage areas for waste, in place? Are appropriate emergency procedures implemented? Is a Risk Assessment carried out, assessing the risk to workers and the health and safety protection measures

needed? Is the bund integrity monitored on a regular basis to protect against leakage and are tanks regularly tested for

integrity? Are surface and foul drainage systems equipped with oil interceptors? Are tanks and containers appropriately labelled to indicate the content and the storage area? Are tanks and containers secured against unauthorised access?

Are storage areas inspected on a regular basis (e.g. daily)?

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(1) Check List – Waste Collection and Transfer Stations XI. Fuel/Oil Storage Control Are bunds and tanks regularly checked for leaks? Are valves locked when tanks are not in use? Are surface and foul drainage systems equipped with oil interceptors? Are appropriate emergency procedures implemented (e.g. provision of oil spillage kits, absorbent

materials or containment booms and staff training in spillage procedures)? Are tank level indicators calibrated and regularly checked to minimise risk of overfilling? Are all tanks and containers appropriately labelled to indicate content?

Are tanks and containers secured against unauthorised access?

XII. Further issues to be checked Groundwater Infection control (applicable for clinical waste transfer stations) Disease control Vermin & Insects Fire (e.g. inspection of fire fighting equipment, review of Risk Assessment etc.) Mud/Dirt (i.e. on facility/neighbouring streets) Security

….

Source: [EPA IE 2003] BAT Guidance Notes for the Waste Sector:

„BAT Guidance Notes for the Waste Sector; Waste Transfer Activities“, April 2003. http://www.epa.ie/downloads/advice/bat/BAT%20Transfer%20FinalApril%202003.pdf

Source: [EPA IE 2008] Draft BAT Guidance Notes for the Waste Sector: „Draft BAT Guidance Notes on BAT for the Waste Sector; Transfer Activities“, February 2008. http://www.epa.ie/downloads/consultation/bat%20waste%20transfer%20jan%2009%20-%20v10.pdf

Further reading: [BREF 2006] BREF Waste Treatment Industries: „Reference Document on BAT for the Waste Treatment Industries“, August 2006. http://ftp.jrc.es/eippcb/doc/wt_bref_0806.pdf

http://www.epa.ie/downloads/advice/bat/BAT%20Transfer%20FinalApril%202003.pdf�

http://www.epa.ie/downloads/consultation/bat%20waste%20transfer%20jan%2009%20-%20v10.pdf�

http://ftp.jrc.es/eippcb/doc/wt_bref_0806.pdf�

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3.1.2. Pre-treatment facilities

(2) Check List – Pre-treatment Facility I. Activity What is the general condition of the facility? (visible spillages, strong odour, intensive dust layer, rusted

vessels and pipes) Is a pre-acceptance procedure done to assess whether the waste is suitable for storage and treatment at

the facility? Is the accepted waste type (EWC) in line with the permit? How is the incoming waste identified? Is sampling performed by qualified persons and in line with corresponding standards? Are pre-acceptance information compared with the incoming waste? Is the available storage capacity checked before accepting the waste? Are records kept for waste received for utilization/recovery? Are records kept for waste gathered? Does the balance of waste recovered/utilized and waste generated in the process match the balance of

waste on stock (stored)? Are the records kept on valid forms? Is the waste flow documented and traceable? Are the waste transfer cards filled out correctly, e.g. stating the type of waste, quantity of waste and the

registration number of vehicles? How is the proper treatment of accepted waste controlled? What are the different treatment throughputs of the facility and is it in line with the permit? Are treatment processes documented? (e.g. throughput, waste type specification) Are criteria for rejection of waste set? Is unacceptable waste isolated and stored in a quarantine area before its removal? Are unaccepted waste deliveries documented and reported? In case hazardous waste is treated, is additional information such as hazardous waste category, names and

maximum concentration, waste composition, calorific value, etc. available? Is the amount of annually treated hazardous waste in line with the permit? Does the consumption of used other materials (service media) meet the quantities defined by the permit? Are Material Safety Data Sheets (MSDS) of other materials used at the facility available? Are records kept for the waste generated? Is the produced waste analysed? (e.g. leaching behaviour of stabilised waste) What happens with the produced waste? (also including those wastes unintentionally produced, e.g.

activated carbon from the abatement technology) Are documents available showing the further use of the treated material? Are energy consumption, material consumption and emissions in accordance with the BAT BREF document

“Waste treatment Industry” and the permit?

II. Abatement Technologies Which abatement technologies are installed? Are the installed abatement technologies sufficient for the facility emissions?

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(2) Check List – Pre-treatment Facility III. Facility Development Are all installations listed in the permit? Are the capacities of the installations in line with the permit? Are all treatment technologies in line with the permit? Are the storage conditions as stated in the permit? Do storage areas have sufficient capacity? Is the drainage infrastructure sufficiently large to contain all possible contaminated run-offs? Are the storage areas separated for different waste types to avoid mixing? Are waste types stored regarding to their compatibility? What is the condition of tanks, drums, vessels and other containers at the storage area?

Is periodic maintenance of installations recorded and sufficient?

IV. Handling What are spillage procedures in case of leachate? Are the employees trained regarding hazardousness and proper personal protective equipment of the

different waste types? Are proper tools for opening, holding, clamping, lifting and rotating devices in place? Are material losses and emissions documented? Are emissions into air, soil and water prevented or kept as low as possible? (especially at areas for

unloading, blending, mixing, opening and emptying) Are other materials used for the treatment of waste? Are MSDS available of the other materials? What is the quantity of the used other materials? Can used, empty containers be a source of emissions? Are they cleaned before emissions occur due to

evaporation or rinsing out? What happens to water used for cleaning? Are the plants or equipment containing hazardous substances as PCB, Asbestos or others periodically

checked?

V. Dust/Fine Particulates Control Are operational procedures/working plan in place, which set out the design, operational considerations and

requirements to minimise and control potential nuisance from dust? Are detailed procedures of the receipt and handling of hazardous waste (incl. asbestos) formulated and

applied in practice (in case the facility is permitted to accept such wastes)? Is the effectiveness of the design and operational provisions regularly monitored? Is dust monitoring performed at specified locations on and off site? Are water sprinklers operated in waste handling areas? Are dust extraction systems, to remove dust and particulates from working areas, used?

Are all relevant areas (e.g. main transfer station) as well as roadways regularly swept?

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(2) Check List – Pre-treatment Facility VI. Odour Control Are wastes known to be malodorous not accepted? Are appropriate procedures developed and implemented for dealing with malodorous waste? Are waste delivering/removing vehicles enclosed or covered? Is the biodegradable waste removed from the premises as soon as practicable (e.g. within 48 hours of its

arrival)? Are odour neutralising sprays and additives used before onward transport? Are appropriate air filtration systems with bio-filter to remove odour used? Are all waste handling areas regularly inspected and monitored by facility staff? Is odour monitored at specified locations on-site and off-site (e.g. sensitive areas, settlements)?

Is compacting or treatment of malodorous waste carried out in an enclosed area?

VII. Noise & Vibration Control Is the plant and equipment adequately maintained to mitigating noise levels? Is equipment selected that has low noise emission levels (confirms with EU Noise Standards)? Is it ensured that noisy equipment is not used for long periods of time and at inappropriate times (e.g.


specific periods? Are site roads maintained to reduce noise and vibration from vehicle movement? Are noisy plants and equipment located away from residential areas and enclosed if possible? Is regular monitoring of noise levels carried out? Are noise related complaints recorded and investigated?

Are noisy activities carried on indoors and are building doors kept closed?

VIII. Emissions to water Does the supplied water undergo treatment? Is the deep water well lining suitable protected, in case of water from own sources, so that rainwater

does not penetrate the well?

Is rain water collected? Does the quantity of used water match with the permit?

IX. Emissions into air How is the quantity of pollutants released into air recorded (continuous measurement, periodical

measurement of the quantity of consumed raw materials and fuel)? Is the type and quantity of introduced pollutants compliant with binding detailed legal requirements, e.g.

regulations? Is the type of introduced pollutants in compliance with binding emission standards? Is the release of pollutants monitored in line with stipulations of the permit and/or in line with binding

detailed legal requirements, e.g. regulation?

X. Emissions into soil Is the base and drainage system of the facility impermeable for the existing waste types? Are the protections for emissions into soil sufficient and in good condition?

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(2) Check List – Pre-treatment Facility

XI. Environmental management Is an environmental management system in place?

XII. Special focus on Sorting/Separation facilities Special focus should be taken regarding the waste flow traceability and that the corresponding mass

flow in- and outputs are consistent

XIII. Special focus on Stabilisation facilities Special focus should be taken regarding Section I Activity; especially those subsections dealing with

hazardous waste, produced waste and other materials used. Who analyses the produced materials? Is the stability of the produced material in line with the set requirements e.g. national legislation or

permit? Has all waste which was accepted and foreseen for stabilisation been stabilised? Are the storage areas of wastes, which have not been stabilised yet, sufficient regarding their

hazardousness and emission potential?

XIV. Special focus on Solidification facilities Special focus should be taken regarding Section I Activity especially those subsections dealing with

hazardous waste, produced waste and used other materials. Who analyses the solidified material? Is the solidification of the produced material in line with the set requirements e.g. national legislation or

permit? Has all waste which was accepted and foreseen for solidification been solidified? Are the storage areas of wastes, which have not been solidified yet, sufficient regarding their

hazardousness and emission possibilities?

XV. Special focus on Shredder facilities Special focus should be taken regarding Section V Dust/Fine Particulates Control and Section VII Noise &

Vibration Control

XVI. Special focus on Blending or mixing facilities Special focus should be taken regarding Section V Dust/Fine Particulates Control and Section VII Noise &

Vibration Control. What is the purpose of the blending or mixing process?

Does the mixing process not interfere with Article (5) Section 4 of the Landfill Directive (1999/31/EC)?

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(2) Check List – Pre-treatment Facility XVII. Special focus on MBT or biotechnical facilities Special focus should be taken regarding Section VI Odour Control. Are documents available showing the further use of the treated material?

Is the mass balance of input and output in compliance? (e.g considering losses of water etc.)

XVIII. Special focus on organic/inorganic physico-chemical treatment facilities The same special focus shall be taken as it has been listed for stabilisation and solidification facilities.

XIX. Further issues to be checked Security Accident management plan Closure and aftercare management plan Noise Pest Mud on the road

...

Source:

“Increase of operating efficiency of Inspection for Environmental Protection, on the basis of Norwegian experience” October 2008

Further reading: BREF Waste treatment Industries : „Integrated Pollution Prevention and Control; Reference Document on the Best Available Techniques for the Waste treatment industry“. August 2006 http://eippcb.jrc.es/reference/

http://eippcb.jrc.es/reference/�

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3.1.3. WEEE treatment facilities

(3) Check List – WEEE Treatment Facilities

I. Activity Is the facility a certified primary treatment facility or one of the following treatment facilities? Which WEEE categories are treated or sorted at the facility (according to Annex I of the WEEE Directive)? Is the facility performing a final treatment operation, or a pre-treatment operation preceding further waste

treatment by third parties? Is a partial/complete depollution of collected waste carried out? Are waste treatment steps (incl. sorting and storing) licensed or subject to any legal provisions? Are any subcontractors appointed by the operator? If yes, are these regularly monitored? Is a possible WEEE re-use taken into consideration?

II. Operating/Work Rules Are operating rules in place (e.g. available as hard copy)? Are relevant provisions for organisation and occupational safety therein included? Is the process/operation regulated in the operating rules? Are procedures/instructions on how to behave in case of a hazardous situation included? Are all relevant provisions included (e.g. operating instructions according to safety rules for handling of certain types

of WEEE, such as CRT and/or CFC-containing appliances)? Are important passages of the operating rules posted conspicuously on relevant facility premises?

III. Instruction handbook/manual Is an instruction handbook/manual in place? Are all necessary measures for standard operation, maintenance, disruption of operation, proper

handling/discarding of WEEE as well as occupational safety at the workplace defined? Are these measures in line with fire protection-, alarm- and action plans? Are the roles/responsibilities of the staff defined? Are inspection- and maintenance procedures defined? Is the work flow (material flow diagram) presented and explained? Are operating procedures for safety and environmental protection-related activities compiled? Is the instruction handbook/manual posted conspicuously on relevant facility premises? Does the instruction manual include provisions on registration obligations and on waste identification and transport

documents for internal and cross border waste transports?

IV. Operations Diary Are records kept for all incoming WEEE (e.g. according to the European Waste Code) and for the related quantities of

waste? Are documents for proper waste management, consignment notes/dispatch notes, consignee's return available for

all outgoing WEEE, components and materials? Are all relevant registration requirements met? Is the amount of waste, for different WEEE categories, verified (sampling of the input) and are the identified waste

amounts well documented? Are the quantities of re-used WEEE, assemblies or components documented (possibly selling certificate)? Are electronic or hard copies of documents and records available for at least three years (unless authorities, WEEE

take-back organisations or other customers stipulate a longer period)? Are subcontractors, appointed to recover/dispose WEEE, components and/or materials, appropriately documented?

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(3) Check List – WEEE Treatment Facilities V. Operation Requirements Are all technical requirements fulfilled (e.g. according to Annex III of the WEEE Directive)? Is the incoming waste and parts of it examined concerning damage, which could possibly cause danger or release of

hazardous substances? Is the damaged WEEE separately stored in storage areas specifically destined for that purpose? Are binders for spills and mercury adsorbers available? Are separated toxic components (e.g. batteries, capacitors, mercury-containing components etc.) accepted? If yes, is

the required permit available? Is a risk assessment available (according to REACH/CLP)? Is the collected data on mass flows provided to respective manufacturers, which allows them to fulfil their

information sharing obligations? Are all recovery/reuse/recycling targets, set in the WEEE Directive, met? In case of treatment operations by third parties, (e.g. after pre-treatment, after export), are these third parties

complying with all recovery/reuse/recycling targets set in the WEEE Directive?

VI. Logistics Are logistic facilities designed, organised, and maintained to provide safe access to and egress from the site, and

avoid access by unauthorised persons? Are logistic facilities secured to prevent damage to and theft of WEEE and components thereof? Are all employees at the logistics facility familiar with the environmental, health and safety policy of the facility? Is the downstream logistic chain of WEEE traced and documented by the operator until the first treatment step?

VII. Storage of WEEE (assemblies, components, materials and fractions) Are appropriate containers for the storage of batteries, PCB/PCT containing capacitors and other hazardous waste

such as radioactive waste available? Are dismantled parts/fractions stored appropriately (i.e. avoiding pollution of water/soil/air)? Are different WEEE fractions stored separately? Is the storage area protected against unauthorised access? Are applicable legal provisions regarding the handling and storage of harmful substances and groups of elements

considered? Are binders for spills and mercury adsorbers available in storage areas (impermeable surfaces for appropriate areas)? Are spillage collection facilities available for all uncovered storage areas? Is waterproof covering installed in specific storage areas (e.g. temperature exchange equipment, CRT display

appliances, flat panel displays and lamps)? Is it ensured that storage areas designated for the storage of WEEE intended for preparation for re-use have

waterproof covering? Is it ensured that CRT display appliances, flat panel displays, temperature control equipment, and lamps are place in

containers or stacked in a stable manner to prevent damage or breakage? In case of storage by third parties, harbours (e.g. preceding export), are these third parties complying with the above

mentioned provisions?

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(3) Check List – WEEE Treatment Facilities VIII. Removal, disassembly and separation Are all relevant facility requirements for WEEE disassembly met? Is it ensured that WEEE is not crushed or compacted prior to treatment? Are, as a minimum, all fluids removed? Are the substances, preparations and components from any separately collected WEEE, listed in Annex II, WEEE

Directive, removed and disposed of/recovered in compliance with the Article 4 of the Council Directive 75/442/EEC? Are certain components of separately collected WEEE (Paragraph 2 of the Annex II, WEEE Directive) further treated? Are Best Available Treatment, Recovery and Recycling Techniques (‘BATRRT’) applied? Are components containing radioactive substances disposed of corresponding to the specifications defined in the

Radiation Protection Ordinance? Are PCB-containing capacitors disposed of in accordance with the PCB Directive? Are the following additional requirements fulfilled (i.e. removal of: wooden parts of radios/TVs, oily filters before

mechanical treatment, vacuum cleaner bags from vacuum cleaners and mineral cotton) and are the materials appropriately disposed of or recovered?

In case of treatment operations by third parties, (e.g. after pre-treatment, after export) are these third parties complying with the EU acquis, covering the above mentioned aspects? ...

For further information please review [WEEE Forum 2011], in particular WEEELABEX_V9.0 Standard on treatment. http://www.weee-forum.org/att/literature/WEEELABEX_V9.0_standard%20on%20treatment.pdf

IX. Treatment of Specific Appliances (e.g. cooling appliances) Are all legal requirements, related to the treatment of cooling appliances, met? Is the reliability of the drainage approved annually by a competent authority? Is the CFC-content of the degassed cooling refrigerator oil <2 g total halogen/kg? Is the insulating material degassed in an enclosed and leakage tested system? Are the measures for continuous leakage tests documented? Are continuous measurements of CFC emissions in the exhaust gas carried out and are the measured values in

accordance to applicable air pollution control regulations? Are nature and quantity of withdrawn and discarded substances documented according to the EU Regulation

2037/2000/EC? Are nature and quantity of withdrawn and discarded substances documented according to the EU Regulation

842/2006/EC? Is an annual inventory of all CFCs carried out, according to their degree of chlorination? Are employees sufficiently educated (according to EU Regulation 2037/2000/EC and EU Regulation 842/2006/EC)?

For further information please review [WEEE Forum 2011], in particular WEEELABEX_V9.0 Standard on treatment, Part II, Specific Requirements (VFC & VHC Appliances) http://www.weee-forum.org/att/literature/WEEELABEX_V9.0_standard%20on%20treatment.pdf

X. Treatment of Specific Appliances (e.g. CRT monitors/TVs) Are appropriate methods used to prevent the breakage of appliances (e.g. appropriate containers, loading of

containers piece by piece, tightly packing to prevent movement, etc.) Is it ensured that uncontrolled tipping of containers of CRT display appliances is avoided? Are all legal requirements, related to the treatment of CRT appliances, met? Are all necessary technical requirements for CRT treatment facilities fulfilled (e.g. enclosure of the process in order to

avoid flying glass entering the working areas)? Are CRTs removed from separately collected WEEE (Annex II, WEEE Directive)? Is the lead containing cone glass separated from the front glass by using a hot wire, laser etc.? Is this glass subsequently disposed of/recovered at authorised treatment facilities? Is the fluorescent coating removed as separately identifiable fraction (Annex II, WEEE Dir.)?

http://www.weee-forum.org/att/literature/WEEELABEX_V9.0_standard%20on%20treatment.pdf�


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(3) Check List – WEEE Treatment Facilities Treatment of Specific Appliances (e.g. CRT monitors/TVs) Are thereby all relevant occupational health and safety requirements fulfilled? Are the removed fluorescent coatings stored in appropriate labelled containers and subsequently disposed/recovered

at authorised treatment facilities? Is the separated glass fraction free of possible contaminants (e.g. coatings)?

For further information please review [WEEE Forum 2011], in particular WEEELABEX_V9.0 Standard on treatment, Part II, Specific Requirements (CRT Display Appliances) http://www.weee-forum.org/att/literature/WEEELABEX_V9.0_standard%20on%20treatment.pdf

XI. Treatment with Respect to RoHS Do the WEEE treatment activities include recycling or re-use of EEE that has been put on the market after 1 July 2006? Do the WEEE treatment activities include re-use of spare parts in EEE that has been put on the market after 1 July

2006? Does recycled or re-used EEE, as described above, comply with the ban on lead, mercury, cadmium, hexavalent

chromium, polybrominated biphenyls (PBB) and polybrominated diphenyl ethers (PBDE) above the RoHS threshold values of 0,1% by weight (0,01% in case of cadmium)?

XII. Additional criteria for transfrontier shipment and re-use Are regulatory requirements according to the Waste Shipment Regulation (EU Regulation 1013/2006/EC) regarding

disposal/recovery fulfilled? Can a safe recovery according to the EU acquis be guaranteed and proved, in line with articles 3, 4, 7 and 10 of the

Waste Framework Directive? Is the shipment or recovery in line with national legislation in the country of dispatch and at the same level of

treatment standards as in the country of dispatch or as defined by corresponding Community legislation? Does the ratio of recoverable/non recoverable waste, the estimated value of the material, or the cost for recovery and

disposal of the non recoverable fraction justify export for recovery? Are collected devices passed as products? Is the functionality of the devices, components approved?

XIII. Possibly further issues to be checked Is incoming waste correctly classified? ...

Source: [LAGA 2009] Communication of LAGA 31:

“Requirements for treatment of WEEE” September 2009 (available in German) [„Anforderungen zur Entsorgung von Elektro- und Elektronik – Altgeräten“, Mittelung der LAGA 31] www.laga-online.de/servlet/is/23874/M31_2030092009_2.pdf?command=downloadContent&filename=M31_2030092009_2.pdf

Source: [DEFRA 2010] Environmental Permitting Guidance WEEE Directive:

„Environmental Permitting Guidance, WEEE Directive (England and Wales)“. Version 3.1, March 2010 http://archive.defra.gov.uk/environment/policy/permits/documents/ep2010weee.pdf

Source: [EC 2005] FAQ on RoHS and WEEE Directive:

„Frequently Asked Questions on Directive 2002/95/EC and Directive 2002/96/EC“. May 2005 http://ec.europa.eu/environment/waste/weee/pdf/faq_weee.pdf

Source: [WEEE Forum 2011] WEEELABEX Standards: „WEEELABEX Standards on collection, logistics and treatment“. V9.0, 2 May 2011


http://archive.defra.gov.uk/environment/policy/permits/documents/ep2010weee.pdf�

http://ec.europa.eu/environment/waste/weee/pdf/faq_weee.pdf�

http://www.weee-forum.org/index.php?section=general&page=news&id=229�

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3.1.4. Preparation for re-use facilities

(4) Check List – Preparing for Reuse I. Collection and Transportation Are persons involved in collection trained to identify items which are in good and reusable condition? Are all products recorded at the point of collection? Are items collected appropriately and transported in enclosed vehicles? Are collection vehicles compatible with reuse and/or segregation for special disposal/recycling (e.g. standard tipper

chassis with box body and tail lift, accessible from side and rear)? Is it ensured that items are stored indoor when awaiting collection? Is it ensured that collection staff handles items carefully during collection and during storage on the collection vehicle

to minimise risk of damage during transport? Are items protected by a reusable wrapping? And are doors taped up if applicable? Are items secured in the vehicle and in the correct position for transportation? Is the vehicle equipped with specific storage areas and bins for items such as scrap and spares? Are small items appropriately transported (e.g. boxed)? Is a plan in place to ensure that items are moved efficiently and safely in, around and out of the facility? Are all thoroughfares unobstructed and clearly marked? Is it ensured that manual handling (e.g. lifting) is minimised (reducing risk of injury of workers and damage of

equipment)? ...

II. Operating/Work Rules Are operating rules in place (e.g. available as hard copy)? Are relevant provisions for organisation and occupational safety therein included? Is the process/operation regulated in the operating rules? Are procedures/instructions on how to behave in case of a hazardous situation included? Are all relevant provisions included (e.g. operating instructions according to safety rules for handling of certain types

of waste)? Are important passages of the operating rules posted conspicuously on relevant facility premises?

III. Instruction handbook/manual Is an instruction handbook/manual in place? Are all necessary measures for standard operation, maintenance, disruption of operation, proper handling/discarding

of waste as well as occupational safety at the workplace defined? Are these measures in line with fire protection-, alarm- and action plans? Are the roles/responsibilities of the staff defined? Are inspection- and maintenance procedures defined? Is the work flow (material flow diagram) presented and explained? Are operating procedures for safety and environmental protection-related activities compiled? Is the instruction handbook/manual posted conspicuously on relevant facility premises?

IV. Environmental management Is an environmental management system in place? Are average weights assigned to each item?

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(4) Check List – Preparing for Reuse V. Waste acceptance Which waste categories are accepted at the facility? Is sufficient space, personnel and equipment available? Is the incoming waste controlled/inspected (i.e. external and internal inspection) by competent staff (e.g. verify there

is no risk from electric shock, burns, fire, injury from any moving parts, etc.)? Is the number and tonnage of different types of items calculated and appropriately documented (e.g. the number of

items is counted for each type (e.g. table, chair, etc.) and then totalled for each category)? Are incoming items weighted or are average weights assigned to each item?

VI. Sorting and Storing Is incoming waste sorted and stored in different categories which are the following: o item reusable in current condition o item requires slight repair but is in good condition o item requires major repair work o some parts of the item are missing o item is not repairable but recyclable o item can only be disposed Is record kept on the above mentioned categories? And is the percentage of reusable and recyclable waste calculated

and documented? Are items stored in designated and separate storage areas adjacent to the testing bays/areas? Are the storage areas safe, practical and large enough to accommodate staff and machines? Are the items, once sorted, labelled for further treatment? Is a designated area also available for scrap appliances which cannot be reused? ...

VII. Activity/Facility What is the general condition of the facility? (visible spillages, intensive dust layer, rusted vessels and pipes) Are items for re-use or components of these items appropriately checked, cleaned and repaired in order to be re-

used? And is record kept of the realised measures taken? Is the functionality of the devices/components approved by competent staff? Is the necessary equipment in place for the checking, cleaning and repairing of items to be re-used? Are items used for the same purpose for which they were conceived? Are opportunities for modernisation (i.e. up-cycling) considered? (e.g. replacement of old components with ‘new’

more powerful components) Are the testing bays equipped according to the treatment expected? Are work areas separated with barriers to ensure that no crossover takes place and does each area has specialised

procedures for its designated type? Are work areas fitted out with water supply, drainage, emergency off switches etc., if required? In case walls or barriers are not possible, are at least work zones painted on the floor? Is an appropriate floor surface ensured in each working zone (e.g. insulated rubber matting)? Are working areas equipped with adequate light and heating and sufficient storage and racking? o Are designated work bays or zones designed according to the following principles: workplace health and safety,

operations and procedures, risk reduction, testing, repair, storage, no public access ...

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(4) Check List – Preparing for Reuse VIII. Checks and Redistribution Are, as a minimum, functional checks and, if appropriate, an approval for electrical safety carried out (it must be

ensured that the customer is being passed safe, fault-free, quality-checked, working items)? Is a warranty to repair or replace the items provided to customers? Is a clear labelling of appliances, components and scrap ensured, identifying the origin and destination of the labelled

goods and any details of parts removed or missing and the identification of any faults? Are the entire movements, processes and processes still needed recorded (each appliance must be traceable from

the point it was discarded to the final destination when it leaves the facility)? Are the quantities of re-used WEEE, assemblies or components documented (possibly selling certificate)? Are records kept of what item was passed on and to whom? Are standard forms used including for instance details of the appliance, the address to which the appliance is to be

delivered, the date of delivery, the customer reference number, etc. ...

IX. Further issues to be possibly checked Emissions to air, water and soil Accident management Noise and vibration Dust and particulates Security …

Source: [FRN 2001] Fit for re-use:

„A guide to repair, refurbishment and re-use of domestic electrical appliances“. 2001 http://www.frn.org.uk/images/stories/fit_for_re-use.pdf

Source: [LAGA 2009] Communication of LAGA 31: “Requirements for treatment of WEEE” September 2009 (available in German) [„Anforderungen zur Entsorgung von Elektro- und Elektronik – Altgeräten“, Mittelung der LAGA 31] www.laga-online.de/servlet/is/23874/M31_2030092009_2.pdf?command=downloadContent&filename=M31_2030092009_2.pdf

Source: [DEFRA 2010] Environmental Permitting Guidance WEEE Directive: „Environmental Permitting Guidance, WEEE Directive (England and Wales)“. Version 3.1, March 2010 http://archive.defra.gov.uk/environment/policy/permits/documents/ep2010weee.pdf

http://www.frn.org.uk/images/stories/fit_for_re-use.pdf�

http://www.laga-online.de/servlet/is/23874/M31_2030092009_2.pdf?command=downloadContent&filename=M31_2030092009_2.pdf�

http://archive.defra.gov.uk/environment/policy/permits/documents/ep2010weee.pdf�

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3.1.5. Composting Facilities

(5) Check List – Composting Facilities I. Operation Installation What is the general condition of the composting facility? (i.e. visible spillages, strong odour, intensive

dust layer, rusted vessels and pipes) Is the base impervious for leachate (e.g. no cracks in concrete)? And is the base intact? Is the biodegradable waste treated before composting (e.g. shredding)? If yes, does the treatment take

place in an enclosed or open area? Are size reduction processes performed (i.e. after all non-compostable materials have been removed)? Are appropriate air filtration systems, with bio-filter to remove odour, in operation? Is the equipment regularly inspected and monitored by facility staff? Is screening and manual separation of waste streams carried out by facility workers? Are magnetic separators installed and operated at defined points of the feedstock? Is a system in place which removes non-ferrous metals (e.g. eddy-current machines)? Are air classifiers or other separation options, such as wet or ballistic technologies, installed and

operated after material has been size-reduced? Waste types Are procedures in place which allow the staff to perform inspections of the incoming loads? Is visual waste verification possible at the weighing bridge (e.g. platform, camera) and the active phase

(educated employee controls the unloading process)? Is it ensured that the incoming waste is separated into compostable, recyclable and disposable fractions

(e.g. removal of visible non-compostable materials)? Is the incoming waste tested to identify the characteristics of the material (e.g. carbon to nitrogen C:N

ratio, trace element levels, pH and electro-conductivity, moisture content, specific contaminant check)? Once the composting is underway, are regular measurements carried out to monitor the actual process

(e.g. temperature, moisture content, oxygen levels, etc.)? Are the agronomic capabilities such as the total fertiliser value, total organic matter content, water

holding capacity, etc. tested? Is the finished product tested to meet applicable composting product standards (i.e. trace elements

levels, foreign matter content, maturity, pathogen testing etc.)?

II. Odour control Are appropriate procedures in place for dealing with biodegradable waste? Is odour monitored at specified locations on-site and off-site (i.e. sensitive areas, settlements)? Is a plan in place for dealing with materials known to be odorous? Is the incoming waste immediately processed to minimise the potential for odour? Is sufficient staff and equipment available to deal quickly and efficient with incoming loads? Is the incoming waste systematically mixed in order to reduce odour emissions? Is sufficiently porous, high-carbon material (e.g. wood chips, dry leaves, straw, etc.) available to be

mixed immediately with the incoming waste (i.e. balance the C:N ratio, absorb the moisture in wet materials and add porosity so the mixture remains aerobic)?

Are operating temperatures, water supply, oxygen supply, etc. controlled to reduce odour emissions? Is the C:N ratio checked when preparing the waste mix? (ratio of 30 considered ideal for most materials)

Is the pile covered, if appropriate (e.g. in rain-laden areas)?

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(5) Check List – Composting Facilities Odour control (continuing) Is the moisture content of the incoming waste checked? (a moisture content between 40 and 60 % is

considered to provide a good air/moisture balance to support aerobic processes) Is the pH of the incoming waste checked? (mixtures above pH8.5 will release nitrogen as ammonia) Are wastes, known to be odorous processed inside an enclosed work area, ventilated to the outside

through a bio filter, if possible? Are outside doors closed so that the air circulation systems operate effectively? Is a blanket of finished compost added to the outside of the pile (i.e. acts as a built-in biofilters) if the

material must be stored before blending? Is it ensured that waste is turned or aerated regularly to maintain aerobic conditions? Is it ensured that the pile size is not too large? (air will not be able to infiltrate to the centre of a large

mass and temperatures may be very high in the centre) Are local weather conditions checked before turning or moving compost (i.e. wind direction relative to

the location of neighbours, barometric pressure, etc.)? Are biofilters checked and maintained on a regular basis to continue functioning at an effective level? Is good site drainage ensured? (standing water can result in waterlogged, anaerobic material) Are waste delivering/removing vehicles enclosed or covered, if appropriate? Is odour from process water captured and treated?

Are odour neutralising sprays and additives used before transport?

III. Leachate management Control and collection Are all sources of water on the site managed effectively? Is the leachate management part of the overall on-site water management plan? Is the site graded to encourage run-off without increasing erosion (e.g. slope of 2-4 %)? Are the recommended or required separation distances from surface and ground water sources

observed? Is it ensured that runoffs from the composting pad are avoided (with the exception of an engineered

wetland designed to treat such liquid)? Are the windrows and piles maintained at moisture content below the maximum recommended level? Are windrows oriented with the slope of the pad to encourage effective drainage? Are feedstock and curing or finished compost stored away from surface water drainage paths? Is feedstock prone to leaching stored on an impervious surface under cover, and is the leachate collected? Use or treatment Is the leachate used as a source of liquid nutrients? Is the leachate used to rewet material which is still in the active composting stage? Is the leachate and runoff water used to rewet the biofilters? Is the leachate marketed as separate product?

Is excess water treated before leaving the facility?

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(5) Check List – Composting Facilities IV. Other issues to be checked Dust Noise Air, Water and Waste Management Plans Disease Control Vermin & Pest Closure and Aftercare Fire protection Safety Training of employees

…

Source: [CCC 2011] Compost Council of Canada:

„Composting Fact Sheets“. Accessed April 2011 http://www.compost.org/ccc_alberta_factsheet.html

Source: [SdT 2005] Best Available Technology Composting: „Stand der Technik der Kompostierung, Richtlinie des Bundesministeriums für Land- und Forstwirtschaft, Umwelt und Wasserwirtschaft“. February 2005 http://www.umweltnet.at/article/articleview/30919/1/6954

Source: [EA UK 2009b] Landfill (EPR 5.02): „How to comply with environmental permit; Additional guidance: Landfill“. March 2009 http://publications.environment-agency.gov.uk/pdf/GEHO0409BPUT-e-e.pdf

Source: [EPA IE 2003] BAT Guidance Notes for the Waste Sector: „BAT Guidance Notes for the Waste Sector; Waste Transfer Activities“, April 2003. http://www.epa.ie/downloads/advice/bat/BAT%20Transfer%20FinalApril%202003.pdf

http://www.compost.org/ccc_alberta_factsheet.html�

http://www.umweltnet.at/article/articleview/30919/1/6954�

http://publications.environment-agency.gov.uk/pdf/GEHO0409BPUT-e-e.pdf�

http://www.epa.ie/downloads/advice/bat/BAT%20Transfer%20FinalApril%202003.pdf�

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3.1.6. Material recovery facilities

(6) Check List – Material Recovery I. Activity What is the general condition of the facility? (visible spillages, strong odour, intensive dust layer, rusted

vessels and pipes) Is a pre-acceptance procedure performed to assess whether the waste is suitable for storage and

treatment at the facility? Is the accepted waste type (EWC) in line with the permit? How is the incoming waste identified? Is sampling performed by qualified persons and in line with corresponding standards? Is pre-acceptance information compared with the incoming waste? Is the available storage capacity checked before accepting the waste? Are records kept for waste received for utilization/recovery? And are the record kept on valid forms? Is the waste flow documented and traceable? Are the waste transfer cards filled out correctly (i.e. stating the type of waste, quantity of waste and the

registration number of vehicles)? What are the different treatment throughputs of the facility and is it in line with the permit? Are treatment processes documented? Does the consumption of possible used raw material meet the quantities defined by the permit? Are criteria for rejection of waste set? Is unacceptable waste isolated and stored in a quarantine area before its removal? Are unaccepted waste deliveries documented and reported? In case hazardous waste is treated, is additional information such as hazardous waste category, names

and maximum concentration, waste composition, calorific value, etc. available? Is the amount of annually hazardous waste treated in line with the permit? How is the proper treatment of accepted waste controlled? Are records kept for waste generated? What happens with the produced wastes? (wastes unintentionally produced e.g. activated carbon from

the abatement technology) Is the final recycled material analysed? (e.g. leaching behaviour of stabilised waste) Are energy, material consumption and emission in accordance with the BAT BREF document “Waste

treatment Industry” and the permit?

Are the installed abatement technologies sufficient for the facility emissions?

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(6) Check List – Material Recovery II. Facility Development Are all installations listed in the permit? Are the capacities of the installations in line with the permit? Are all treatment technologies in line with the permit? Are the storage conditions as stated in the permit? Do storage areas have sufficient capacity? Is the drainage infrastructure sufficiently large to contain all possible contaminated run-offs? Are the storage areas separated for different waste types to avoid mixing? What is the condition of the tanks, drums, vessels and other containers at the storage area?

Is periodic maintenance of installations recorded and sufficient?

III. Handling What are the spillage procedures in case of leachate? Are the employees trained regarding hazardousness and proper personal protective equipment of the

different waste types? Are proper tools for opening, holding, clamping, lifting and rotating devices in place? Are material losses and emissions documented? Are emissions into air, soil and water prevented or kept as low as possible? (especially at areas for

unloading, blending, mixing, opening and emptying) Can used and empty containers be a source of emissions? Are they cleaned before emissions occur due

to evaporation or rinsing out?

What happens to water used for cleaning?

IV. Dust/Fine Particulates Control Are operational procedures/working plan in place, which set out the design, operational considerations

and requirements to minimise and control potential nuisance from dust? Is the effectiveness of the design and operational provisions regularly monitored? Is dust monitoring performed at specified locations on and off site? Are water sprinklers operated in waste handling areas? Are dust extraction systems, to remove dust and particulates from working areas, used?

Are all relevant areas (e.g. main transfer station) as well as roadways regularly swept?

V. Noise and Vibration Control Is the plant and equipment adequately maintained to mitigating noise levels? Is equipment selected that has low noise emission levels (confirms with EU Noise Standards)? Is it ensured that noisy equipment is not used for long periods of time and at inappropriate times (e.g.


specific periods? Are site roads maintained to reduce noise and vibration from vehicle movements? Are noisy plants and equipment located away from residential areas and enclosed if possible? Is regular monitoring of noise levels carried out? Are noise related complaints recorded and investigated?

Are noisy activities carried on indoors and are building doors kept closed?

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(6) Check List – Material Recovery VI. Odour Control Are wastes known to be malodorous accepted? Are appropriate procedures developed and implemented for dealing with malodorous waste? Are appropriate air filtration systems with bio-filters to remove odour used? Are all waste handling areas regularly inspected and monitored by facility staff?

Is odour monitored at specified locations on-site and off-site (i.e. sensitive areas, settlements)?

VII. Emissions into water Does the supplied water undergo treatment? Is the deep water well lining suitable protected, in case of water from own sources, so that rainwater does

not penetrate the well? Is rain water collected? Is all water that can be contaminated collected?

Does the quantity of used water match with the permit?

VIII. Emissions into air How are pollutants released into air recorded (continuous measurement, periodical measurement of the

quantity of consumed raw materials and fuel)? Is the type and quantity of introduced pollutants compliant with binding detailed legal requirements, e.g.

regulations? Is the type of introduced pollutants in compliance with binding emission standards? Is the release of pollutants monitored in line with stipulations of the permit and/or in line with binding

detailed legal requirements, e.g. regulation?

IX. Emission into soil Is the base and drainage system of the facility impermeable for the existing waste types? Are the protections for emissions into sufficient and in good condition?

X. Environmental management Is an environmental management system in place?

XI. Special focus at metal recycling facilities Special focus should be taken regarding section V Noise and Vibration Control Further focus should be on energy consumption and efficiency

XII. Special focus at paper recycling facilities Special focus should be taken regarding section VI Odour Control

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(6) Check List – Material Recovery XIII. Special focus at glass recycling facilities Special focus should be taken regarding IV Dust/Fine Particulates Control and V Noise and Vibration

Control

XIV. Special focus at plastic recycling facilities Are the plastic fractions separated regarding plastic type (e.g. PE, PA, PP, etc.)? Are plastic fractions including brominated flame retardants separated and separately treated? Special focus should be taken regarding IV Dust/Fine Particulates Control and V Noise and Vibration

Control

XV. Further issues to be checked Security Accident management plan Pest Mud on the road Closure and aftercare management plan

....

Source: Checklist for the waste management sector covering waste recovery

“Increase of operating efficiency of Inspection for Environmental Protection, on the basis of Norwegian experience” October 2008 http://www.gios.gov.pl/pl0100/download/Act3_checklistexample.pdf

Further reading: BREF Waste treatment Industries :

„Integrated Pollution Prevention and Control - Reference Document on the Best Available Techniques for the Waste treatment industry“. August 2006 http://eippcb.jrc.es/reference/

http://www.gios.gov.pl/pl0100/download/Act3_checklistexample.pdf�

http://eippcb.jrc.es/reference/�

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3.1.7. Waste incineration

(7) Check List – Waste Incineration I. Design, Equipment and Operation of the Plant Does the installation contain more than one incineration line? What are the maximum design capacity and the maximum total incineration capacity of the plant (in t/h)? Is any hazardous wastes incinerated? Are the operating temperatures, after last injection of combustion air, 1,100°C for hazardous waste with greater than

1% halogenated hydrocarbons expressed as chlorine, or 850°C for all other wastes? In case operating temperatures are lower, derogation under Article 6(4) Waste Incineration Directive must be

available? What is the residence time of gas at the operating temperatures given above? In case residence time is less than 2 sec, derogation under Article 6(4) Waste Incineration Directive must be available? What is the technique applied in order to verify the gas residence time and the minimum operating temperatures

given, both under normal operation and under the most unfavourable operating conditions anticipated, in accordance with WID Article 6(4).

Is the temperature in the combustion chamber measured in accordance with Article 6(1) Waste Incineration Directive?

Is an automatic system to prevent waste feed under particular circumstances described in accordance with Article 6(3) and 6(4) Waste Incineration Directive?

Does the plant use oxygen enrichment in the incineration combustion gas? If yes, what is the oxygen concentration in the secondary air (% oxygen)?

Are for each line, at least one auxiliary burner installed to switch on automatically whenever the furnace temperature drops below a set value?

Which fuel type is used during start-up/shut-down? If other fuels than natural gas, LPG of light fuel oil/gasoil is used; can it be proven that the used fuel will not give rise to higher emissions?

Are pre-treatment methods required to ensure that the quality standards for Total Organic Carbon (TOC) content or Loss of Ignition (LOI) of the bottom ash or slag are achieved? If yes, is a description available?

Is roofing and drainage segregation provided to minimise contamination of rainwater? And is sufficient storage capacity available for contaminated rainwater to allow sampling and testing prior to release?

II. Incoming Waste Management (general check list) Is for each type of waste burned the following information provided: waste description, EWC classification number,

annual disposal in [t], statement whether it is hazardous waste? In case hazardous waste is treated, is additional information such as hazardous waste category, names and maximum

concentration, waste composition, calorific value, etc. available? Is any fraction of the hazardous waste generated by the installation of which the incinerator is a part? How is it ensured that the information about the mass of waste to be delivered is available before it is received?

(Article 5(2) Waste Incineration Directive) Are requirements of Article 5(3) Waste Incineration Directive satisfied? (requirements for hazardous waste streams) Are representative samples taken from the hazardous waste stream? What is the retention period of samples after

incineration of the batch has been completed? Minimum is 1 month (Article 5(4) (b) Waste Incineration Directive). Is infectious clinical waste incinerated (as defined in Annex III WFD)? If yes, will the material go straight from storage

into furnace without being mixed with other categories of waste and without direct handling during loading of the furnace as required by Article 6(7) Waste Incineration Directive?

Is incoming waste pre-treated to the degree necessary to reduce variations in feed composition, to control emissions and to prevent unnecessary waste production?

Are vehicles load/unload in designated areas provided with proper hard standing? Is uncontained or potentially odorous waste stored inside buildings with suitable odour control e.g. negative pressure

created by feeding combustion air, automatic or restricted size doorways? Is fire fighting equipment, in accordance with the requirements of Local Fire Officers, provided (especially for

Municipal Solid Waste (MSW) reception bunkers, clinical and chemical wastes storage)? Are fuels and treatment chemicals stored in appropriate tanks or silos (possibly with closed loop vapour systems and

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(7) Check List – Waste Incineration III. Incoming Waste Management (Example: Municipal waste) Municipal Waste Incineration Are all relevant legislative requirements fulfilled? Is municipal waste delivered in covered vehicles or containers and unloaded into enclosed reception bunkers or sorting

areas with odour control? Are design and handling procedures used to avoid any dispersal of litter? Are techniques applied to increase the homogeneity of waste fed to the incinerator? Is it ensured (through inspection) that any waste, which would prevent the incineration from operating in compliance

with the permit, is separated and placed in a designated storage area until its removal? Are proper measures taken to minimise odour in any potentially odorous indoor areas (e.g. self-closing doors,

ventilation, treatment of extracted air, storage times, monitoring quality of incoming waste, etc.?

In order to develop similar specific check lists for pre-treatment, chemical waste incineration, clinical waste incineration, animal waste incineration, sewage sludge incineration, drum incineration, pyrolysis and gasification, refuse-derived fuel incineration and co-incineration please review Chapter 2.1 of the [EA UK 2009].

IV. Waste Charging (general check list) Is an automatic system used to prevent waste feed at start-up, whenever the required temperature is not maintained,

whenever the continuous monitors show that any emission limit value is exceeded? Is the waste charging interlocked with furnace conditions? Is it ensured that the charging operation is as airtight as possible and the fan control system is capable of responding to

charges in furnace pressure during charging, to avoid escape of fumes or excess air flows? Are mechanisms that load the chute interlocked to prevent loading under the conditions outlined by the Waste

Incineration Directive? (in systems that use a waste filled charging chute or hopper to achieve an airtight seal) Are procedures in place to ensure that the designed charging rate is not exceeded? Are throughput rates not exceeded and are they recorded (as declared in the permit)? Are mass throughput rates adjusted in a way to ensure optimum combustion conditions, while maintaining sufficient

waste residence in the chamber?

V. Waste Charging (Example: Municipal and clinical waste) Are sealed delivery chambers used if there is a risk of either waste or products of combustion escaping from the feed

mechanism? Is the waste feed engineered to prevent backflow of combustion products through it? And is a low-level alarm included

in the feed hopper? Are isolation doors that prevent the fire burning back up the chute double doors or have a cooling system? Do the operating procedures show how overloading of the furnace will be prevented? Is it ensured that clinical waste is placed straight from storage into the furnace, without first being mixed with other

categories of waste and without direct handling (Waste Incineration Directive requirement)?

In order to develop similar specific check lists for chemical waste incineration, sewage sludge incineration, drum incineration, animal waste incineration, pyrolysis and gasification, refuse-derived fuel incineration and co-incineration please review Chapter 2.2 of the [EA UK 2009].

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(7) Check List – Waste Incineration VI. Residues Management General: How are the residues from the incineration plant minimised, recovered, recycled and disposed of? Is a description given on how it is intended to minimise the harmfulness of residues and how they will be recycled

where this is appropriate? Is at least the following information available for each waste disposed of; incineration line identifier, residue type

reference, source and description of residues, details of transport and intermediate storage, details of the total soluble fraction and soluble heavy metals fraction and the route by which the residues will leave the installation (e.g. recycling, recovery, disposal to landfill)?

Are requirements of Article 6(1) Waste Incineration Directive met (i.e. TOC content of slag and bottom ash is less than 3 %, or their LOI is less than 5 % of the dry weight of the material?

Bottom ash: Is it ensured that dust does not become airborne (in case ash is handled dry)? In case ash is handled wet, is it ensured that ash is fully drained before it is transferred to the skips or otherwise leaves

the site? Are all ash transport containers covered? Is adequate cleaning equipment such as vacuum cleaner provided and maintained? Fly ash and Air Pollution Control (APC) residues: Are fly ash and APC residues segregated in order to allow the individual streams to be re-used or recycled? Are these streams carefully stored, handled and transported, whether alone or in combination? Is fly ash stored and transported in a manner that prevents fugitive dust releases? Is the displaced air, during silo and container filling, ducted to suitable dust arrestment equipment? Are dry residues for disposal handled in sealed containers such as tankers for large quantities or for instance “big-bags”

for smaller installations? Rejected feedstock: Are techniques for the inspection of waste adopted (e.g. nature of the waste, the ability of the installation to treat the

waste incl. any pre-treatment/waste mixing etc.) to decide whether to accept/reject the waste? Is it ensured that the delivery of waste that cannot be processed at the facility is minimised? Are provisions made for safe storage of rejected loads in a designated area with contained drainage? Are procedures in place for dealing with such loads to ensure that they are safely stored and dispatched for onward

disposal? Is it ensured that storage times are minimised? Recovered waste fractions: Are provisions made for the storage of all recovered waste fractions? Are the waste disposal/recovery routes regularly audited to ensure proper waste treatment? Is it justified why recovery is technically or economically not feasible (where disposal occurs)? Is a detailed assessment provided, identifying the best environmental options for waste disposal?

VII. Continuous Emission Monitoring Performance How is it ensured that the requirements set in Article 11(11) Waste Incineration Directive are satisfied? (half-

hourly/10-minute average, etc.) Are details on the definition when start-up ends and shut-down begins provided? Are all types of unavoidable stoppage, disturbance or failure of the abatement plant or continuous emission

monitoring system described? Will the value of the 95 % confidence intervals of a single measured value of the daily emission limit value, exceed the

percentages of the emission limit values required by Article 11(11) Waste Incineration Directive and Annex III Point 3? Is the monitoring of process variables described? (For emissions into air, at least the arrangements for monitoring

oxygen content, temperature, pressure and water vapour content must be included (Article 11(7) Waste Incineration Directive). For emissions of waste water from the cleaning of exhaust gas, at least the arrangements for monitoring pH, temperature and flow rate must be included. (Article 8(6) Waste Incineration Directive)

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(7) Check List – Waste Incineration VIII. Emissions into Surface Water and Sewer Are details on the applied waste water treatment process available? Is it demonstrated that the requirements of Annex IV and Article 8(4) and 8(5) Waste Incineration Directive are

fulfilled? (i.e. application of the mass balance requirements) What are the storage arrangements for contaminated rainwater run-off? Is the storage capacity adequate to ensure

that such waters can be tested and, if necessary, treated before discharge (Article 8(7) Waste Incineration Directive)? Are benchmark data for the main chemical constituents for normal operating /possible emergency conditions

available for each emission point? How are the pollutants monitored in these emissions? Is information on flow rate, pH and temperature available? Are for each monitoring parameter the emission points, the monitoring frequency, the monitoring method, whether

the equipment/sampling/lab is certified, the measurement uncertainty, etc. defined? Are any different arrangements necessary during start-up and shut-down? Is any additional information provided on monitoring and reporting of emissions into water or sewer?

IX. Emissions into Air Are the emission limit requirements of the Waste Incineration Directive fulfilled (as a minimum)? Particulate matter: Are fabric filters installed, correctly operated and maintained? Are bag burst detectors provided to indicate the need for maintenance when a bag fails? Are fabric filters with multiple compartments used, which can be individually isolated in case of individual bag failure? Where wet scrubbing is used in combination with fabric filters, are the cool and wet gases reheated to prevent dew

point and other problems? Is wet scrubbing used in combination with fabric filters (wet scrubbers on their own are not BAT)? Primary NOx measures: Is nitrogen rich waste burnt (e.g. sewage sludge)? Are low NOx burners for burning liquid waste or for supplementary firing used? Are starved air systems used where appropriate? (reduction of oxygen content and temperature) Is all equipment sealed to prevent fugitive air ingress and is it maintained under slight negative pressure to allow

control of air input and to prevent combustion gas releases? Is primary and secondary air feed optimised so that conditions in the combustion chamber secure oxidative

combustion of gases, while not resulting in higher NOx production? Are computerised fluid dynamics (CFD) used to optimise the primary and secondary air input? Primary NOx measures: Are excessive or uneven temperatures avoided which may lead to higher NOx formation? (minimum temperature

requirements imposed by the Waste Incineration Directive must be maintained) Is Flue Gas Recirculation ( which provides an effective means of NOx prevention) applied, optimised and controlled? Secondary NOx measures: Are secondary NOx measures considered after the application of primary NOx reduction measures? Selective non-catalytic reduction (SNCR): Are NH2 –X compounds/ammonia/urea injected into the furnace to reduce emissions of NOx and inhibit dioxin

formation? Is the addition of reagents controlled to minimise the possibility of ammonia slippage? Selective catalytic reduction (SCR): Is SCR applied? (reduction of NO, NO2 to N2 and reduction of VOCs, CO and dioxin emissions) Is the use of SCR considered in the cost benefit assessment and is a justification provided if it is not employed?

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(7) Check List – Waste Incineration Emissions to Air (continuation)

Primary acid gas measures: Is it ensured that releases are influenced through waste selection (e.g. up-stream waste management to prevent the

inclusion of problematic wastes, waste selection or segregation techniques)? Are low sulphur fuels <0.2 % w/w used for start-up and support? Secondary acid gas measures: Is the selection of the technology (i.e. wet, dry and semi-dry) and the selection of the reagents justified? Alkaline reagent dosing control: Is the reagent dosing system optimised to control acid gas emissions within emission limit values, reduce consumption

of reagent and reduce production of alkaline residues? Other releases (CO2, CO and VOCs): Are raw materials with low organic matter content and fuels with low ratio of carbon content to calorific value

preferred? Is it ensured that furnace and combustion requirements are fulfilled? Are consistent waste feed characteristics (e.g. Calorific Value (CV), moisture) and feed rates secured? Are partially oxidised gases burned before release? Dioxins and furans Are combustion conditions carefully controlled (i.e. gas residence times, temperatures and oxygen contents at the

combustion stage)? Is it ensured that the conditions for de novo synthesis are avoided by ensuring that exit gas streams are quickly cooled

through the de novo temperature region between 450 °C and 200 °C? Is efficient particulate abatement in place, which will remove dioxins/furans from the gas phase (e.g. bag filters

impregnated with catalyst specifically developed for the destruction of dioxins/furans)? Metals Is up-stream waste segregation performed (e.g. Hg at chemical waste incinerators) Is carbon injection carried out if Hg is a problem? Is efficient particulate abatement in place (relevant for the majority of metals)? Iodine and Bromine Is sodium thiosulphate added to the scrubber to reduce iodine and bromine to the respective halogen hydride? (in

case wet scrubber systems are used) Is the resulting effluent stream subsequently treated?

X. Further issues to be checked Accident management Efficient use of raw materials and water Energy efficiency, heat recovery Odour, noise and vibration Flue gas recirculation Dump stacks and bypasses Cooling system Boiler design ...

Source: [EA UK 2009a] The incineration of Waste (EPR 5.01):

„How to comply with environmental permit; Additional guidance: The incineration of Waste“. March 2009 http://publications.environment-agency.gov.uk/pdf/GEHO0209BPIO-e-e.pdf

Further reading: [BREF 2006] BREF Waste Incineration: „Integrated Pollution Prevention and Control; Reference Document on the Best Available Techniques for Waste Incineration“. August 2006 ftp://ftp.jrc.es/pub/eippcb/doc/wi_bref_0806.pdf

http://publications.environment-agency.gov.uk/pdf/GEHO0209BPIO-e-e.pdf�

ftp://ftp.jrc.es/pub/eippcb/doc/wi_bref_0806.pdf�

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3.1.8. Landfills

(8) Check List – Landfills I. Waste documents Permit Are the accepted wastes in line with the permit? Is it ensured that the accepted wastes have undergone appropriate treatment, if required? Basic characterisation Are the basic characterisation documents kept as long as required by national legislation? (storing time)

Does the basic characterisation include the following information:

• Source and origin of the waste

• Information on the process producing the waste (description and characteristics of raw materials and products)

• Description of the waste treatment applied in compliance with Article 6(a) Landfill Directive, or a statement of reasons why such treatment is not considered necessary

• Data on the composition of the waste and the leaching behaviour, where relevant

• Appearance of the waste (smell, odour, physical form)

• Code according to the European Waste List

• For hazardous waste in case of mirror entries: the relevant hazard properties according to Annex III WFD

• Information to prove that the waste does not fall under the exclusions of Article 5(3) Landfill Directive

• The landfill class at which the waste may be accepted

• If necessary, additional precautions to be taken at the landfill

• A check, if the waste can be recycled or recovered Have the analyses been performed by an independent and qualified person and institution? Are limit values in line with the WAC Decision or national legislation? Are critical parameters for compliance testing and options for simplification of compliance testing included? Is the frequency for compliance testing set? Do wastes, which are not tested, fulfil the required criteria for wastes which do not require testing as set in the WAC

Decision? Does the basic characterisation comprise data regarding compositional waste for the individual wastes? Does the basic characterisation include data regarding range and variability of characteristic properties? Does the basic characterisation comprise data regarding key variables to be tested on a regular basis? Compliance testing documents Are the compliance testing documents kept as long as required by national legislation? (storing time) What is the frequency of compliance testing and is it in line with the frequency set in the basic characterisation? Is compliance testing of each accepted waste type performed at least once a year? Are the compliance testing documents in line with the corresponding basic characterisations? Are tests used for compliance testing used in the basic characterisation? Is a batch leaching test performed for the compliance testing? If not, what is the reason? Have the analyses been performed by an independent and qualified person and institution? Are limit values in line with the WAC Decision or national legislation?

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(8) Check List – Landfills Waste documents (continuation) Others waste related documents Are wastes accepted exceeding the limit values defined in the permit? Do permits from the competent authority exist for specified wastes exceeding set limit values? Is the documentation of the waste flow traceable, complete and consistent (identification form, single weighing

bridge documents, landfill internal monthly list, report of type and quantity of waste to the competent authority)?

II. General documents Is the last calibration of the weighing bridge in line with the technical description? Are the documented leachate volume, leachate composition, volume and composition of surface water, potential gas

emissions and atmospheric pressure in line with the permit, national legislation or the Landfill Directive? Is the control of ground water volume and contamination conducted as described in the Landfill Directive (Annex III,

Section 4) or national legislation? Is the control of topography of the site carried out as described in the Landfill Directive (Annex III, Section 5) or

national legislation?

III. Operation Installation Are all necessary installations, as described in the permit, in place and in compliance? Are gas and water pipes in a good condition? Are installed barriers in a good condition? Are environmental protection systems in a good condition? Are other relevant installations mentioned in the permit in a good condition? Is the pre-treatment equipment in a good condition? Waste acceptance Are procedures in place which allow the staff to perform inspections of the incoming loads? Is a visual waste verification possible at the weighing bridge (e.g. platform, camera) and the active phase (educated

employee controls the unloading process)? Are procedures installed to guarantee correct disposal of accepted waste on the proper landfill cell and landfill

section (e.g. GPS System, signatures at check points)? In case a visual inspection is not practicable (due to the vehicle or container type), is it checked whether the delivery

vehicle is consistent with the vehicle type usually used for the waste described in the provided documentation? In case the delivered waste is not consistent with the description, are appropriate procedures provided (e.g.

quarantine load, carrying out further checks, refuse of load, etc.)? Are installations or procedures in place to limit odour, vermin and pest (see section V and VI)?

IV. Handling Waste Handling Are the waste loads visually inspected by personnel trained to recognise waste that requires special handling? Is the working area designed in a way to minimise fugitive releases? Is the waste levelled and compacted as soon as it is discharged at the working area? And is it ensured that waste is

covered as soon as practicable? Are procedures in place on how to deal with difficult wastes (e.g. very large objects, sludges, very light material,

finely particulate material)?

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(8) Check List – Landfills V. Special waste types (biodegradable-, asbestos- and gypsum waste) Biodegradable waste Is the reduction of landfilled biodegradable waste in line with Article 5.2 Landfill Directive or national legislation? Asbestos waste Can asbestos waste be accepted according to the facility permit? Are acceptance procedures regarding asbestos waste required in national legislation fulfilled? Does the waste contain other hazardous substances than bound asbestos, including fibres bound by a binding agent

or packed in plastic? Does the landfill accept only construction material containing asbestos and other suitable asbestos waste? (These

wastes may also be landfilled in a separate cell of a landfill for non-hazardous waste, if the cell is sufficiently self-contained)

Is the zone of deposit covered daily and before each compacting operation with appropriate material and, if the waste is not packed, is it regularly sprinkled, in order to avoid dispersion of fibres?

Is a final top cover put on the landfill/cell in order to avoid the dispersion of fibres? Is it ensured that no works are carried out on the landfill/cell that could lead to a release of fibres (e.g. drilling of

holes)? Is an after closure plan kept for the location of the landfill/cell indicating that asbestos wastes have been deposited? Are appropriate measures taken to limit the possible uses of the land after closure of the landfill in order to avoid

human contact with the waste? Gypsum waste Can gypsum waste be accepted according to the permit? Is it guaranteed that gypsum waste is not co-disposed with biodegradable waste?

VI. Fugitive Emissions Particulate Matter Control (dust and aerosols): Are procedures in place to deal with particulate matter arising from the placement of wastes, traffic on site roads

during periods of dry weather, site preparation and restoration activities, surface emissions and carriage of dust/mud onto the highway?

Are appropriate dust suppression techniques used (e.g. for the finer particles)? Are the surfaced site roads extended as far as possible to the tipping face and are these site roads regularly

maintained and in a clean condition? Are movements of site traffic controlled, including restrictions of routes and speeds? Are wheel washers installed to allow any residual debris to be deposited within the site? Are particulate monitoring programmes developed and reviewed regularly (site specific)? Litter: Are appropriate measures in place to prevent litter forming (e.g. by controlling potentially wind-blown materials), to

capture litter that is generated, to manage accumulations of litter within the installation and to collect litter from beyond the boundary of the installation?

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(8) Check List – Landfills

VII. Odour Are procedures in place for dealing with wastes from transfer stations (e.g. wastes, which have started to

decompose prior to landfilling), old wastes disturbed by digging, malodorous wastes, agricultural and sewage treatment residues, leachate and landfill gas?

Are procedures in place to maintain a description of the types of odorous substances deposited and generated? Is an odour impact assessment carried out (incl. the range of reasonably foreseeable odour generation and receptor

exposure scenarios and the effect of different mitigation options)? Is it ensured that sulphate wastes are disposed of in cells in which biodegradable waste is not accepted? Is coordination between the gatehouse staff and staff at the tipping face where odorous waste is being accepted

ensured? Is the potential for odour assessed during the excavation of waste or the removal of the cover (e.g. during the

installation of gas wells)? Are tipping areas kept small and is waste covered as soon as possible? Is intermediate capping designed, constructed and maintained to prevent release of odours? Is an effective landfill gas management plan implemented in conjunction with good operational practices (e.g. not

leaving odorous waste uncovered)? Is a full containment of the waste ensured (including temporary and/or phased capping)? Is the landfill gas control system well constructed, operated and maintained? Are point source emissions (e.g. from landfill gas flares) considered in selecting and assessing the control system? Is active landfill gas extraction installed as soon as possible in order to minimise the release of uncontrolled landfill

gas emissions? Are enclosed leachate treatment operations used, where necessary (e.g. where the proximity of the operation to a

receptor is likely to cause an odour problem)? Is enclosed leachate storage provided where the proximity of the storage to a receptor is likely to cause an odour

problem?

VIII. Further issues to be checked Security Accident management plan Closure and aftercare management plan Noise Pest Mud on the road

...

Source: [EA UK 2009b] Landfill (EPR 5.02):

„How to comply with environmental permit; Additional guidance: Landfill“. March 2009 http://publications.environment-agency.gov.uk/pdf/GEHO0409BPUT-e-e.pdf



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4. Further Tools

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4.1. Further tools - Orientation

In this section further tools were elaborated to support permitting and

inspection procedures of waste legislation. These tools consist of:

Legal obligation at a glance (chapter 4.2)

The guidance document includes detailed information on permitting

(including classification) and inspection (including monitoring)

requirements laid down in EU waste legislation. For the purpose of this

more practical manual the requirements are presented in an overview

box and summary tables to enable a quick check of obligations to the

Member States regarding permitting and inspection.

Letter of advice to announce on-site inspections (chapter 4.4)

The letter of advice is intended to announce a planned on-site

inspection which is carried out either within the permitting procedure

or within the regular inspection cycle to the waste facility operator. The

letter describes the information and data which should be made

available from the operator for the inspector while realising the

inspection. The letter helps to a better preparation of the operator and

the quicker availability of information and data, thus shortening the

time needed for carrying out the inspection and saving the inspection

resources.

Frequently ask questions (chapter 4.5)

FAQs are prepared to provide information on legal, procedural and

practical aspects of permit and inspection issues in a condensed format

headed with questions. The FAQs are meant to provide rather basic

level of information about the EU legal requirements and aspects how

to implement them on Member State level.

Further tools:

- Legal obligation at a glance

- Letter of advice to announce on-site inspections

- Frequently asked questions

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4.2. Legal obligations for Member States at a glance

Generally, Member States are obliged to take the measures necessary to ensure

that EU Directives are fully effective, in accordance with the objective which it

pursues. EU waste legislation in general aims at the minimisation of negative

effects on human health and the environment of waste management

operations. Implementing thorough permitting procedures, setting conditions

for the concerned waste management facility and the verification of the

implementation of the set conditions (i.e. applying monitoring procedures,

checking documents and certification and realising inspections at the site) are

instruments to ensure that during operation negative effects to human health

and the environment are minimised.

This obligation to implement EU legislative requirements exists, even if not

mentioned in the Directive itself explicitly, in Article 4(3) of the Treaty on

European Union as amended by the Treaty of Lisbon (Ex-Article 10 EC Treaty).

EU waste legislation, in particular the Directives in question (WFD, Landfill

Directive, RoHS Directive and WEEE Directive), lays down the requirements

regarding permitting and registration procedures, content of permits and

registration documents, conditions for exemption and minimum standards. It

also includes the obligation to carry out inspections during permitting

procedures and further during the operation phase and the closure of facilities.

Those requirements have to be applied in general to all waste management

operations. However as waste management operations apply a large variety of

technologies and techniques resulting in different potential of harming human

health and the environment; requirements to be followed are different.

Part II of the guidance document

For the purpose of this more practical manual the requirements are presented

in an overview box and summary tables to enable a quick check of obligations

for the Member States regarding permitting and inspection.

includes detailed information on permitting

(including classification) and inspection (including monitoring) requirements laid

down in EU waste legislation.

Member States are obliged to implement EU waste legislation EU waste legislation includes requirements for permitting procedures and inspection taking into account the variety of operations applied and the different levels of potential to harm human health and the environment. --------------------------- Further reading: More information on legal requirements regarding permitting and inspections, are included in the guidance document, chapter 2.

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Permitting requirements at a glance

Inspection requirements at a glance

Based on Article 23(1) WFD “any establishment or undertaking

intending to carry out waste treatment” is subject to permit obligations.

This includes a great variety of waste treatment operations, as being

defined in Article 3(14) WFD as “recovery or disposal operations,

including preparation prior to recovery or disposal”. Some waste

treatment operations may - by the Member States - be exempted from

the obligation of permitting as defined in Article 24 of the WFD; in

particular waste recovery establishments/or undertakings and waste

disposal establishments in case of own non-hazardous waste at the place

of production. However in that case, general rules have to be laid down

by that Member State (according to Article 25(1) and (2) WFD). For

collectors/transporters, dealers/brokers and facilities exempted from

permit requirements (on Member State level) competent authorities

shall maintain a register.

Permit procedure and requirements for landfills are further specified in

Article 7 to 9 in the Landfill Directive. Additional WEEE requirements are

set for those waste treatment establishments for which permits are

necessary under the WFD and which are treating WEEE, namely Article

6(4) WEEE Directive which requires that all permits have to consider the

necessary elements to comply with WEEE requirements.

Article 34(1) to (3) WFD sets obligations for inspections. Following this

provision, establishments and undertakings which carry out waste

treatment operations, establishments or undertakings which collect or

transport waste on a professional basis, brokers and dealers, and

establishments or undertakings which produce hazardous waste shall

be subject to appropriate periodic inspections by the competent

authorities, Article 34(1) WFD. Article 34(2) of the WFD stipulates that

inspections concerning collection and transport operations shall cover

the origin, nature, quantity and destination of the waste collected and

transported. According to Article 34(3) WFD, Member States may take

account of registrations obtained during the Community Eco-

Management and Audit Scheme (EMAS), in particular regarding the


Permitting: Any establishment or undertaking intending to carry out waste treatment is subject to a permit. Exemptions can be made (on Member State level) for waste recovery and disposal of non-hazardous waste at the place of production. Registration: Registration is required for collectors/transporters, dealers/brokers and exempted facilities. Inspection: Any establishment or undertaking intending to carry out waste treatment, collectors, transporters, brokers, dealers and undertakings which produce hazardous waste are subject to inspection. Intensity and frequency of inspection should be realized in accordance to the level of risk of the operation.

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4.3. Overview table on permitting requirements

Directive/ Article

Requirement Explanation Original Text

WFD Article 4

Waste hierarchy and prevention of

waste

The waste hierarchy generally defines a priority order of what constitutes the best overall environmental option in waste legislation and policy. Prevention of waste, i.e. reducing the amount of waste and its hazardous properties is the main priority. The hierarchy has to be taken into account when granting permits. Departure from the waste hierarchy is possible for specific waste streams, when justified.

1. The waste hierarchy shall apply as a priority order in waste prevention and management legislation and policy:

(a) prevention; (b) preparing for re-use; (c) recycling; (d) other recovery, e.g. energy recovery; and (e) disposal

When applying the waste hierarchy referred to in paragraph 1, Member States shall take measures to encourage the options that deliver the best environmental outcome. This may require specific waste streams departing from the hierarchy where this is justified by life-cycle thinking on the overall impact of the generation and management of such waste.

WFD Article 10

Recovery

EU Member States shall take necessary measures to ensure that waste undergoes recovery operations. Also it might be considered in the permit, whether recovery installations fulfil the end-of-waste criteria set at EU or Member State level.

1. Member States shall take the necessary measures to ensure that waste undergoes recovery operations, in accordance with Articles 4 and 13. 2. Where necessary to comply with paragraph 1 and to facilitate or improve recovery, waste shall be collected separately if technically, environmentally and economically practicable and shall not be mixed with other waste or other material with different properties.

WFD Article 11

Re-use and recycling

EU Member States shall take measures to promote re-use of products and preparing for re-use activities as well as take measures to promote high quality recycling.

1. Member States shall take measures, as appropriate, to promote the re-use of products and preparing for re-use activities, notably by encouraging the establishment and support of re-use and repair networks, the use of economic instruments, procurement criteria, quantitative objectives or other measures. Member States shall take measures to promote high quality recycling and, to this end, shall set up separate collections of waste where technically, environmentally and economically practicable and appropriate to meet the necessary quality standards for the relevant recycling sectors.

WFD Article 16

Principles of self- sufficiency and

proximity

EU Member States shall take measures to establish an integrated and adequate network of waste disposal and waste recovery installations.

1. Member States shall take appropriate measures, in cooperation with other Member States where this is necessary or advisable, to establish an integrated and adequate network of waste disposal installations and of

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Directive/ Article


Note: When making decisions on waste permits also national waste policy needs to be regarded (e.g. if there is a policy for brown bin for bio-waste a permit might not be granted for MBT).

installations for the recovery of mixed municipal waste collected from private households, including where such collection also covers such waste from other producers, taking into account best available techniques.

WFD Article 23(1)

Obligation for a permit In general waste treatment facilities (recovery and

disposal operations, including preparation for recovery and disposal) need a permit.

Member States shall require any establishment or undertaking intending to carry out waste treatment to obtain a permit from the competent authority.

WFD Article 3(14)

Definition of waste treatment

Treatment means recovery or disposal operations, including preparation prior to recovery or disposal

WFD Article 24

Exemption from permit

requirements

On Member States level exemptions from permit requirements can be made for non-hazardous waste disposal at the place of production and for recovery operations.

Member States may exempt from the requirement laid down in Article 23(1) establishments or undertakings for the following operations: a. disposal of their own non-hazardous waste at the place of production;

or b. recovery of waste.

WFD Article 26

Registration

For collectors/transporters, dealers/brokers and facilities exempted from permit (on Member State level) competent authorities shall have a register. Existing records may be used.

Where the following are not subject to permit requirements, Member States shall ensure that the competent authority keeps a register of: a. establishments or undertakings which collect or transport waste on a

professional basis; b. dealers or brokers; and c. establishments or undertakings which are subject to exemptions from

the permit requirements pursuant to Article 24. Where possible, existing records held by the competent authority shall be used to obtain the relevant information for this registration process in order to reduce the administrative burden.

WFD Article 23(1)

Minimum content of a permit

The WFD includes a list of minimum contents to be specified by a permit

Such permits shall specify at least the following: a. the types and quantities of waste that may be treated; b. for each type of operation permitted, the technical and any other

requirements relevant to the site concerned; c. the safety and precautionary measures to be taken; d. the method to be used for each type of operation; e. monitoring and control operations as may be necessary; f. closure and after-care provisions as may be necessary

WFD Procedural Permits may be 2. Permits may be granted for a specified period and may be renewable.

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Directive/ Article


Article 23 (2, 3, 5)

requirements for permit

- granted for a specific period and may be renewable;

- refused - combined with other permits

3. Where the competent authority considers that the intended method of treatment is unacceptable from the point of view of environmental protection, in particular when the method is not in accordance with Article 13, it shall refuse to issue the permit. (…) 5. Provided that the requirements of this Article are complied with, any permit produced pursuant to other national or Community legislation may be combined with the permit required under paragraph 1 to form a single permit, where such a format obviates the unnecessary duplication of information and the repetition of work by the operator or the competent authority.

WFD Article 25

Conditions for exemption

For exempted treatment operations general rules have to be laid down (on Member State level) to ensure protection of human health and the environment. For non-hazardous waste disposal at the place of production the rules shall include BAT. For recovery of hazardous waste specific condition (e.g. limit values, emission limit values) shall be set (on Member State level). The Commission has to be informed about general rules and conditions.

1. Where a Member State wishes to allow exemptions, as provided for in Article 24, it shall lay down, in respect of each type of activity, general rules specifying the types and quantities of waste that may be covered by an exemption, and the method of treatment to be used. Those rules shall be designed to ensure that waste is treated in accordance with Article 13. In the case of disposal operations referred to in point (a) of Article 24 those rules should consider best available techniques. 2. In addition to the general rules provided for in paragraph 1, Member States shall lay down specific conditions for exemptions relating to hazardous waste, including types of activity, as well as any other necessary requirement for carrying out different forms of recovery and, where relevant, the limit values for the content of hazardous substances in the waste as well as the emission limit values. 3. Member States shall inform the Commission of the general rules laid down pursuant to paragraphs 1 and 2.

WFD Article 27

Minimum standards

The adoption of minimum standards in the waste management area is possible at EU level by the comitology procedure.

1. Technical minimum standards for treatment activities which require a permit pursuant to Article 23 may be adopted where there is evidence that a benefit in terms of the protection of human health and the environment would be gained from such minimum standards. Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 39(2).

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Directive/ Article


(...) 4. Minimum standards for activities that require registration pursuant to points (a) and (b) of Article 26 shall be adopted where there is evidence that a benefit in terms of the protection of human health and the environment or in avoiding disruption to the internal market would be gained from such minimum standards, including elements regarding the technical qualification of collectors, transporters, dealers or brokers. Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 39(2).

Landfill Directive Article 8

Additional content for landfills

The Landfill Directive includes a list of minimum contents for a permit for landfills

Specifying and supplementing the provisions set out in Article 9 WFD and Article 9 IPPC Directive, the landfill permit shall state at least the following:

a. the class of the landfill; b. the list of defined types and the total quantity of waste which are

authorised to be deposited in the landfill; c. requirements for the landfill preparations, landfilling operations and

monitoring and control procedures, including contingency plans(Annex III, point 4.B), as well as provisional requirements for the closure and after-care operations;

d. the obligation on the applicant to report at least annually to the competent authority on the types and quantities of waste disposed of and on the results of the monitoring programme as required in Articles 12 and 13 and Annex III.

WFD Article 23(4)

Additional content for incineration

For incineration high level of energy efficiency has to be proofed within permit.

4. It shall be a condition of any permit covering incineration or co-incineration with energy recovery that the recovery of energy takes place with a high level of energy efficiency.

Additional

condition for landfills

Landfills are disposal operations and are usually subject to permit obligations under the WFD. Disposal operations might only be exempted from permit requirements in case of own non-hazardous waste at the place of production (Article 24 WFD). If a landfill receives more than 10 t per day or has a total capacity exceeding 25,000 t, this landfill is subject to permits under the IPPC Directive (excluding landfills of inert waste) (Annex I, point 5.4 IPPC Directive).

Landfill Directive

Article 7 and 9

Permitting procedures for

landfills

The Landfill Directive provides for detailed procedural and substantial requirements as regards - application for a permit (Article 7 Landfill Directive) - conditions of the permit (Article 9 Landfill Directive)

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Directive/ Article


WEEE Directive Article

6(4)

Permitting for WEEE

Additional WEEE requirements are set for those waste treatment establishments for which permits are necessary under the WFD and which are treating WEEE, namely Article 6(4) WEEE Directive which requires that all permits have to consider the necessary elements to comply with WEEE requirements

RoHS Directive Permitting for

RoHS Permitting issues are not subject of the RoHS Directive, as the Directive aims at the minimisation of hazardous substances present in products and in production processes providing tolerant levels. Therefore RoHS is not related to permitting of processes.

Table 17: Overview of legal requirements regarding permitting

Overview table on inspection requirements

Directive/ Article


WFD Article 34(1)

Obligation for inspections

Establishments producing hazardous waste, collectors/transporters, broker/dealers and waste treatment facilities (recovery and disposal operations, including preparation for recovery and disposal) shall be inspected.

Establishments or undertakings which carry out waste treatment operations, establishments or undertakings which collect or transport waste on a professional basis, brokers and dealers, and establishments or undertakings which produce hazardous waste shall be subject to appropriate periodic inspections by the competent authorities.

WFD Article 3(14)

Definition of waste treatment

Treatment means recovery or disposal operations, including preparation prior to recovery or disposal

WFD Article 34(2)

Inspection for collection and

transport operations

Origin, nature, quantity and destination of the waste collected and transported shall be inspected for collection and transport operations.

Inspections concerning collection and transport operations shall cover the origin, nature, quantity and destination of the waste collected and transported.

WFD Article 34(3)

Considering EMAS

EMAS may be taken into account while planning the intensity/frequency of inspections (on Member State level).

Member States may take account of registrations obtained under the Community Eco-Management and Audit Scheme (EMAS), in particular regarding the frequency and intensity of inspections.

Landfill Directive

Article 8(c); 13(b)

Inspection of landfills

On-site inspections of landfills are to be realised before the start of the operation. On-site inspections of landfills are to be realised before the closure.

8(c): Prior to the commencement of disposal operations, the competent authority shall inspect the site in order to ensure that it complies with the relevant conditions of the permit. This will not reduce in any way the responsibility of the operator under the conditions of the permit. 13(b): A landfill or part of it may only be considered as definitely closed after the competent authority has carried out a final on-site inspection, has assessed all the reports submitted by the operator and has communicated to

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Directive/ Article


the operator its approval for the closure. (…)


Waste acceptance procedures

(for operators)

Waste acceptance procedures including inspection and control activities have to be realised by the operator

Member States shall take measures in order that prior to accepting the waste at the landfill site: (a) before or at the time of delivery, or of the first in a series of deliveries, provided the type of waste remains unchanged, the holder or the operator can show, by means of the appropriate documentation, that the waste in question can be accepted at that site according to the conditions set in the permit, and that it fulfils the acceptance criteria set out in Annex II; (b) the following reception procedures are respected by the operator: (…) 2. (…)


Control and monitoring

procedures in the operational phase

(for operators)

Control and monitoring procedures in the operational phase have to be realised by operator including the notification to the competent authority of any significant adverse environmental effect and reporting at least once a year (or more frequent as determined in the permit); procedures are specified in Annex III

Member States shall take measures in order that control and monitoring procedures in the operational phase meet at least the following requirements: (a) the operator of a landfill shall carry out during the operational phase a control and monitoring programme as specified in Annex III; (b) the operator shall notify the competent authority of any significant adverse environmental effects revealed by the control and monitoring procedures (…) (c) the quality control of the analytical operations of the control and monitoring procedures and/or of the analyses referred to in Article 11(1)(b) are carried out by competent laboratories.

WEEE Directive Article 6(2)

Inspection of WEEE treatment facilities

Inspections for WEEE recovery facilities exempted from a permit requirements (under Article 24 (b) WFD) are a precondition and has to be realised before the registration is verified and at least once a year and has to check type and quantities of waste to be treated; general technical; safety precautions. Results shall be communicated to the Commission.

Member States shall ensure that any establishment or undertaking carrying out treatment operations obtains a permit from the competent authorities, in compliance with Articles 9 and 10 WFD. The derogation from the permit requirement referred to in Article 11(1)(b) WFD may apply to recovery operations concerning WEEE if an inspection is carried out by the competent authorities before the registration in order to ensure compliance with Article 4 WFD. The inspection shall verify: a. the type and quantities of waste to be treated; b. the general technical requirements to be complied with; c. the safety precautions to be taken. The inspection shall be carried out at least once a year and the results shall be communicated by the Member States to the Commission.

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Directive/ Article


RoHS Directive Inspection of RoHS

The RoHS Directive does not contain a provision explicitly and specifically related to Member States’ obligations for inspection and monitoring. However, in this context, it should be emphasized that in contrast to the other documents investigated in the framework of this project, the obligations of RoHS Directive do in the first place not concern waste treatment facilities, waste holders or waste producers, but the manufacturers of EEE. Inspections and control of the RoHS Directive may be executed with respect to WEEE, but might also occur related either to production facilities or with respect to EEE before it becomes waste. By this, the enforcement of the RoHS Directive is closely related to the enforcement of the REACH Regulation or specific substance-related regulations, such as the POPs Regulation.

COM Rec. 2001/331

Providing for minimum criteria for

environmental inspections in the

Member States

The Recommendation contains non-binding criteria for the planning, carrying out, following up and reporting on environmental inspections. The objective is to strengthen compliance with Community environmental law and to contribute to its more consistent implementation and enforcement in all Member States.

Environmental inspection tasks should be carried out in the Member States, according to minimum criteria to be applied in the organising, carrying out, following up and publicising of the results of such tasks, thereby strengthe-ning compliance with, and contributing to a more consistent implementation and enforcement of Community environmental law in all Member Stated. The Recommendation applies to environmental inspections of all industrial installations and other enterprises and facilities, whose air emissions and/or water discharge and/or waste disposal or recovery activities are subject to authorisation, permit or licensing requirements under Community law, without prejudice to specific inspection provisions in existing Community legislation. Member States should inform the Commission of the implementation of this recommendation together with details of environ-mental inspection mechanisms already existing or foreseen not later than twelve month after its publication in the Official Journal of the European Communities.

Table 18: Overview of legal requirements regarding inspection

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4.4. Letter of advice to announce inspection

Subject matter: Announcement of on-site inspection

Dear Sir or Madam/Dear Mr./Ms. [Name],

we intend to carry out an on-site inspection at the premises of facility [name of company/facility] on basis of [title of national legislation, Paragraph] inspecting in particular the handling and managing of waste.

In preparation of the inspection we would kindly ask to present/sent until [Date] the following information/documents:

1. Map/Plan of the facility/site marking the following relevant places (using the indicated alphabetic character)

• Places where waste is generated which is destined for recovery

• Places where waste is generated which is destined for disposal

• Stating and collection areas

• Places where waste is temporary stored

2. Legend to the map (i.e. overview table explaining the indicated places in the map)

3. Rough overview of operating procedures where significant amounts of waste are generated, also indicating date/reference number of corresponding permit (if a permit was required)

4. A list of waste which is generated (including, if possible, a table including information on European Waste Codes (EWC) and names of waste, operations where waste is produced, information about storing and treatment (i.e. external company) and evidence that treatment has been properly carried out (in particular for hazardous waste).

We kindly ask you to prepare/have at hand the following information/documents at the date of inspection:

5. Records of the quantity, nature and origin of the waste, and, where relevant, the destination, frequency of collection, mode of transport and treatment method foreseen in respect of the waste (in particular for hazardous waste)

6. Documentary evidence that the treatment has been carried out (in particular for hazardous waste)

Note: Hazardous waste and waste for which specific legal, safety and technical requirements have to be fulfilled, e.g. hazardous waste, POP waste, waste oils, WEEE, biodegradable waste and others, are of particular interest. For marking in the map/plan continuous numbering (i.e. 1-R, 2-R, 3-R,… for waste destined for recovery and 1-D, 2-D,… for waste destined for disposal, 1-C, 2-C,… for stating and collection areas, 1-S, 2-S,… for temporary storage areas).

You can of course use existing data based on EMAS, DIN EN ISO 14001 or other management systems.

The date of inspection will be adjusted with you within the following days. Please do not hesitate to contact [Name] for further questions.

Explanation of use:

This letter is intended to announce a planned on-site inspection which is carried out either within the permitting procedure or within the regular inspection cycle to the waste facility operator. The letter describes the information and data which should be made available from the operator for the inspector while realising the inspection. The letter helps to a better preparation of the operator and the quicker availability of information and data, thus shortening the time needed for carrying out the inspection and saving the inspection resources.

---------------------------

Information based partially on:

Ministry of Environment Hesse “Guidance on waste inspections at waste generators“ procedures” (18.09.20003) [Vollzugshandbuch der Abfallwirtschaft, Nr. 1 Leitfaden zur Betriebsprüfung (abfallrechtliche Inspektionen bei Abfallerzeugern, Stand 18.9.2003]

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4.5. Frequently asked questions

4.5.1. Frequently asked questions concerning permitting

Which types of waste treatment facilities require a permit?

In general waste treatment facilities need a permit. This includes in general recovery and

disposal operations, including preparation for recovery and disposal. Exemption for

permitting can be made for recovery operations and for facilities which dispose of non-

hazardous waste at the place of production. In this case a registration is required.

Member State legislation has to be consulted to check whether operations are exempted

or not.

What needs to be considered when exempting an operation from the

permit procedure?

When exempting a treatment operation from the general requirement of needing a

permit the Member States have to specify general rules for that operation.

When exempting non-hazardous waste disposal at the place of production from

permitting, this rules shall include BAT.

When exempting recovery facilities for hazardous waste specific additional conditions

shall be set (e.g. limit values, emission limit values).

The Commission has to be informed about the general rules and the conditions.

Member State legislation has to be consulted to check what rules and conditions are set

for the exempted operations.

Which types of waste treatment facilities need a registration?

A registration is required for collectors and transporters of waste, for dealers and brokers

(if not requiring a permit based on Member State legislation) and for the facilities which

are exempted from the permitting system.

Member State legislation has to be consulted to check which facilities need to be

registered.

What kind of information is required within a permit?

At least the following information has to be included in a permit:

• types and quantities of waste that may be treated

• technical and any other requirements relevant to the site concerned

• the safety and precautionary measures to be taken

• the method to be used for each type of operation

• monitoring and control operations (as may be necessary)

• closure and after-care provisions (as may be necessary)

For incineration facilities also a high level of energy efficiency has to be proven.

Permitting FAQ

--------------------------- Further reading: The frequently asked questions (FAQ) are also available at: http://ec.europa.eu/environment/waste/framework/index.htm




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For landfills the following information is, at least, required within a permit:

• landfill class

• list of defined types and total quantity of waste which are to be accepted a the

landfill

• requirements for the landfill preparations, landfilling operations and monitoring

and control procedures (including contingency plans), provisional requirements

for the closure and after-care operation)

• the obligation on the applicant to report at least annually to the competent

authority on the types and quantities of waste disposed of and on the results of

the monitoring programme

For WEEE treatment facilities further conditions are required in the permit, ensuring that

i.e. the recovery targets set in the WEEE Directive are fulfilled.

Member State legislation has to be consulted to check whether further information is

required.

Can waste permits be combined with other permits?

Permits can be combined with other permit requirements (national and EU legislation) to

avoid duplication of information.

Member State legislation has to be consulted to check whether combined permits are

possible.

Can permits be refused?

Permits can be refused if the authority considers that the treatment method is not

acceptable regarding the protection of human health and the environment (i.e. risk to

water, air, soil, plants, producing noise or odours, affecting countryside or other places of

interests). Additional conditions can be set to minimise such effects.

How is the permit procedure organised?

Organisation of permitting procedures is in the responsibility of Member States, however,

in general the permit procedure can be divided into the following steps:

• Appliction (setting conditions/content for the permit, providing guidance and

support to the applicant, quick check of documents)

• Assessment of the permit (check of completeness and compliance, participation

of authorities, public and experts, consideration of objections)

• Issue a permit (setting additional conditions, formulation of the permit including

explanation of conditions, information about monitoring and inspections, legal

specification)

• Follow-up (information storage, communication of issued permits, use of

information for further procedures, e.g.. inspection)

How can other authorities be involved in the permit procedure?

Waste treatment facilities in the most cases cause different emissions (into air, water,

land), and as complex techniques are applied, issues like occupational health are to be

included in the permitting procedures. Thus, this often requests the involvement of other

authorities; also on different regional levels. The following ways of involvement are

Permitting FAQ

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generally possible:

• Permits are handled by a national authority and upcoming or issued permits are

communicated to regional/local level

• Permits are handled at regional/local level and upcoming or issued permits are

communicated to a central authoritiy

• Permits are included in a central register

• Authorities competent for other environmental issues (chemicals, emissions,

control) are involved in permitting procedures

How can the national/regional authority support the permitting procedures?

If regional/local authorities are in charge for issuing the permits on waste treatment

facilities, the national/regional authority can support thorough implementation with:

• Providing training and assistance to the competent authority on regional/local

level, e.g. on a regular basis or on request

• Providing guidance for issuing and handling permits, e.g. guidance on conditions

on particular facilities, for particular waste streams

• Preparing standardised permitting formats, e.g. for particular facilities, for

particular waste streams

• Enabling networking and cooperation amongst regional/local authorities, e.g. by

providing a network, platforms, round tables, regular meetings

Why and how should permit information be stored?

The access to permit information for other concerned authorities is crucial to enable

more efficient permitting procedures and to use the data for follow-up purposes, e.g.

the planning of inspection. Beside paper documentation, the following systems are

possible:

• Electronic reporting

• Local database with authorised access for other authorities

• Central database with authorised access to authorities

• Open database with access to the general public

Permitting FAQ

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4.5.2. Frequently asked questions concerning inspection

Which types of waste treatment facilities need to be inspected?

Establishments producing hazardous waste, collectors and transporters of waste,

broker and dealers and waste treatment facilities (recovery and disposal operations,

including preparation for recovery and disposal) need to be inspected.

How often have the facilities to be inspected?

Appropriate periodic inspections have to be realised (taking into account the level of

potential to harm human health and the environment).

Landfills have to be inspected at least before start of the operation and before closure.

WEEE recovery facilities which are exempted from a permit requirement have to be

inspected before registration is verified and at least once a year.

What kind of information has to be checked within inspections?

Inspections for collection and transport operations have to cover at least the:

• origin and nature of the collected/transported waste

• quantity

• destination

Inspections for WEEE treatment facilities have to cover at least the:

• type and quantities of waste treated

• general technical requirements to be compliant with

• safety precautions

What is the connection between inspections and EMAS?

The registration of a waste management facility under the Community Eco-

Management and Audit Scheme (EMAS) can be taken into account when planning the


Can waste inspections be combined with other inspection issues?

Inspections of waste issues can be combined with other inspection requirements

(national and EU legislation) to reduce financial effort and administrative burden.

How is the inspection procedure organised?

Organisation of inspection procedures is in the responsibility of Member States.

However, in general the inspection can be divided into the following steps:

• Strategic planning describing the scope of the inspection plan, gathering

information for performing the risk assessment, setting priorities, defining

objectives and strategies, organisational, human and financial conditions, a

inspection plan including inspection schedule, review and revision

• Execution framework including work protocols and instructions, protocols for

communication, information management and exchange, equipment and

other resources

• Realisation of Inspections (routine/non-routine inspections) including reporting

Inspection FAQ

--------------------------- Further reading The frequently asked questions (FAQ) are also available at: http://ec.europa.eu/environment/waste/framework/index.htm




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and information exchange with partner organisations/authorities

• Monitoring and follow-up including accounting for effort, performance results,

external reporting

Which types of inspections are possible?

The following inspection types can be conducted:

• Inspection of paper documents, i.e. within a permitting procedure

• Initial inspection at the facility to confirm permit conditions within the

permitting procedure

• Regular, announced on-site inspection

• Regular, not announced inspection (following an inspection plan)

• Inspection in case of accidents, incidents and complaints

Which instruments are available for inspection planning?

Inspection frequency and intensity need planning to concentrate inspection resources on

the facilities imposing the major risks. The following principal instruments are available:

• Risk assessment based instruments

• Inspection plan

• Classification system

The following information can be used:

• Waste facility register

• Information on state of compliance (previous inspection results)

• Risk and environmental risk impacts (waste stream based, operation based)

How can other authorities be involved in the inspection procedure?

Waste treatment facilities, in most cases, cause different emissions (into air, water, land).

As complex techniques are applied, issues like occupational health are to be included in

the inspection procedures. Thus, this often requests the involvement of other authorities;

also at different regional levels. The following ways of involvement are generally possible:

• Inspections are organised by national authority and upcoming inspections are

communicated to regional/local level

• Inspections are organised by regional/local authority and upcoming inspections

are communicated to central authoritiy

• Authorities competent for other environmental issues (chemicals, emissions,

control) are involved in inspection planning and realisation

Inspection FAQ

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How can the national/regional authority support the inspection

procedures?

If regional/local authorities are in charge for inspection of waste treatment facilities, the

national/regional authority can support thorough implementation with:

• Providing training and assistance to the competent authority on regional/local

level, e.g. on a regular basis or on request

• Providing guidance for planning and realising inspections, e.g. guidance and

checklists for particular waste streams/operations

• Enabling networking and cooperation amongst regional/local authorities, e.g. by

providing a network, platforms, round tables, regular meetings

Why and how should inspection information be stored?

The access to inspection information for other concerned authorities is crucial to enable

more efficient implementation and to use the data for follow-up purposes, i.e. the

planning of further inspection, revising conditions in permit and follow up in case of

irregularities. Beside paper documentation, the following systems are possible:

• Electronic reporting

• Local database with authorised access for other authorities

• Central database with authorised access to authorities

• Open database with access to the general public

Which procedures follow the inspection in case of irregularities?

In case of irregularities at inspections the following general procedures are possible:

• Administrative order

• Administrative ruling in terms of permit conditions, i.e. setting new additional

conditions within a permit

• Sanctions, fines and penalties

• Court procedures

• Whithdrawal of a permit

Member State legislation has to be consulted to check what kind of procedure is

applied in case of irregularities and incompliance.

Inspection FAQ

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Contact details:

BiPRO GmbH Grauertstr. 12

81545 Munich, Germany Phone: +49-89-18979050

Fax: +49-89-18979052 URL:

http://www.bipro.de