Update of Waste Shipment

Regulation 1418/2007

Final report

Contract N° SI2.793978

20 November 2019

This Final Report has been prepared for DG Trade by Milieu Consulting SPRL with Ramboll

GMBH under Contract N° SI2.793978.

The information and views set out in this report are those of the authors and do not

necessarily reflect the official opinion of the Commission. The Commission does not

guarantee the accuracy of the data included in this study. Neither the Commission nor

any person acting on the Commission’s behalf may be held responsible for the use which

may be made of the information contained therein.

Milieu Consulting SPRL (Belgium), Chaussee de Charleroi 112, B-1060 Brussels, tel.: +32 2

506 1000; e-mail: wasteshipments@milieu.be; web address: www.milieu.be.

Final Report

TABLE OF CONTENTS

1 INTRODUCTION ............................................................................................................. 4 1.1 Objectives of the study .................................................................................... 4 1.2 Report Outline ................................................................................................... 4

2 TASK 1: COLLECTION OF INFORMATION ON LEGAL REQUIREMENTS OR

RESTRICTIONS CONCERNING THE IMPORT OF ‘GREEN’ LISTED WASTE ............................... 6 2.1 Preparation of the survey ................................................................................. 6 2.2 Data collection ................................................................................................. 9 2.3 Overview of responses received ....................................................................10

3 TASK 2: GATHERING VIEWS RELEVANT TO THE REGULATION OF INTERNATIONAL

TRADE IN ‘GREEN’ LISTED WASTE........................................................................................ 12 3.1 Survey preparation ..........................................................................................12 3.2 Data collection and reporting ........................................................................14 3.3 China ................................................................................................................14

4 TASK 3: PROJECT WEBSITE .......................................................................................... 15

5 PROJECT REPORTING AND PRESENTATIONS .............................................................. 16 5.1 Inception report and meeting ........................................................................16 5.2 interim progress report and meeting..............................................................16 5.3 draft Final report and follow-up discussions ...................................................16 5.4 Final presentation ............................................................................................16

APPENDIX A: QUESTIONNAIRE (TASK 1) ........................................................................... 17 APPENDIX B: LIST OF COUNTRIES AND TERRITORIES FOR TASK 1 ...................................... 38 APPENDIX C: SUMMARIES OF PROJECT MEETINGS .......................................................... 43 APPENDIX D: PRESENTATION TO THE EU WASTE SHIPMENT CORRESPONDENTS ............... 50 APPENDIX E: OVERVIEW OF CHINA’S EVOLVING POLICY ON WASTE IMPORTS ............. 54

RELEVANT LEGISLATION ...............................................................................................54 OBJECTIVES OF THE IMPORT RESTRICTIONS ................................................................54 OVERVIEW OF THE PHASED-IN IMPORT RESTRICTIONS ...............................................55 INSPECTION OF WASTE IMPORTED AS RAW MATERIALS ............................................63 IMPACT OF THE CHINESE POLICY ................................................................................64

Separate documents

ANNEX I. Rules concerning imports of “green-listed” waste per country or territory

ANNEX II. Country rules in the format of the Annex to Regulation (EC) 1418/2007

ANNEX III. Synthesis of views from stakeholders

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1 INTRODUCTION

This Final Report presents the results of the study carried out in the context of Specific Contract No

SI2.793978 on the ‘Update of Waste Shipment Regulation 1418/2007’. It provides an overview of the

work undertaken and presents – in its annexes – the results achieved.

1.1 OBJECTIVES OF THE STUDY

Commission Regulation (EC) No. 1013/2006, commonly referred to as the Waste Shipment

Regulation (WSR), allows the export from the European Union (EU) of ‘green’ listed waste to non-EU

and non-OECD countries for recovery. Such exports should be in accordance with any conditions set

out by the importing countries.

The legal instrument governing such trade is Commission Regulation (EC) No 1418/2007 of 29

November 2007 (referred hereafter as Regulation 1418/2007). The Annex to Regulation 1418/2007

lists restrictions on imports of ‘green’ listed waste of non-EU and non-OECD countries. Based on this

Annex, Customs Authorities in EU Member States check exports of waste from the EU, so as to

ensure that shipments of waste are not being exported to countries that have stated that they do not

wish to receive specific categories of waste, or to ensure that specific consent has been provided where

this is a condition for import.

Regulation 1418/2007 requires the Commission to regularly update the Annex to ensure that the EU

regime governing exports of ‘green’ listed waste to non-OECD countries and territories is kept up to

date with developments in these countries. The last update of Regulation 1418/2007 was carried out in

2014 based on information gathered in 2013.

The need for another update results in the main objective for this study: to compile information on the

legal requirements (i.e. restrictions), concerning the importation of ‘green’ listed waste and mixtures

thereof in all non-EU, non-OECD countries and territories1. This work was carried out under Task 1 of

the study.

The second objective of the study arises in relation to the ongoing evaluation of the WSR2: to gather

stakeholders views on international trade in ‘green’ listed waste: these views can then inform the

Commission's thinking on the international dimension of waste shipments in the context of the circular

economy. Task 2 of the study gathered stakeholder views.

To support the first objective, a project website was set up: this represented Task 3 of the study.

1.2 REPORT OUTLINE

This Final Report describes the approaches followed in the three tasks (sections 2 to 4 below). It also

describes project reporting and presentation activities (section 5) and, as project work remains

ongoing, provides an outline of key work to be undertaken for the Final Report (section 6).

The main substantive results attained thus far are presented in three separate Annexes, as set out in the

Specifications. These are submitted as separate documents:

• Annex I lists relevant national legislation concerning import of non-hazardous waste for each

country that responded to the study and provided this information. This Annex also provides

1 The study covered both countries and territories; for brevity, the report frequently refers only to “countries” for both

countries and territories.

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other key information on the rules concerning import of non-hazardous waste as well as

comments on any outstanding issues.

• Annex II provides, in the format of the Annex to Regulation 1418/2007, the rules concerning

import of non-hazardous waste for each country that provided this information. Annex II only

presents updates to the information provided in the current version of the Annex to Regulation

1418/2007: i.e., where countries responded and indicated that there were no changes, Annex II

of this report does not present their rules; thus, Annex II is provided in the format of an

amendment to the current Annex to the Regulation.

• Annex III presents a descriptive synthesis of views provided by stakeholders on the regulation

of trade in non-hazardous waste.

In addition, the following detailed information can found in the Appendices to this report:

• Appendix A: Final questionnaire (Task 1)

Part A: Example of questionnaire to countries already included in the Appendix (Algeria)

Part B: Questionnaire to countries not included in the Appendix

Part C: List of waste codes

Explanatory note

• Appendix B: List of countries and territories (Task 1)

• Appendix C: Summaries of project meetings

• Appendix D: Presentation to the Waste Shipment Correspondents

• Appendix E: Overview of China’s evolving policy on non-hazardous waste imports

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2 TASK 1: COLLECTION OF INFORMATION ON LEGAL REQUIREMENTS OR

RESTRICTIONS CONCERNING THE IMPORT OF ‘GREEN’ LISTED WASTE

As described in section 1.1, the objective of this task was to obtain up-to-date information on the legal

requirements or restrictions for the importation of ‘green’ listed waste in non-OECD countries and

territories and non-EU Member States.

The focus of Task 1 was the preparation and distribution of a survey to non-OECD, non-EU countries

and the review and compilation of the results. As agreed at the inception meeting, only the responses

from national governments, obtained via the survey, were to be used to update Regulation 1418/2007.

2.1 PREPARATION OF THE SURVEY

Initial desk research on the state of play

The first step of the study aimed to collect readily available information on recent changes and trends

in the import of ‘green’ listed waste in non-EU non-OECD countries. The following activities were

undertaken:

• Desk research for Internet sources, including journal and magazine articles, press releases,

reports (of governments, trade associations etc.)

• Review of the information received by the Commission from official sources on changes in

waste import rules in non-EU non-OECD countries since 2014

• Informal exchanges with European and international waste and recycling industry associations

and individual commercial operators in the field of waste recovery and trade: the project team

had preliminary exchanges with 11 stakeholders ranging from international organisations to

EU and international federations involved in waste management, recycling and trade

The information gathered showed the importance of the import restrictions recently adopted by China:

as a result, exports of non-hazardous waste from the EU for recovery (as well as other developed

economies) were directed to other countries in Asia, including Indonesia, India, Vietnam, Malaysia,

Thailand and Taiwan. These countries were then flooded with non-hazardous waste in the first half of

2018. As these countries generally did not have the necessary inspection or processing capacity to

meet this significant flow of waste, they tended to tighten their import rules.

These issues have been explored further in the interviews to gather stakeholder views under Task 2 of

the study (see section 3 and Annex III).

Identification of countries and authorities

The study aimed to received information on rules concerning the import of non-hazardous waste from

all non-EU non-OECD countries and territories covered by Regulation 1418/2007.

In total, contacts were sought for the relevant authorities in 158 countries and territories. A list of 158

countries was compiled of UN member countries as well as countries or territories that do not belong

to the United Nations3 (e.g. Hong-Kong, Macau, Chinese Taipei, Kosovo).

The countries and territories were divided into groups, based on the level of waste trade in recent years

(as indicated by Eurostat data) as well as desk research indications of countries where waste imports

have increased rapidly in recent years. The highest and lowest priority countries were presented to the

European Commission for review in the interim report; at the interim meeting, it was decided to

3 There are 193 Member States of the United Nations; of these, 36 are members of the OECD and 23 of these 36

are EU Member States.

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increase the number of highest priority countries, moving several from the second level of priority, in

order to strengthen the geographical balance of the top list.

In addition, it was agreed with the European Commission to follow a simpler process to contact the

EU’s 22 Overseas Countries and Territories (see the box below).

The 22 EU’s Overseas Countries and Territories (OCTs) are associated to the EU and the detailed rules and

procedures for the association are provided for by Council Decision 2013/755/EU4 on the Association of the

OCTs with the European Union5. EU legislation does not apply to OCTs unless specifically provided.

It was agreed with the European Commission to contact the OCTs via the Association of the Overseas

Countries and Territories of the European Union, based in Brussels: the Association sent the questionnaire to

all of its members.

For the main set of 158 countries and territories to be contacted, the project team sought up-to-date

information on their authorities responsible for imports of non-hazardous waste. The following

sources were used:

• National Focal Points (NFPs) for the Basel Convention: The project team contacted by e-

mail and/or phone the NFPs6 for the Basel Convention, in order to identify the authority and

the official responsible for the regulation of imports of ‘green’ listed waste.

• Contacts held by the European Commission: The project team reviewed the contact

details of the 2013 information gathering conducted by the Commission.

• National ministries: Where necessary (e.g. in the absence of a NFP response) national

ministries for Environment and/or Trade were identified using web searches and were

contacted via e-mail and/ or phone wherever possible.

• Embassies in Brussels: In several cases, embassies in Brussels were contacted.

In addition to these sources, the project team requested information for national authorities from

industry stakeholders contacted in the first step; however, this did not yield any results7.

Several challenges were encountered in the process:

• Many of the contact names held by the European Commission were outdated, as officials had

changed position since 2013.

• In several cases, NFP contact details indicated on the website of the Basel Convention were

outdated

• There was no NFP for a few countries or territories (such Grenada, Liechtenstein and San

Marino as well as small island nations in the Pacific).

• For some countries, difficulties were encountered identifying a working email address or

telephone number for the Ministries (in particular for lower-income countries)

• E-mails to several NFPs or to Ministries were unanswered after several reminders, or bounced

back

• In several cases, calls were not picked up after several attempts, or the respondent hung up

4 https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32013D0755 5 Article 47 of this Decision (Overseas Association Decision – OAD) provides the “Conditions for movements of waste”.

According to this article, “direct or indirect export of waste to the OCTs is prohibited, with the exception of exports of non-

hazardous waste destined for recovery operations while at the same time the OCTs authorities shall prohibit the direct or

indirect import into their territory of such waste from the Union or any third country, without prejudice to specific

international undertakings concerning these areas that have been made, or may be made in future, in the competent

international fora." OCTA was not able to clarify what these “international undertakings” are or could be. 6 The list is available at: http://www.basel.int/Countries/CountryContacts/tabid/1342/Default.aspx. 7 Industry stakeholders said that they rely typically on their business counterparts in importing countries to collect

information on the applicable rules and do not necessarily contact national authorities themselves or the Basel Convention

National Focal Points.

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These problems were addressed through persistence and support. The Secretariat of the Basel

Convention was contacted and was able to provide some more recent NFP contact details (and the web

page of national contact points was updated over the course of the study).

Development of the questionnaires

A written questionnaire was developed to collect country responses for the update of the information

contained in the Annex to Regulation 1418/2007.

The project team used as a starting point the 2013 questionnaire that was employed for the previous

update of the Regulation. Some revisions were undertaken to improve user-friendliness. Two parts for

the questionnaire were developed in Word format (see Appendix A Parts A and B for examples):

• A questionnaire to national authorities of countries that are already listed in the Annex to

Regulation (EC) No 1418/2007: the questionnaire contains only information relevant to the

country (i.e. information indicated in the current Annex of the Regulation). National

authorities were asked to confirm the accuracy of the information or otherwise update it.

• A questionnaire to national authorities of countries not currently included in the Annex to the

Regulation: They received an empty template to be filled in. The questionnaire combines both

wastes covered under Annex III and mixtures of waste covered under Annex IIIa of

Regulation (EC) No. 1013/2006.

A list of waste codes (provided in Appendix A Part C) was also compiled based on wastes listed in the

consolidated version of Regulation (EC) No 1013/2006 of 1 January 2018. This was attached to the

questionnaires. In addition, an explanatory note was prepared to accompany the questionnaires,

providing key definitions (e.g. ‘green listed waste’, ‘recovery’, ‘mixtures of waste’) to help

respondents understand the scope of the exercise. An illustrative example of a reply to the

questionnaire was also prepared.

The questionnaires (including the explanatory note and the list of waste codes) were sent out in

English, French, Spanish or Portuguese depending on the official languages in the target countries.

Translations of the 2013 questionnaires in these languages provided by the Commission were used as

a starting point for the translation of the 2019 questionnaires. In addition, a translation of the

questionnaire and explanatory note was prepared in Russian.

Countries which did not have these as official languages received the questionnaires in English.

Finally, an online version of the questionnaire was tested as it could have provided a simple

mechanism for responses, but it provided not to be a viable way forward (see the box below).

An online version of the questionnaire in English was prepared by the project team using the EU survey tool8.

The use of the EU survey tool could in principle have facilitated answers as well as the analysis of results.

However, the complexity of the draft online questionnaire was rated by the EU survey tool as “too high”,

given the number of dependent questions and sub-categories, and this draft did not contain all waste

categories and codes. As a result, the on-line tool would have performed slowly, which would have been

problematic for countries with poor internet connection, and the complexity might have deterred some

respondents. Moreover, an issue was how to verify that an online submission represented an official response.

It was agreed with the Commission that an on-line tool would not be used.

8 https://ec.europa.eu/eusurvey/UpdateReg1418-2007/management/test and illustrative example below

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2.2 DATA COLLECTION

Sending the questionnaires

The questionnaire in Word format was sent via email to all national authorities that had been identified

(in a few cases, such as Algeria, countries requested to receive a printed version of the questionnaire

by mail, so a letter was sent).

The introductory e-mail contained a short introduction to the Regulation and its update process, along

with a request to complete the questionnaire. The email highlighted the need to provide the official

references to the legislation that establishes the restrictions, including web links where available.

A letter of introduction from DG TRADE was included to assist in contacts with authorities and

stakeholders. The original letter of introduction in English was translated into Spanish and French and

was also signed by DG TRADE (an informal translation into Russian was also prepared).

Follow-up process

To elicit responses from the countries, a data collection protocol was developed and agreed with the

European Commission:

Objective Actions To confirm participation

and to highlight that

completing the

questionnaire requires a

relatively minor effort.

1st Follow-up: The project team calls each country contact, to verify whether:

▪ they have received the questionnaire,

▪ they are the relevant contact person, or whether the questionnaire should be

sent to another person which will be the primary contact

▪ they can complete the questionnaire within the requested period.

▪ whether they have any immediate requests for clarification.

To kindly remind the

country contacts to

complete the survey.

2nd follow-up:

▪ The project team calls each country contact that has not responded timely. (2

attempts on 2 different days).

▪ If they could not be reached by phone, a last reminder e-mail will be sent to

the non-priority countries.

3nd follow-up

▪ The project team will call each priority country contact that has not

responded timely (2 attempts on 2 different days).

▪ If they could not be reached by phone, a last reminder e-mail will also be sent

to the priority countries.

For the lowest priority set of countries (see Appendix B), it was agreed with the European

Commission that the project team would only carry out the first follow-up action, while all three

would be followed for all other countries. In practice, for many countries the follow-up requests went

beyond the three steps foreseen, in particular countries at high and medium priority levels.

For high-priority countries that did not reply after the third follow-up, it was agreed at the interim

meeting that DG TRADE would request that EU Delegations contact the authorities. The EU

Delegations for 16 priority countries were contacted in July and August 2019, along with the EU

Delegations for 3 countries in the next level of priority. Additional EU Delegations were contacted in

September. In addition, several countries requested that the questionnaire be sent by an official EU

body: EU Delegations followed up on these requests. In total, EU Delegations were involved in the

requests for questionnaire responses of 43 countries.

Review of responses and preparation of the report annexes

The questionnaire responses received were reviewed by the project team to check the information

provided. Any gaps in information as well as questions for clarification were sent to the authorities. In

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addition, where national legislation in one of the team’s languages was provided or could be easily

obtained, it was reviewed to check that it supported the information provided in the questionnaire; if

questions were identified, these were sent to the authorities.

It should be noted that the response times to these requests varied greatly, with some national

authorities responding promptly within a couple of days while replying only after months and repeated

reminders.

A few countries did not reply using the questionnaire but sent only emails (in one case, an official

letter). Several emails provided a clear response (e.g. that the information in the existing Annex to the

Regulation remains valid), though others did not.

The questionnaire responses have been published on the project website: www.wastetradesurvey.eu.

Based on the information received from the official authorities, two documents have been developed.

This follows the approach set out in the project Specifications. The two documents (which are annexes

to this report) are:

• Annex I, listing national legislation concerning imports of ‘green’ listed waste – for the

countries for which such information has been obtained – with (where received) a hyperlink to

the webpage where the legislation can be found. Annex I also presents additional comments

received from the countries as well as project team comments.

• Annex II, providing information on import restrictions in the format corresponding to the

Annex to Regulation (EC) No 1418/2007.

Annex I lists information for all the responses received. In contrast, Annex II has been completed only

where the great majority of information provided is clear (where minor points for clarification remain

open, these are identified in Annex I). Moreover, Annex II has been completed only for those

countries where the information provided in Regulation (EC) No 1418/2007 changes – i.e. for

countries not currently listed and countries updating their information. Where country responses

confirm the information currently provided in the Regulation, these are not presented in Annex II. In

addition, Annex II provides legal references where available for countries indicated that ‘other

procedures’ were followed, in order to help interested parties find these procedures; consequently,

some countries confirming current information are found in Annex II.

2.3 OVERVIEW OF RESPONSES RECEIVED

In total, project experts contacted a total of 156 countries and territories around the world. In addition,

as noted in section 2.1, the EU’s 22 Overseas Countries and Territories, OCTs, were contacted via

their association, OCTA; of these, 2 responded. Consequently, the project team sought contacts with

or received responses from a total of 158 countries and territories.

Country

priority

Total Contact

point

identified

Reply

received

High 39 38 25

Medium 17 14 15

Medium/Low 61 44 33

Low 41 20 12

Total 158 114 85

Out of the 158 countries and territories, a total of 114 contact points with working email addresses

who should be responsible for the import of non-hazardous waste for disposal. (A somewhat higher

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number of questionnaires was sent, 131, plus those sent via OCTA.) In total, 85 replies were received:

most in the form of completed questionnaires, but others included emails, and, in a couple of cases,

letters sent via the post. For most of the others, no response was received; three countries and

territories indicated that they would not reply. As mentioned above, EU Delegations were involved to

support contacts with 43 countries, including some clarifications.

The project team reviewed the 85 replies received and sent requests for clarification to 42 countries.

The requests varied:

• In a few cases, there were errors in the table showing import requirements by waste code.

Some of these cases were minor, with one or two waste codes missing or duplicated; other

responses had larger gaps.

• Many countries did not provide information on the domestic legislation regulating imports of

non-hazardous waste.

• Where it was possible to review the domestic legislation (as the text or a weblink was

provided and the legislation was in a language covered by the project team), the project team

found a few cases of discrepancies between the legal text and the answer provided

As shown in the table below, 21 of the requests for clarification were fully resolved. In 9 other cases,

the overall response was considered useable for the update of Regulation 1418/2007 even though the

request was not fully resolved (for example, references to legislation was not provided or there were

few gaps in waste codes).

Country

priority

Total

clarifications

requested

Clarification

resolved

Answer considered

useable though issues

for clarification

remain open

High 13 11 2

Medium 7 7

Medium/Low 18 8 2

Low 4 2

Total 42 21 9

As a result, a total of 73 useable responses have been received. These are comprised of: 30 responses

that confirmed information currently found in Commission Regulation 1418/2007; 27 responses from

countries currently listed in the Regulation, updating their information; and 16 responses from

countries not listed in the Regulation at present.

Country

priority

Countries currently listed

in Regulation 1418/2007

New countries

(not listed in

current

Regulation)

Total

Current

information

confirmed

Information

updated

High 11 12 2 25

Medium 7 6 2 15

Medium/Low 9 7 7 23

Low 3 2 5 10

Total 30 27 16 73

Details on the responses received and issues for clarification, including those that remain open, can be

found in Annex I.

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3 TASK 2: GATHERING VIEWS RELEVANT TO THE REGULATION OF

INTERNATIONAL TRADE IN ‘GREEN’ LISTED WASTE

As described in section 1.1, the objective of Task 2 was to carry out semi-structured interviews to

collect the views of key authorities and stakeholders, including industry bodies and associations on the

international trade in ‘green’ listed waste. Task 1 supported this work: the initial research helped to

identify key stakeholders whose views on the regulation of international trade of ‘green’ listed waste

should be solicited.

In addition, the project intended to undertake an information-gathering mission to China; however,

authorities there did not respond to requests to meet.

3.1 SURVEY PREPARATION

Identification of key stakeholders

The project team sought to identify up to 30 stakeholders for interviews, to gather a diversity of views

from the private sector, NGOs and non-OECD, non-EU countries across different continents. The

following categories were discussed with the European Commission:

Category Sub-category

Non-OECD governments and

private sector

China

Other non-OECD countries (9)

International / Regional

organisations

United Nations system

Other international organisations

EU Public sector Port authorities/customs officials

Private sector Top players in global waste recycling services industry

EU Manufacturing/Converters of recycled materials into end products

Industry associations involved in waste management and recycling

(global/EU/national)

Civil society organisations Non-governmental organisations (NGOs), including among other

environmental NGOs and consumer associations.

Following discussions at the interim meeting, the following stakeholders were identified for

interviews:

Countries

• China

• India

• Indonesia

• Malaysia

• Vietnam

• Brazil

• Egypt

• Ghana or Kenya

• Serbia

• Belarus, Russia or Ukraine

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International organisations

• UNEP Environment & Trade Hub

• Basel Convention regional centers for:

- French-speaking countries in Africa

- for English-speaking countries in Africa

- for South-East Asia

- for the South American region

- and CIS countries

• WTO Trade and Environment Division

• OECD

• World Customs Organization

Ports

• One Port Authority (e.g. Rotterdam) and ESPO (European Sea Port Organisation)

Private sector stakeholders

• Municipal Waste Europe

• Veolia Logistics

• Suez Trading

• Remondis

• Vipa

• Ekman

• Plastics Europe

• EuPc- European plastic converters

• CEPI- Confederation of European paper industries

• Eurometaux, non-ferrous metals producers and recyclers

• EUROFER, European Steel Association

• European Federation of Glass Recyclers (FERVER)

• European Recycling Industries Confederation (EURIC)

• European Electronics Recyclers Association (EERA)

• European Federation of Waste Management and Environmental Services (FEAD)

• BIR

NGOs

• Greenpeace International

• Rethink Plastic Alliance

• Zero Waste Europe

Several stakeholders declined interviews, including ESPO, Greenpeace and the World Customs

Organization. As the Port of Rotterdam was not available, an interview was carried out with the Dutch

Ministry of Infrastructure and Environment. In addition, government experts in only 5 non-EU, non-

OECD countries agreed to an interview.

Identification of key issues for interviews

An initial set of interview questions was prepared for the interim progress report and discussed at the

interim meeting. Based on this discussion, the following topics and questions were identified for the

semi-structured interviews:

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Interview topics and questions

• Current trends in waste streams and importing and exporting countries

• Positive and negative effects of trade (from the environmental, health, social and economic perspectives)

• Measures to address concerns and those to address barriers to trade and the level at which measures

should be taken (e.g. global, regional, EU, national levels)

• Where is it most efficient to recover green-listed waste?

• How can it be ensured that the exported waste is recovered in an environmentally friendly manner in the

destination country?

• Is the current trade of green-listed waste regulated strictly enough or should the current regime be

strengthened? Do you consider that there are barriers to trade which should be removed?

• What are your views on the frequency of updates of Regulation (EC) 1418/2007? Could this be updated

more regularly, if so, how? (for private sector and NGO stakeholders)

• To what extent should Regulation (EC) 1013/2006 or 1418/2007 be changed as part of the upcoming

review process? (for private sector and NGO stakeholders)

• For non-EU stakeholders: Do you consider that the current EU regulations are effective (i.e. do you

receive shipments from the EU of green-listed waste that should not have been exported to your country

in the first place?) What would be the most efficient tool to ensure that information on rules applicable in

importing countries is shared globally?

3.2 DATA COLLECTION AND REPORTING

Semi-structured interviews were carried out with experts from 15 industry stakeholders,

2 international organisations (plus 4 Basel Convention regional centres), 2 NGOs, 1 EU Member State

authority and 5 importing country authorities. All interviews have been carried out by phone. Several

interviews involved more than one expert; one involved 10 experts. As noted above, it proved difficult

to arrange interviews with importing countries: some of the countries contacted declined and others

did not reply.

All interview summaries were provided to the stakeholders for their review and comment.

An overview of the interview results is provided in Annex III to this report. This Annex presents an

overview of the main points in the individual interviews (it follows the Chatham House approach and

does not identify individual responses).

3.3 CHINA

The project foresaw a mission to China to meet with officials and other stakeholders there. Attempts to

contact Chinese authorities did not receive a response. The EU Delegation in China followed up and

reported that the Chinese government authorities did not wish to hold a meeting.

As a next step, an interview was carried out with an expert of the Basel Convention Regional Centre in

Beijing. The results of this interview have been integrated into an overview of China’s evolving policy

on the import of non-hazardous, provided in Appendix E (information from the interview is also

included in Annex III).

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4 TASK 3: PROJECT WEBSITE

Under this task, a website providing information on the study was prepared. The aim is to provide a

web presence for the project, allowing government officials and stakeholders to view project

information online. A further aim is to publish the questionnaire responses received.

A mock-up of the website was shared with the Commission in February 2019. Following approval, the

website was launched in early March: www.wastetradesurvey.eu

Country replies to the Task 1 questionnaire received have been uploaded.

The final report will also be uploaded once the project is completed.

It is planned to maintain the website online for up to one year after project completion, though without

any updates.

Update of Commission Regulation 1418/2007: Project final report

16

5 PROJECT REPORTING AND PRESENTATIONS

5.1 INCEPTION REPORT AND MEETING

The inception meeting was held on 11 January 2019 at DG TRADE. Following the inception meeting,

the inception report was submitted to Commission services.

The summary of the inception meeting can be found in Appendix C.

5.2 INTERIM PROGRESS REPORT AND MEETING

The interim progress meeting was held on 10 April 2019 at DG TRADE. The meeting reviewed the

draft interim report submitted by the project team.

The summary of the interim progress meeting can be found in Appendix C.

5.3 DRAFT FINAL REPORT AND FOLLOW-UP DISCUSSIONS

The Draft Final Report was submitted to Commission services on 18 August 2019.

Instead of an in-person meeting with Commission services, as indicated in the study Specifications, it

was agreed with the desk officer at DG Trade to instead hold a series of telephone discussions. The

Project Director and Project Director at Milieu participated in these discussions, some of which also

included the Coordinator at Ramboll. These discussions in particular covered the steps to encourage

additional country responses for Task 1.

5.4 FINAL PRESENTATION

A brief presentation of the study was made to the EU Waste Shipment Correspondents’ Expert Group

on Friday, 13 September 2019. The slides for this presentation can be found below in Appendix D.

Appendix A. Questionnaire

17

APPENDIX A: QUESTIONNAIRE (TASK 1)

Part A: Questionnaire to countries already included in the Annex (using Algeria as an

example)

REGULATION (EC) 1418/2007- UPDATE OF THE ANNEX

EXPORT FROM THE EUROPEAN UNION (EU) FOR RECOVERY OF ‘GREEN’ LISTED WASTE AND MIXTURES THEREOF

- QUESTIONNAIRE -

This questionnaire aims at gathering information in order for the European Union (EU) to update Commission Regulation (EC) No 1418/20079. The wastes covered by this Regulation are referred to as “green listed waste and mixtures thereof” in the questionnaire. Your response will be used to revise the Regulation and thus to update the rules that the EU waste sector and customs officials of EU Member States should follow when exporting ‘green’ listed waste for recovery. This will help the EU make sure that you are not sent waste that you do not wish to receive.

PART A

COUNTRY: ALGERIA Algeria responded to the 2013 questionnaire. The information provided at that time is set out in the attachment to this questionnaire. This information was used to update the Annex to the Commission Regulation (EC) No 1418/2007. In Part A of the questionnaire, we request that you indicate whether the requirements reported in 2013 for the import of certain types of waste are still in force or whether there have been changes in these requirements. If there have been such changes, please complete Part B of the questionnaire.

If you wish to reply on paper rather than electronically and if the questionnaire below does not provide enough space to do so, please reply using extra sheets of paper, following the same template.

QUESTIONS:

1. Is the attached table still accurate?

YES NO

9 Commission Regulation (EC) No 1418/2007 concerning the export for recovery of certain waste listed in Annex III or IIIA to Regulation (EC) No 1013/2006 to certain countries to which the OECD decision on the control of transboundary movements of wastes does not apply

Appendix A. Questionnaire

18

2. If YES, please provide the reference(s) of the legal act(s) in your country regulating imports for recovery of ‘green’ listed waste and mixtures thereof:

Title of the legal act; Date of entry into force (day/month/year); Web link (where available)

General legislation covering imports of ‘green’ listed waste

Legislation covering imports of specific types of ‘green’ listed waste

If YES, for imports of ‘green’ listed waste or mixtures thereof that are subject to “other control procedures” (i.e. the wastes listed in column d) of the Annex to Commission Regulation 1418/2007), please summarise what these control procedures are and where further information can be found:

3. If NO, please fill in the questionnaire in Part B.

4. Please use the box below to provide any comments or clarifications regarding your reply to

this questionnaire (optional).

5. Please note that your reply will be considered as an official reply and will be uploaded on this

website: http://wastetradesurvey.eu/ and subsequently on the website of the European Commission10.

6. Please indicate if you agree or disagree with the public disclosure of the contact details of the respondent. Agree

Disagree

Thank you very much for your contribution.

DATE: …….

CONTACT DETAILS OF THE RESPONDENT: ……

10 Responses to the 2013 questionnaire can be found at the following web address: http://ec.europa.eu/trade/import-and-export-rules/export-from-eu/waste-shipment/questionnaires/

Appendix A. Questionnaire

19

ATTACHMENT: Information presented in the current Annex to Commission Regulation (EC) No 1418/2007 (based on the response to the 2013 questionnaire)

Column a) Prohibition Column b) Prior written notification and consent required Column c) No control Column d) Other control procedures under applicable national law

Appendix A. Questionnaire

20

Part B: Questionnaire to countries not currently included in the Annex and countries

that update the information currently in the Annex

REGULATION (EC) 1418/2007- UPDATE OF THE ANNEX

EXPORT FROM THE EUROPEAN UNION (EU) FOR RECOVERY OF ‘GREEN’ LISTED WASTE AND MIXTURES THEREOF

- QUESTIONNAIRE -

This questionnaire aims at gathering information in order for the European Union (EU) to update Commission Regulation (EC) No 1418/200711. The wastes covered by this Regulation are referred to as “green listed waste and mixtures thereof” in the questionnaire. Your response will be used to revise the Regulation and thus to update the rules that the EU waste sector and customs officials of EU Member States should follow when exporting ‘green’ listed waste for recovery. This will help the EU make sure that you are not sent waste that you do not wish to receive.

PART B

COUNTRY: ……………….

DATE: ………………….

CONTACT DETAILS OF THE RESPONDENT: …….

Questions:

1. Are any of the following conditions applicable to the import for recovery of ‘green’ listed waste

and mixtures thereof12 in your country? (please see the full list of waste items in Part C)

• Prohibition

• Prior written notification and consent

• Other control procedures under national law

YES NO

2. If NO, please disregard the rest of the questionnaire.

3. If YES, please fill in the table below with information relevant to your country. Please check

the attached list of wastes (part C) for specific wastes covered under each waste category.

The questionnaire also covers mixtures of waste. For each waste category, please insert the

specific waste codes (as set out in Part C) in the relevant box in the table below (under

column a), b), c) or d)). However, if a condition applies to all the specific waste codes in that

category, please state “all waste in this category” in the relevant box of the table below. If you

wish to reply on paper rather than electronically and if the questionnaire below does not

provide enough space to do so, please reply using extra sheets of paper, following the same

template.

Please refer to the explanatory note for further information on how to fill in the questionnaire.

11 Commission Regulation (EC) No 1418/2007 concerning the export for recovery of certain waste listed in Annex III or IIIA to Regulation (EC) No 1013/2006 to certain countries to which the OECD decision on the control of transboundary movements of wastes does not apply 12 Waste listed in Annex III or IIIA to Regulation (EC) 1013/2006. Please refer to the explanatory note for information on the link between this list and Annex IX of the Basel Convention.

Appendix A. Questionnaire

21

Waste category (a) Prohibition (b) Prior written notification

and consent required

(c) No control (d) Other control

procedures

All ‘green’ listed wastes and mixtures thereof13

Metal and metal bearing wastes

Wastes containing principally inorganic constituents,

which may contain metals and organic materials

Wastes containing principally organic constituents which

may contain metals and inorganic materials

Wastes which may contain either inorganic or organic

constituents

13 Waste listed in Annex III or IIIA to Regulation (EC) 1013/2006. Please see the full list of waste items in Part C.

Appendix A. Questionnaire

22

Glass waste in non-dispersible form

Ceramic wastes in non-dispersible form

Other wastes containing principally inorganic constituents,

which may contain metals and organic materials

Solid plastic wastes

Wastes arising from tanning and fellmongery operations

and leather use

Mixtures of wastes14

14 Mixtures of wastes listed in Annex IIIA to Regulation (EC) 1013/2006. Please see the full list of mixtures in Part C.

Appendix A. Questionnaire

23

4. For imports of ‘green’ listed waste or mixtures thereof that are subject to “other control procedures” (i.e. the wastes listed in column d) in the above table), please summarise what these control procedures are and where further information can be found:

5. Please provide the reference(s) of the legal text(s) in your country regulating imports for recovery of ‘green’ listed wastes and mixtures thereof:

Title of the legal act; Date of entry into force (day/month/year); Web link (where available)

General legislation covering imports of ‘green’ listed wastes

Legislation covering imports of specific types of ‘green’ listed wastes

6. Please use the box below to provide any comments or clarifications regarding your reply to

this questionnaire (optional).

7. Please note that your reply will be considered as an official reply and will be uploaded on this

website: http://wastetradesurvey.eu/ and subsequently on the website of the European Commission15.

8. Please indicate if you agree or disagree with the public disclosure of the contact details of the respondent. Agree

Disagree Thank you very much for your contribution.

15http://ec.europa.eu/trade/import-and-export-rules/export-from-eu/waste-shipment/questionnaires/

Appendix A. Questionnaire

24

Explanatory note

REGULATION (EC) 1418/2007- UPDATE OF THE ANNEX

EXPORT FROM THE EUROPEAN UNION (EU) FOR RECOVERY OF ‘GREEN’ LISTED WASTE AND MIXTURES THEREOF

- EXPLANATORY NOTE -

This note provides further information to help you complete the questionnaire. If you still have questions, please do not hesitate to contact us.

• Background information on Commission Regulation (EC) 1418/2007

This Regulation is the EU legal instrument governing shipments of ‘green’ listed wastes and mixtures thereof from the EU to non-EU non-OECD countries. It sets the rules to be followed when exporting ‘green’ listed waste for recovery (exports of these wastes for disposal to third countries are not allowed16). The Annex to this Regulation lists the conditions set by non-EU non-OECD countries for imports of ‘green’ listed waste for recovery. In this way the EU aims to ensure that such waste is only exported to countries willing to receive it and under the conditions that they stipulate.

Commission Regulation (EC) No. 1418/2007 works together with Commission Regulation (EC) No. 1013/2006 on shipments of waste, which lays down the EU’s requirements and procedures for the transboundary shipments of waste within and outside the EU and bans the export of hazardous wastes for recovery to non-OECD countries.

Regulation (EC) No.1013/2006 implements into EU law the provisions of the “Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal”, as well as the “OECD Decision C(2007)107 Concerning the Control of Transboundary Movement of Wastes for Recovery operations”. The latter is the instrument governing trade in waste between OECD member countries.

• ‘Green’ listed wastes and mixtures covered by the questionnaire

The wastes covered by this questionnaire are wastes listed in Annex III of Commission Regulation (EC) No. 1013/2006. These so-called ‘green’ listed wastes are the same wastes as those listed in Annex IX to the Basel Convention with a few modifications:

- The part of Basel entry B1100 (Metal-bearing wastes arising from melting, smelting and

refining of metals) that refers to “Slags from copper processing…” does not apply; entry

GB040 of the OECD Decision17 applies instead.

- Basel entry B1110 (Electrical and electronic assemblies) does not apply; entries GC010 and

GC020 of the OECD Decision apply instead.

- Basel entry B2050 (Coal-fired power plant fly-ash, not included on list A) does not apply; the

entry GG040 of the OECD Decision applies instead.

As regards mixtures of waste covered by this questionnaire, please note that they refer only to mixtures of the ‘green’ listed wastes mentioned above. Mixtures containing hazardous wastes are subject to a different legal regime18.

16 Article 34 of Commission Regulation (EC) 1013/2006 ‘Export prohibited except to EFTA countries’

17 Decision C(2001)107/Final of the OECD Council concerning the revision of Decision C(92)39/Final on control of transboundary movements of wastes destined for recovery operations- Appendix 3 18 Exports of mixtures of hazardous wastes and mixtures of hazardous wastes with non-hazardous wastes (not classified under one single entry in Annex V of Commission Regulation (EC) 1013/2006) are prohibited.

Appendix A. Questionnaire

25

Mixtures are formally defined as ‘waste that results from an intentional or unintentional mixing of two or more different wastes and for which mixture no single entry exists in Annex III of Commission Regulation 1013/2006. Waste shipped in a single shipment of wastes, consisting of two or more wastes, where each waste is separated, is not a mixture of wastes.’ (Article 2.3 of Regulation (EC) 1013/2006) All these ‘green’ listed wastes and mixtures thereof are compiled in the attached list (Part C). Please reply to the questionnaire using the relevant codes in this list. Codes starting with the letter B refer to codes in the Basel Convention. Codes starting with the letter G refer to codes listed in the OECD Decision.

• Exports from the European Union destined for recovery

The questionnaire covers exports of the ‘green’ listed wastes originating from the European Union (EU). More specifically, it applies to exports destined for recovery in non-EU and non-OECD countries. In this questionnaire, ‘recovery’ is to be understood as: ‘any operation the principal result of which is waste serving a useful purpose by replacing other materials which would otherwise have been used to fulfil a particular function, or waste being prepared to fulfil that function, in the plant or in the wider economy.’ Here is a non-exhaustive list of ‘recovery’ operations:

(R1) Use principally as a fuel or other means to generate energy (R2) Solvent reclamation/regeneration (R3) Recycling/reclamation of organic substances which are not used as solvents (including composting and other biological transformation processes) (R4) Recycling/reclamation of metals and metal compounds (R5) Recycling/reclamation of other inorganic materials (R6) Regeneration of acids or bases (R7) Recovery of components used for pollution abatement (R8) Recovery of components from catalysts (R9) Oil re-refining or other reuses of oil (R10) Land treatment resulting in benefit to agriculture or ecological improvement (R11) Use of waste obtained from any of the operations numbered R 1 to R 10 (R12) Exchange of waste for submission to any of the operations numbered R 1 to R 11 (R13) Storage of waste pending any of the operations numbered R 1 to R 12 (excluding temporary storage, pending collection, on the site where the waste is produced)

For further details on this list, please refer to Annex II of Directive 2008/98/EC. Exported waste must be ‘destined for recovery operations within a facility which, under applicable national law, is operating or is authorised to operate in the country of destination’. (Article 37.4 of Regulation (EC) 1013/2006)

• Conditions applicable to imports of ‘green’ listed wastes and mixtures thereof in your

country

You are invited to specify if exporters from the EU can export such wastes and mixtures to your country without any control or if any of the following conditions apply: - a) Prohibition: this means that exporters from the European Union cannot send ‘green’ listed

waste and mixtures thereof to your country. Such a prohibition may apply to all such wastes or,

more commonly, only to certain categories of waste.

- b) Prior written notification and consent: this means that the shipment to your country may

take place only if:

o written consent has been granted by the competent authorities in your country, and […] if the conditions laid down in such consent are met

Appendix A. Questionnaire

26

o a contract between the notifier [the person who intends to carry out a shipment of waste or intends to have a shipment of waste carried out] and consignee has been concluded and is effective

o environmentally sound management is ensured In addition, there is a requirement for a financial guarantee or equivalent insurance to be ‘established by the notifier or by another […] person on its behalf’ for shipments originating from the EU. For further details on this procedure, please refer to Article 35 of Regulation (EC) 1013/2006.

- c) No control: this means that your country does not ‘exercise control in respect of such waste’19.

General information requirements20 apply to waste exported from the EU to third countries.

- d) Other control procedures: this means that your legislation provides for procedures other than

prohibition or prior written notification and consent for identified types of waste. Please specify

what that control procedure is in your reply to the questionnaire.

• Contact point

Should you need further clarification on how to fill in the questionnaire, please reply to the e-mail (or letter) that you received or call the phone number indicated in the email (or letter). If you have general questions about the project, please send an e-mail to our main e-mail address: wasteshipments@milieu.be

• Further information on the project

This project is undertaken by Milieu Consulting with their partner Ramboll, under contract to the European Commission (Directorate General for Trade). For general information on the project, please visit: http://wastetradesurvey.eu/

19 Regulation (EC) 1418/2007 recital 2 20 laid down in Article 18 of Regulation (EC) 1013/2006

Appendix A. Questionnaire

27

Illustrative example of reply to question 3 of the questionnaire

Waste category a) Prohibition b) Prior

written

notificatio

n and

consent

required

c) No

control

d)Other control

procedures

Metal and metal bearing

wastes

from B1010:

— Cobalt scrap

— Chromium scrap

from B1010:

— All other wastes

B1250

Wastes containing

principally inorganic

constituents, which may

contain metals and

organic materials

All wastes in this

category

Wastes containing

principally organic

constituents which may

contain metals and

inorganic materials

B3020 — B3030

from B3040:

— Other rubber

wastes (excluding

such wastes

specified elsewhere)

from B3040:

— Waste and

scrap from hard

rubber (e.g.

ebonite)

from B3040:

— Waste and

scrap from hard

rubber (e.g.

ebonite)

Wastes which may

contain either inorganic

or organic constituents

B4010 — B4030

Wastes arising from tanning and fellmongery operations and leather use

GN030 ex 050590

all other wastes listed in Annex III of

Appendix A. Questionnaire

28

Regulation (EC) No 1013/2006

Mixtures of wastes

Mix B1010 and

B1050

Mix B2010

All other mixtures of wastes listed in Annex IIIA of Regulation (EC) No 1013/2006

Appendix A. Questionnaire

29

Part C: List of waste codes

WASTE LISTED IN ANNEX III OF REGULATION (EC) 1013/2006

B1 METAL AND METAL BEARING WASTES

B1010 Metal and metal-alloy wastes in metallic, non-dispersible form:

— Precious metals (gold, silver, the platinum group, but not mercury)

— Iron and steel scrap

— Copper scrap

— Nickel scrap

— Aluminium scrap

— Zinc scrap

— Tin scrap

— Tungsten scrap

— Molybdenum scrap

— Tantalum scrap

— Magnesium scrap

— Cobalt scrap

— Bismuth scrap

— Titanium scrap

— Zirconium scrap

— Manganese scrap

— Germanium scrap

— Vanadium scrap

— Scrap of Hafnium, Indium, Niobium, Rhenium and Gallium

— Thorium scrap

— Rare earths scrap

— Chromium scrap

B1020 Clean, uncontaminated metal scrap, including alloys, in bulk finished form21 (sheet, plate, beams, rods, etc.): — Antimony scrap

— Beryllium scrap

— Cadmium scrap

— Lead scrap (but excluding lead-acid batteries)

21 Includes all metallic non-dispersible forms of the scrap listed therein; ‘Non-dispersible’ does not include any wastes in the form of powder, sludge, dust or solid items containing encased hazardous waste liquids.

Appendix A. Questionnaire

30

— Selenium scrap

— Tellurium scrap

B1030 Residues containing refractory metals

B1031 Molybdenum, tungsten, titanium, tantalum, niobium and rhenium metal and metal alloy wastes in metallic dispersible form (metal powder), excluding such wastes as specified in list A under entry A1050, Galvanic sludges

B1040 Scrap assemblies from electrical power generation not contaminated with lubricating oil, PCB or PCT to an extent to render them hazardous

B1050 Mixed non-ferrous metal, heavy fraction scrap, not containing Annex I materials in concentrations sufficient to exhibit Annex III characteristics22

B1060 Waste Selenium and Tellurium in metallic elemental form including powder

B1070 Waste of copper and copper alloys in dispersible form, unless they contain Annex I constituents to an extent that they exhibit Annex III characteristics

B1080 Zinc ash and residues including zinc alloys residues in dispersible form unless containing Annex I constituents in concentration such as to exhibit Annex III characteristics23

B1090 Waste batteries conforming to a specification, excluding those made with lead, cadmium or mercury

B1100 Metal-bearing wastes arising from melting, smelting and refining of metals:

— Hard zinc spelter

— Zinc-containing drosses:

— Galvanising slab zinc top dross (>90% Zn)

— Galvanising slab zinc bottom dross (>92% Zn)

— Zinc die casting dross (>85% Zn)

— Hot dip galvanisers slab zinc dross (batch) (>92 % Zn)

— Zinc skimmings

— Aluminium skimmings (or skims) excluding salt slag

GB04024 7112 Slags from precious metals and copper processing for further refining 262030 262090

— Wastes of refractory linings, including crucibles, originating from copper smelting

— Slags from precious metals processing for further refining

— Tantalum bearing tin slags with less than 0,5 % tin

Other wastes containing metals25

GC010 Electrical assemblies consisting only of metals or alloys

GC020 Electronic scrap (e.g. printed circuit boards, electronic components, wire, etc.) and reclaimed electronic components suitable for base and precious metal recovery

GC030 ex 890800 Vessels and other floating structures for breaking up, properly emptied of any cargo and other materials arising from the operation of the vessel which may have been classified as a dangerous substance or waste

GC050 Spent fluid catalytic cracking (FCC) catalysts (e.g. aluminium oxide, zeolites)

B1115 Waste metal cables coated or insulated with plastics, not included in list A1190, excluding those destined for Annex IVA operations or any other disposal operations

22 Note that even where low level contamination with Annex I materials initially exists, subsequent processes, including recycling processes, may result in separated fractions containing significantly enhanced concentrations of those Annex I materials. 23 The status of zinc ash is currently under review and there is a recommendation with United Nations Conference on Trade and Development (UNCTAD) that zinc ashes should not be dangerous goods. 24 Replaces Basel entry B1100 ‘Slags from coper processing…’ 25 All codes starting with the letter G originate from the ‘OECD Decision C(2001)107/Final of the OECD Council concerning the revision of Decision C(92)39/Final on control of transboundary movements of wastes destined for recovery operations’- Appendix 3

Appendix A. Questionnaire

31

involving, at any stage, uncontrolled thermal processes, such as open-burning

B1120 Spent catalysts excluding liquids used as catalysts, containing any of:

— Transition Metals, excluding waste catalysts (spent catalysts, liquid used catalysts or other catalysts) on list A:

— Scandium

— Vanadium

— Manganese

— Cobalt

— Copper

— Yttrium

— Niobium

— Hafnium

— Tungsten

— Titanium

— Chromium

— Iron

— Nickel

— Zinc

— Zirconium

— Molybdenum

— Tantalum

— Rhenium

— Lanthanides (rare earth metals):

— Lanthanum

— Praseodymium

— Samarium

— Gadolinium

— Dysprosium

— Erbium

— Ytterbium

— Cerium

— Neodymium

— Europium

— Terbium

— Holmium

— Thulium

— Lutetium

B1130 Cleaned spent precious-metal-bearing catalysts

B1140 Precious-metal-bearing residues in solid form which contain traces of inorganic cyanides

B1150 Precious metals and alloy wastes (gold, silver, the platinum group, but not mercury) in a dispersible, non-liquid form with appropriate packaging and labelling

B1160 Precious-metal ash from the incineration of printed circuit boards (note the related entry on list A, A1150)

B1170 Precious-metal ash from the incineration of photographic film

Appendix A. Questionnaire

32

B1180 Waste photographic film containing silver halides and metallic silver

B1190 Waste photographic paper containing silver halides and metallic silver

B1200 Granulated slag arising from the manufacture of iron and steel

B1210 Slag arising from the manufacture of iron and steel including slags as a source of TiO2 and Vanadium

B1220 Slag from zinc production, chemically stabilised, having a high iron content (above 20 %) and processed according to industrial specifications (e.g. DIN 4301) mainly for construction

B1230 Mill scaling arising from the manufacture of iron and steel

B1240 Copper oxide mill-scale

B1250 Waste end-of-life motor vehicles, containing neither liquids nor other hazardous components

B2 WASTES CONTAINING PRINCIPALLY INORGANIC CONSTITUENTS, WHICH MAY CONTAIN METALS AND ORGANIC MATERIALS

B2010 Wastes from mining operations in non-dispersible form:

— Natural graphite waste

— Slate waste, whether or not roughly trimmed or merely cut, by sawing or otherwise

— Mica waste

— Leucite, nepheline and nepheline syenite waste

— Feldspar waste

— Fluorspar waste

— Silica wastes in solid form excluding those used in foundry operations

B2020 Glass waste in non-dispersible form:

— Cullet and other waste and scrap of glass except for glass from cathode-ray tubes and other activated glasses

B2030 Ceramic wastes in non-dispersible form:

— Cermet wastes and scrap (metal ceramic composites)

— Ceramic based fibres not elsewhere specified or included

B2040 Other wastes containing principally inorganic constituents:

— Partially refined calcium sulphate produced from flue-gas desulphurisation (FGD)

— Waste gypsum wallboard or plasterboard arising from the demolition of buildings

— Slag from copper production, chemically stabilised, having a high iron content (above 20 %) and processed according to industrial specifications (e.g. DIN 4301 and DIN 8201) mainly for construction and abrasive applications

— Sulphur in solid form

— Limestone from the production of calcium cyanamide (having a pH less than 9)

— Sodium, potassium, calcium chlorides

— Carborundum (silicon carbide)

— Broken concrete

— Lithium-Tantalum and Lithium-Niobium containing glass scraps

GG040 ex 2621 Coal fired power plants fly ash

B2060 Spent activated carbon not containing any Annex I constituents to the extent that they exhibit Annex III characteristics, for example, carbon resulting from the treatment of potable water and processes of the food industry and vitamin production (note the related entry on list A A4160)

B2070 Calcium fluoride sludge

B2080 Waste gypsum arising from chemical industry processes not included on list A (note the related entry on list A, A2040)

B2090 Waste anode butts from steel or aluminium production made of petroleum coke or bitumen and cleaned to normal industry specifications (excluding anode butts from

Appendix A. Questionnaire

33

chlor alkali electrolyses and from metallurgical industry)

B2100 Waste hydrates of aluminium and waste alumina and residues from alumina production excluding such materials used for gas cleaning, flocculation or filtration processes

B2110 Bauxite residue (red mud) (pH moderated to less than 11,5)

B2120 Waste acidic or basic solutions with a pH greater than 2 and less than 11,5, which are not corrosive or otherwise hazardous (note the related entry on list A, A4090)

B2130 Bituminous material (asphalt waste) from road construction and maintenance, not containing tar26 (note the related entry on list A A3200)

B3 WASTES CONTAINING PRINCIPALLY ORGANIC CONSTITUENTS, WHICH MAY CONTAIN METALS AND INORGANIC MATERIALS

B3010 Solid plastic waste The following plastic or mixed plastic materials, provided they are not mixed with other wastes and are prepared to a specification:

— Scrap plastic of non-halogenated polymers and copolymers, including but not limited to the following27:

— ethylene

— styrene

— polypropylene

— polyethylene terephthalate

— acrylonitrile

— butadiene

— polyacetals

— polyamides

— polybutylene terephthalate

— polycarbonates

— polyethers

— polyphenylene sulphides

— acrylic polymers

— alkanes C10-C13 (plasticiser)

— polyurethane (not containing CFCs)

— polysiloxanes

— polymethyl methacrylate

— polyvinyl alcohol

— polyvinyl butyral

— polyvinyl acetate

— Cured waste resins or condensation products including the following:

— urea formaldehyde resins

— phenol formaldehyde resins

— melamine formaldehyde resins

— expoxy resins

— alkyd resins

— polyamides

— The following fluorinated polymer wastes:28

26 The concentration level of Benzol[a]pyrene should not be 50mg/kg or more. 27 It is understood that such scraps are completely polymerised.

Appendix A. Questionnaire

34

— Perfluoroethylene/propylene (FEP)

— Perfluoro alkoxyl alkane:

— Tetrafluoroethylene/per fluoro vinyl ether (PFA)

— Tetrafluoroethylene/per fluoro methylvinyl ether (MFA)

— Polyvinylfluoride (PVF)

— Polyvinylidenefluoride (PVDF)

B3020 Paper, paperboard and paper product wastes The following materials, provided they are not mixed with hazardous wastes: Waste and scrap of paper or paperboard of:

— unbleached paper or paperboard or of corrugated paper or paperboard

— other paper or paperboard, made mainly of bleached chemical pulp, not coloured in the mass

— paper or paperboard made mainly of mechanical pulp (for example, newspapers, journals and similar printed matter)

— other, including but not limited to:

— 1. laminated paperboard

— 2. unsorted scrap

B3026 The following waste from the pre-treatment of composite packaging for liquids, not containing Annex I materials in concentrations sufficient to exhibit Annex III characteristics:

— Non-separable plastic fraction

— Non-separable plastic-aluminium fraction

B3027 Self-adhesive label laminate waste containing raw materials used in label material production

B3030 Textile wastes The following materials, provided they are not mixed with other wastes and are prepared to a specification:

— Silk waste (including cocoons unsuitable for reeling, yarn waste and garnetted stock):

— not carded or combed

— other

— Waste of wool or of fine or coarse animal hair, including yarn waste but excluding garnetted stock:

— noils of wool or of fine animal hair

— other waste of wool or of fine animal hair

— waste of coarse animal hair

— Cotton waste (including yarn waste and garnetted stock):

— yarn waste (including thread waste)

— garnetted stock

— other

— Flax tow and waste:

— Tow and waste (including yarn waste and garnetted stock) of true hemp (Cannabis sativa L.)

— Tow and waste (including yarn waste and garnetted stock) of jute and other textile bast fibres (excluding flax, true hemp and ramie)

— Tow and waste (including yarn waste and garnetted stock) of sisal and other textile fibres of the genus Agave

— Tow, noils and waste (including yarn waste and garnetted stock) of coconut

28 Includes polymers and co-polymers of fluorinated ethylene (PFTE).

Appendix A. Questionnaire

35

— Tow, noils and waste (including yarn waste and garnetted stock) of abaca (Manila hemp or Musa textilis Nee)

— Tow, noils and waste (including yarn waste and garnetted stock) of ramie and other vegetable textile fibres, not elsewhere specified or included

— Waste (including noils, yarn waste and garnetted stock) of man-made fibres:

— of synthetic fibres

— of artificial fibres

— Worn clothing and other worn textile articles

— Used rags, scrap twine, cordage, rope and cables and worn out articles of twine, cordage, rope or cables of textile:

— sorted

— other

B3035 Waste textile floor coverings, carpets

B3040 Rubber wastes The following materials, provided they are not mixed with other wastes:

— Waste and scrap of hard rubber (e.g. ebonite)

— Other rubber wastes (excluding such wastes specified elsewhere)

B3050 Untreated cork and wood waste:

— Wood waste and scrap, whether or not agglomerated in logs, briquettes, pellets or similar forms

— Cork waste: crushed, granulated or ground cork

B3060 Wastes arising from agro-food industries provided it is not infectious:

— Wine lees

— Dried and sterilised vegetable waste, residues and byproducts, whether or not in the form of pellets, or a kind used in animal feeding, not elsewhere specified or included

— Degras; residues resulting from the treatment of fatty substances or animal or vegetable waxes

— Waste of bones and horn-cores, unworked, defatted, simply prepared (but not cut to shape), treated with acid or degelatinised

— Fish waste

— Cocoa shells, husks, skins and other cocoa waste

— Other wastes from the agro-food industry excluding by-products which meet national and international requirements and standards for human or animal consumption

B3065 Waste edible fats and oils of animal or vegetable origin (e.g. frying oils), provided they do not exhibit an Annex III characteristic

B3070 The following wastes:

— Waste of human hair

— Waste straw

— Deactivated fungus mycelium from penicillin production to be used as animal feed

B3080 Waste parings and scrap of rubber

B3090 Paring and other wastes of leather or of composition leather not suitable for the manufacture of leather articles, excluding leather sludges, not containing hexavalent chromium compounds and biocides (note the related entry on list A, A3100)

B3100 Leather dust, ash, sludges or flours not containing hexavalent chromium compounds or biocides (note the related entry on list A, A3090)

B3110 Fellmongery wastes not containing hexavalent chromium compounds or biocides or infectious substances (note the related entry on list A, A3110)

B3120 Wastes consisting of food dyes

B3130 Waste polymer ethers and waste non-hazardous monomer ethers incapable of forming peroxides

B3140 Waste pneumatic tyres, excluding those destined for Annex IVA operations

B4 WASTES WHICH MAY CONTAIN EITHER INORGANIC OR ORGANIC CONSTITUENTS

Appendix A. Questionnaire

36

B4010 Wastes consisting mainly of water-based/latex paints, inks and hardened varnishes not containing organic solvents, heavy metals or biocides to an extent to render them hazardous (note the related entry on list A, A4070)

B4020 Wastes from production, formulation and use of resins, latex, plasticisers, glues/adhesives, not listed on list A, free of solvents and other contaminants to an extent that they do not exhibit Annex III characteristics, e.g. water based, or glues based on casein, starch, dextrin, cellulose ethers, polyvinyl alcohols (note the related entry on list A, A3050)

B4030 Used single use cameras, with batteries not included on list A

GLASS WASTE IN NON-DISPERSIBLE FORM

GE020 ex 7001 Glass fibre waste ex 701939

CERAMIC WASTES IN NON-DISPERSIBLE FORM

GF010 Ceramic wastes which have been fired after shaping, including ceramic vessels (before and/or after use)

OTHER WASTES CONTAINING PRINCIPALLY INORGANIC CONSTITUENTS, WHICH MAY CONTAIN METALS AND ORGANIC MATERIALS

GG030 ex 2621 Bottom ash and slag tap from coal fired power plants

SOLID PLASTIC WASTES

GH013 391530 Polymers of vinyl chloride ex 390410—40

WASTES ARISING FROM TANNING AND FELLMONGERY OPERATIONS AND LEATHER USE

GN010 ex 050200 Waste of pigs', hogs' or boars' bristles and hair or of badger hair and other brush making hair

GN020 ex 050300 Horsehair waste, whether or not put up as a layer with or without supporting material

GN030 ex 050590 Waste of skins and other parts of birds, with their feathers or down, of feathers and parts of feathers (whether or not with trimmed edges) and down, not further worked than cleaned, disinfected or treated for preservation

MIXTURES OF TWO OR MORE WASTES LISTED IN ANNEX III OF REGULATION (EC) 1013/2006 AND NOT CLASSIFIED UNDER ONE SINGLE ENTRY: THE FOLLOWING MIXTURES OF WASTES CLASSIFIED UNDER TWO DIFFERENT SINGLE BASEL ENTRIES:

Mixture of wastes classified under Basel entries B1010 and B1050

Mixture of wastes classified under Basel entries B1010 and B1070

Mixture of wastes classified under Basel entries B3040 and B3080

THE FOLLOWING MIXTURES OF WASTES CLASSIFIED UNDER SEPARATE INDENTS OR SUB-INDENTS OF ONE SINGLE BASEL ENTRY:

Mixture of wastes classified under Basel entry B1010

Mixture of wastes classified under Basel entry B2010

Mixture of wastes classified under Basel entry B2030

Mixture of wastes classified under Basel entry B3010 and listed under Scrap plastic of non-halogenated polymers and copolymers

Mixture of wastes classified under Basel entry B3010 and listed under Cured waste resins or condensation products

Mixture of wastes classified under Basel entry B3010 and listed under Perfluoro alkoxyl alkane

Mixture of wastes classified under Basel entry B3020 restricted to unbleached paper or paperboard or of corrugated paper or paperboard, other paper or paperboard, made mainly of bleached chemical pulp, not coloured in the mass, paper or paperboard made mainly of mechanical pulp (for example, newspapers, journals and similar printed matter)

Mixture of wastes classified under Basel entry B3030

Appendix A. Questionnaire

37

Mixture of wastes classified under Basel entry B3040

Mixture of wastes classified under Basel entry B3050

Appendix B. List of countries and territories for Task 1

38

APPENDIX B: LIST OF COUNTRIES AND TERRITORIES FOR TASK 1

High priority countries

Country Question-

naire

sent

Reply

received

Reply

usable

Albania Y Y Y

Algeria Y

Bahrain Y Y Y

Bangladesh Y

Belarus Y Y Y

Bosnia-Herzegovina Y Y Y

Brazil Y

Cambodia Y Y Y

China Y

Chinese Taipei Y Y Y

Colombia Y Y Y

Egypt Y Y Y

Ghana Y

Hong Kong Y Y Y

India Y

Indonesia Y

Ivory Coast Y Y Y

Kenya Y

Kosovo Y Y Y

Lao PDR Y Y Y

Lebanon Y Y Y

Macau Y

Malaysia Y

Moldova Y Y Y

Montenegro Y Y Y

Morocco Y Y Y

Pakistan Y Y Y

Philippines Y Y Y

Qatar Y Y Y

Russian Federation Y

Saudi Arabia Y

Serbia Y Y Y

Singapore Y Y Y

South Africa Y Y Y

Thailand Y Y Y

Tunisia Y

Ukraine Y Y Y

United Arab Emirates Y Y Y

Vietnam Y

Notes (also relevant for the following pages): questionnaires were sent when contact information for a

relevant official or office was identified; usable replies are those considered sufficiently complete for

the update of the Annex to Commission Regulation 1418/2007. For further information, see section 2.3

and Annex I.

Appendix B. List of countries and territories for Task 1

39

Medium priority countries Country Question-

naire

sent

Reply

received

Response

usable

Argentina Y

Armenia Y Y Y

Benin Y Y Y

Botswana

Congo (Democratic Republic of

Congo - Kinshasa)

Y Y Y

Costa Rica Y Y Y

Cuba Y Y Y

Ethiopia Y Y Y

Georgia Y Y Y

Guyana Y Y Y

Myanmar Y Y Y

Nigeria Y Y Y

Oman Y Y Y

Paraguay Y Y Y

Peru Y Y Y

Senegal Y Y Y

Sri Lanka Y Y Y

Appendix B. List of countries and territories for Task 1

40

Medium-low priority countries Country Question-

naire

sent

Reply

received

Response

usable

Afghanistan Y Y

Angola Y

Azerbaijan Y Y Y

Belize Y

Bhutan Y

Bolivia Y

Burkina Faso Y Y Y

Burundi Y

Cameroon Y

Central African Rep. Y Y

Chad Y Y Y

Congo (Republic of the Congo -

Brazzaville)

Y Y Y

Dominican Rep. Y

Ecuador Y Y Y

El Salvador Y Y Y

Equatorial Guinea Y Y

Eritrea Y Y

Gabon Y Y

Gambia Y

Guatemala Y Y Y

Guinea Y Y

Guinea-Bissau Y Y

Haiti Y Y Y

Honduras

Y Y

Iran Y

Iraq Y Y

Jordan Y Y

Kazakhstan Y

Kyrgyzstan Y Y Y

Lesotho Y

Liberia Y Y Y

Libya

Y

Madagascar Y Y Y

Malawi Y

Mali Y Y Y

Mauritania

Mongolia Y

Mozambique Y

Namibia Y Y Y

Nepal

Nicaragua Y Y Y

Niger Y Y Y

North Korea (Democratic People's

Republic of Korea)

Y

Panama Y Y Y

Papua New Guinea Y

Rwanda Y Y Y

Sierra Leone Y

Appendix B. List of countries and territories for Task 1

41

Country Question-

naire

sent

Reply

received

Response

usable

Somalia Y

South Sudan Y

Sudan Y Y Y

Suriname Y

Tajikistan Y

Tanzania (United Republic of) Y

Togo

Turkmenistan Y Y Y

Uganda Y

Uruguay Y Y Y

Uzbekistan Y Y Y

Venezuela Y

Zambia Y Y Y

Zimbabwe Y

Appendix B. List of countries and territories for Task 1

42

Low-priority countries Country Question-

naire

sent

Reply

received

Response

usable

Andorra Y Y Y

Anguilla Y Y Y

Antigua & Barbuda Y

Bahamas

Barbados

Brunei Y

Cape Verde Y Y Y

Comoros Y

Djibouti Y

Dominica

Eswatini Y

Falkland Islands Y

N

Fiji Y

Grenada

Jamaica Y Y Y

Kiribati

Kuwait Y

Liechtenstein Y Y Y

Maldives Y Y

Marshall Islands Y

Mauritius

Micronesia

Monaco Y Y Y

Nauru

North Macedonia

Palau

Samoa

San Marino Y Y Y

Sao Tome and Principe Y Y Y

Seychelles Y

Solomon Islands

St Kitts & Nevis Y

St Lucia Y Y Y

St Vincent & The Grenadines Y

Syrian Arab Republic

Timor-Leste

Tonga

Trinidad & Tobago Y Y Y

Tuvalu

Vanuatu

Yemen

Appendix C. Summaries of project meetings

43

APPENDIX C: SUMMARIES OF PROJECT MEETINGS

Summary of the Inception Meeting Update of Waste shipment Regulation 1418/2007 11 January 2019, 10.00- 12.30 Participants DG Trade Milieu John Bazill (Project officer) Tony Zamparutti (Project Director) Madelaine Tuininga (Head of Unit) Wim Van Breusegem (Project Manager) Marcela Krejcikova (Administrative Assistant) Nienke van der Burgt (Deputy Project Manager) DG Environment Peter Wessman (Unit for waste management and secondary materials), via telephone 1. Background of the study

After a welcome by Ms. Tuininga and a round of introduction, the background to the project was explained.

The responsibility of Regulation 1418/2007 is historically with DG TRADE, whereas much of the expertise on

waste matters is with DG ENV. This is the first time that the gathering of information to update the Annex to

Regulation 1418/2007 is outsourced. It was emphasized that the focus of the project is the actual update of the

annex; the project is not looking for the development of policy recommendations. As for Task 2, the

Commission is familiar with the views of EU stakeholders through the evaluation of the Waste Shipment

Regulation (WSR) so the focus should be on the views of non-EU/non-OECD stakeholders or of EU waste

exporters. This project can benefit from the expertise of DG ENV, for example with respect to the classification

of waste and possible technical issues.

2. Relationship between the ongoing evaluation of the WSR and the project.

Milieu asked for clarification on the relation between this update and the work of DG ENV on the evaluation of Regulation 1013/2006. It was explained that the evaluation process is independent from this project, which is based on Article 37 of Regulation 1013/2006, requiring a periodic update of the Annex to Regulation 1418/2007. It was underlined that the primary task of this study is to update the annex, however in the process of setting up this study it was agreed to take advantage of this process to gather views of stakeholders outside EU/OECD that were not covered by the evaluation with regard to trade in non-hazardous waste. The outputs of Task 2, i.e. the summary of views from the various stakeholders in the non-EU/non-OECD

countries or in trade with such countries, will be relevant for DG ENV as an input for its reflection on future

regulation of waste shipments. DG ENV is welcoming to be involved in the project and is ready to comment on

the various outputs.

Action:

• DG TRADE, DG ENV and Milieu shall further discuss the relevant questions to be raised under Task 2.

• DG ENV will verify whether the Circular Economy missions, and other past and ongoing initiatives of

DG ENV, may help in the identification of relevant stakeholders for Task 2.

3. Methodology: Task 1 (Update of Annex to Regulation 2418/2007)

It was discussed what would be the most effective way of identifying the relevant authorities and officials in

the countries. Milieu proposed to contact the National Focal Points for the Basel Convention in each country, as

these can be expected to know the responsible authorities and officials for controlling the imports of non-

hazardous waste. DG TRADE mentioned that past responses to the update exercise, available on its website,

provide information, in many but not all cases, on the responsible authority. DG TRADE may further request the

Appendix C. Summaries of project meetings

44

EU Delegations in the priority countries to actively support the project. The priority countries will be identified

during the project and the Commission will be informed of this process.

Another key point of discussion was the survey. It is the view of Milieu that the questionnaire (as previously

used) does not require any change. DG TRADE questioned whether the questionnaire could be made more

user-friendly with the purpose to increase the response rate (and not to ask officials to go through 15 pages of

detail). Milieu noted that without this questionnaire, it would be difficult to update the Annex to Regulation

1418/2007. It was agreed to further explore how to obtain the necessary detailed information without putting

respondents off with a lengthy survey, including possible use of a web-based survey tool with drop down

options.

Regarding the deliverables, DG TRADE underlined that the annex 1 to the final report should be a document

with the legal references of the import restrictions adopted by each country. These references should be

provided by the countries. The second deliverable (annex 2) covers the import restrictions set out in the format

of the Annex to the Regulation 1418/2007.

Action:

• Milieu shall prepare draft letters of introduction for Task 1 and 2, to be signed by the Commission.

• Milieu will evaluate whether the questionnaire can be made more user-friendly, while keeping the

content, and report back to DG TRADE. Milieu shall moreover evaluate the most effective

(combination of) survey method(s).

• Milieu shall consult with Mr. Wessman on whether all wastes in the questionnaire are non-hazardous.

• DG TRADE will submit to Milieu all relevant information for the project (such as information on import

restrictions received since the 2014 update).

4. Methodology: Task 2 (Stakeholder views)

Milieu informed whether DG TRADE and DG ENV have different views on international waste trade, which may

be relevant for Task 2. Although outside the scope of the study, it was noted that DG TRADE and DG ENV have

shared objectives and views. DG TRADE is not per se in favour of more trade, however, is concerned with

undue restrictions on trade. There is no reason to adopt more severe restrictions on the trade in secondary raw

materials than for primary raw materials. DG TRADE considers that it is inefficient for the EU to adopt

legislation that provides for export restrictions that mirror the import restrictions of non-OECD countries.

Essentially, national restrictions are too dynamic to be placed in a legal document such as the Annex to

Regulation 1418/2007. However, TRADE recognises that there are legitimate concerns about the export of

waste to countries that are not able to process it safely.

Milieu asked what the expected outcome of Task 2 should be. Milieus’ s proposal contains a list of questions,

however based on the discussion during the inception meeting, it was felt that DG TRADE is not looking for

such detail. It was clarified by DG TRADE that the focus should be on getting views on key issues and let the

stakeholders talk, rather than going through a detailed, prescriptive list of interview question that could steer

the thinking of the stakeholders. Task 2 will result in qualitative, and not statistical information. It was however

underlined by DG TRADE that Task 1 is the main part of the project and the work on Task 2 should not drain to

much energy away from the main task.

Action:

• Milieu will consult DG TRADE (before submission of the draft Inception Report) on the objectives of

Task 2 and the related list with interview questions for the stakeholders.

5. Project management issues

Some administrative issues were discussed by Ms. Krejcikova. Milieu needs to sign amendments to the contract

for Milieu Ltd’s change of legal status whereby it is now Milieu Consulting SPRL. After publication of the notice

Appendix C. Summaries of project meetings

45

of the award in the OJ (expected publication end January or beginning of February) the amendment will be

prepared. It should be signed by both parties before the first invoice can be received.

While discussing the planning, it was confirmed that the contract entered into force as off 19.12.18 and shall

end on 18.08.19. DG TRADE mentioned the option to amend contract (with 1 to 2 months) if more time should

be needed for report e.g. due to holidays. It was agreed to submit the Inception Report one week later than the

official schedule (new agreed date: 25.01.2019).

DG TRADE pointed out that it could work with letters of introduction etc in EU languages, but not non-EU

languages. The original letter of introduction (in English) will be translated into Spanish and French by Milieu

and signed by DG Trade. It was agreed that Milieu will adopt a pragmatic approach and will use English as the

language of choice for all communications. Where necessary to achieve the project’s objectives, Milieu will

translate in one of the UN languages.

6. Website:

It was agreed that the main objective of the project website is to give the project internet existence. The

project website will merely present the project, with project contact details, but will not be used as a tool for

stakeholders to submit information.

Action:

• Milieu shall make a refence to the data protection regulation on the website.

• DG TRADE and DG ENV shall place a link to the project website on their website.

7. China mission and top 10 countries

Mr. Van Breusegem explained the context and meetings of his 2017 China mission, where he met with key

stakeholders, e.g. the NDRC (the planning authority of the central government); the Ministry of Environment,

the Ministry of Trade, The Ministry of Housing and Construction (MOHUD, responsible for local governments,

and thus for local waste management), Ministry of Industry, China Association of Circular Economy, Association

of recycling companies (CRRA) and the Association of plastic recycling companies CPRA). DG TRADE also

referred to the Chinese authorities (CIQ) which conduct pre-shipment inspections in the countries of export,

including in the EU.

DG TRADE underlined that there has been a dynamic situation with many changes in waste import rules. The

mission allows to speak to the authorities directly and might also take away some confusion that might exist in

relation to restrictions.

Another issue of discussion was the identification of the priority countries. DG TRADE referred to recent OECD

statistics on trade in waste. However, beside levels of trade in non-hazardous waste other factors also need to

be borne in mind such as whether there are countries with legal or illegal trade in hazardous waste, for which it

would be important to have information on the regime for importation of non-hazardous waste. Milieu noted

that depending on the priority countries – either the Ramboll offices or other ways will be used to gather

views.

Actions:

• DG TRADE confirmed that the Trade section of the EU Delegation in China, headed by Mr Weigl, will

be requested to support a project mission.

8. Next actions:

• Milieu shall submit the draft Inception Report by 25.01.2019

• DG TRADE shall inform the EU Delegations of the project, possibly followed by a request to actively

support the project to the Delegations in the priority countries.

Appendix C. Summaries of project meetings

46

Appendix C. Summaries of project meetings

47

Summary of the Interim Meeting Update of Waste Shipment Regulation (EC) 1418/2007

10 April 2019 Participants: DG Trade John Bazill; Julius Langendorff; Marcela Krejcikova DG Environment Yorg Aerts Milieu & Ramboll project team Tony Zamparutti (Project Director); Wim Van Breusegem (Project Manager); Florence Limet (Deputy Project Manager); Emiel de Bruijne (Ramboll Project Coordinator) The team presented progress made since the inception meeting (see attached presentation for details). The minutes below only cover the discussion that took place between the project team and the Commission. 1. Collection of information on rules applicable to imports of green-listed waste for recovery in non-EU

non-OECD countries (Task 1)

• Preliminary desk research

DG TRADE asked who was contacted at UNEP as part of the preliminary discussions with stakeholders. The

project team said they would check and get back to DG Trade29.

• Identification of contact points

The project team encountered difficulties with the identification of relevant officials responsible for regulating

imports of green-listed waste in several countries. DG ENV agreed to ask the Secretariat of the Basel

Convention for an updated list of National Focal Points30.

The project team will pursue its efforts for the identification of contacts, especially in Asia and in Arabic and

Russian speaking countries. The project team will regularly update DG TRADE on the countries for which all

possible channels have been exhausted (so far mainly in Africa, Latin America and Oceania): here, support from

EU delegations would be helpful.

DG ENV can provide support for the identification of the relevant contact points in Ghana and Kenya.

• Questionnaires

DG TRADE agreed to upload the questionnaire to its website. The project team mentioned that one country

(Togo) explicitly asked to receive the questionnaire through the EU delegation in Togo.

• List of countries of high relevance (Annex 5 of the interim report)

DG TRADE asked the team to include a few additional countries from Africa, South America and Middle East

countries to the list of countries deemed of high relevance (Annex 5 of the interim report). The objective is to

have a more geographically balanced list, and a total number of countries closer to the number of countries

deemed of low relevance. (Annex 6 of the interim report)

Milieu agreed to revise the list and submit it to DG Trade for approval (see attachment 1 for the revision).

2. Gathering views from stakeholders on the regulation of ‘green-listed’ waste shipments (Task 2)

29 Reply from Milieu- 16/04/2019: The names of all stakeholders contacted are available in Annex 7 of the interim report.

Keith Alverson was contacted, following the recommendation of Jose De Mesa Alcade. 30 Note from Milieu- 16/04/2019: Should the Secretariat of the Basel Convention not provide updated contact details by 18

April, the project team will ask DG Trade to request the support from EU delegations in order to facilitate the identification

of missing contact points.

Appendix C. Summaries of project meetings

48

• State of play of the ongoing evaluation of the Waste Shipment Regulation (EC) 1013/2006

DG ENV explained that a separate study (currently in its final stage) will support the on-going evaluation by the Commission of the Waste Shipment Regulation (EC) 1013/2006. This process should be completed by the end of 2019 and will be followed by a review of the Regulation by the end of 2020. The current project (update of Regulation (EC) 1418/2007) represents an opportunity to gather views of non-EU stakeholders which were not within the scope of the above-mentioned study, as well as industry stakeholders involved in the export of green-listed waste for recovery.

• List of stakeholders

Regarding the list of EU and non-EU stakeholders proposed in the interim report, DG TRADE confirmed that it would be useful to interview customs authorities. At least one port authority believed to have advanced methods to check waste exports should be interviewed (e.g. Rotterdam). At WTO, the Trade and Environment Division could be consulted. EEB31 may be able to provide suggestions as regards knowledgeable NGOs on this topic. DG ENV suggested to consult Plastics Europe; the World Customs Organisation; the Bamako Convention focal points and Regional Centers of the Basel Convention32. Milieu will revise the list of stakeholders and send it for the Commission’s approval (see attachment 2).

• List of focus countries Beyond the specific mission to China which will enable interviewing several officials and stakeholders, the project team plans to interview the official responsible for regulating imports of waste in 4 of the most important non-EU non-OECD countries importing green-listed waste33. The Commission agreed with the proposal in the interim report to contact up to 5 additional countries to ensure geographical diversity. The Commission suggested that the following countries be considered: Brazil, Egypt, Serbia, Kenya, Ghana, Ukraine, Belarus, Russia, Lebanon and Saudi Arabia. Depending on which of these countries provides good feedback in Task 1, the project team will focus its efforts on 5 geographically diverse countries out of these 10. The project team will then be expected to summarize the different views expressed without necessarily providing a conclusion. Milieu agreed to prepare a list of focus countries for approval by the Commission (see attachment 3).

• Topics for the interviews

DG TRADE agreed that the interviews will need to encompass both the economic and environmental dimensions. The interviewers are expected to prompt the interviewees to ensure that both dimensions are covered. It should be systematically clarified which waste streams are referred to by the interviewee (e.g. plastic; paper/carboard; glass; metals or all of these). There should not be too many questions framing the interviews, which should rather be in the form of a conversation. The aim is to collect views on how waste exporters and the rest of the world see trade in green-listed waste and its regulation. Among possible questions that were mentioned by the Commission in the course of the discussion were the following:

- Where is it most efficient to recover green-listed waste?

31 Note from Milieu- 16/04/2019: EEB was contacted by Milieu and recommended to contact Zero Waste Europe. 32 http://www.basel.int/Partners/RegionalCentres/TheCentres/tabid/5275/Default.aspx 33 Based on OECD, BIR and FEAD information

Appendix C. Summaries of project meetings

49

- Are you able to manage waste that is exported to your country or do you face any particular challenges? How can it be ensured that the exported waste is recovered in an environmentally friendly manner in the destination country?

- Is the current trade of green-listed waste regulated strictly enough or should the current regime be strengthened? Do you consider that there are barriers to trade which should be removed?

- What are your views on the frequency of updates of Regulation (EC) 1418/2007? Could this be updated more regularly, if so, how? To what extent should Regulation (EC) 1013/2006 or 1418/2007 be changed as part of the upcoming review process?

The project team mentioned other aspects that could be addressed, including:

- Current trends in waste streams and importing and exporting countries - Positive and negative effects of trade (from the environmental, health, social and economic

perspectives) - Measures to address concerns and those to address barriers to trade and the level at which measures

should be taken (e.g. global, regional, EU, national levels) The project team will take into account the above-mentioned elements when preparing the interviews and will adjust the approach depending on whether the interviewee is an EU or non-EU stakeholder. The project team understands that DG Trade relies on the expertise of the team to conduct the interviews in a fruitful manner and that the above listed questions are for illustrative purposes.

• China mission

It was agreed that DG TRADE will contact the EU delegation in China to inquire about the feasibility of

organising a mission in May (week of 6 May).

Questions to be asked will be broadly similar to those asked to other focus countries. In addition, China would

be asked to explain why it has put in place such strict requirements and to what extent it would see a need to

have internationally agreed standards.

DG ENV suggested to include the Ministry of Foreign Affairs to the list of stakeholders to be met. The Ministry

for Environment can provide further recommendations. DG TRADE suggested to meet with officials from

embassies (e.g. US) which are following the topic of Chinese restrictions closely

It would be valuable that the draft final report (to be submitted on 18 June) includes a report on the mission to

China. The project team indicated that if it is not possible to organise the mission in May, an alternative could

be found34.

3. Any other business

Should there be a need to extend the contract beyond August 2019, the project team will need to inform DG

Trade by the end of May/ beginning of June. A cover letter explaining why an extension is needed will be

required from the project team.

34 Note Milieu 18/04/19: Another alternative would be to organise the mission in week 26 starting 24 June.

Appendix D Presentation to the EU Waste Shipment Correspondents

50

APPENDIX D: PRESENTATION TO THE EU WASTE SHIPMENT CORRESPONDENTS

This appendix provides the slides presented to the meeting of the EU Waste Shipment Correspondents

on Friday, 13 September 2019.

Appendix D Presentation to the EU Waste Shipment Correspondents

51

Appendix D Presentation to the EU Waste Shipment Correspondents

52

Appendix D Presentation to the EU Waste Shipment Correspondents

53

Appendix E. China’s waste import policy

54

APPENDIX E: OVERVIEW OF CHINA’S EVOLVING POLICY ON WASTE IMPORTS

This Overview has been prepared drawing on information collected:

▪ from internet sources, including among other:

o Press releases from the State Council, The Ministry of Ecology and Environment

(MEE) Xinhua News Agency (the official state-run press agency)

o Articles from English language newspapers China Daily and the South China

Morning Post) and the China Global Television Network.

o International waste management publications, including the recycling trade

publications from Resource Recycling, Inc.

o Websites from trade associations, including the Bureau of International Recycling

(BIR)

▪ through consultation of the Basel Convention Regional Centre for Asia and the Pacific,

Beijing.

RELEVANT LEGISLATION

▪ The Law of the People's Republic of China on the Prevention and Control of Environmental

Pollution by Solid Waste (amended 2016) http://english.mofcom.gov.cn/article/policyrelease/internationalpolicy/200703/20070304471567.shtml

▪ The Measures for the Administration of Solid Waste Imports (2011; under revision) http://english.mee.gov.cn/Resources/laws/regulations/Solid_Waste/201111/P020111114599168815496.

pdf

▪ Joint Announcement No.39, 2017 on Solid Wastes Import Control Catalogues. http://www.e-to-china.com/tariff_changes/Policy_Focus/2017/0901/113481.html

The Joint Announcement No.39 entered into force on 31 December 2017, along with

simultaneous repeal of the Announcements No. 80 of 201435 and No. 3 of 2017. The Joint

Announcement No.39 made revisions in the three catalogues, i.e.

1. the “Catalogue of Restricted Imports of Solid Wastes that can be used as Raw Materials”

2. the “Catalogue of Solid Wastes for which Automatic Licence to Import is Granted”

3. the “Catalogue of Solid Wastes Forbidden to Import”,

These catalogues were adopted and are adjusted by:

▪ The Ministry of Ecology and Environment,

▪ The Ministry of Commerce

▪ The National Development and Reform Commission

▪ The General Administration of Customs

▪ Permitting requirements, included in the Management Rules on Environmental Protection and

Management of Restricted Imported Solid Waste to be Used as Raw Materials (2017.12.15).

OBJECTIVES OF THE IMPORT RESTRICTIONS

China’s stated overall objective for the import restrictions is to reduce environmental pollution. As

such they are part of a comprehensive national policy that aims to reduce pollution, targeting all

sources, not just waste.

Specific objectives of the waste import policies:

▪ To protect the environment from imports of recyclables that are contaminated, sometimes with

hazardous substances.

▪ To reduce the environmental and health impacts of waste management, by:

o promoting in-country waste management

35 http://www.aqsiq.gov.cn/xxgk_13386/jlgg_12538/lhgg/201501/t20150109_429944.htm (in Chinese only)

Appendix E. China’s waste import policy

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o tackling the growing volumes of domestic waste clogging the rivers or sitting

untreated in sprawling landfills that encircle major cities.

o increasing the recycling of domestic recyclable materials.

▪ To develop the domestic recycling, such that it can effectively recycle all domestically

generated waste.

▪ To encourage job growth in the recycling sector.

In restricting the import of waste, China states that it is aiming to uphold the Polluter Pays Principle.

These waste import policies are coupled with policies that aim to rule out poor recycling business

practices within China and to accelerate China’s domestic recycling industry.

Even before the import bans came into effect, the government cancelled the waste import permits of

960 companies in 2017 and shut down another 8,800 firms accused of violating restrictions on

imported scrap paper and plastic.

OVERVIEW OF THE PHASED-IN IMPORT RESTRICTIONS

The issue

China began importing solid waste as a source of raw materials in the 1980s and has been the world’s

largest importer, despite its weak capacity in waste disposal. Until recently, freighters that carried

China’s exports abroad, returned with scrap materials in their otherwise-empty containers.

It has processed at least half of the world’s exports of waste plastic, paper and metals. The US, along

with Britain, Germany, Japan and Mexico, were among the biggest exporters of scrap plastic to

China36.

The country adopted import regulations already in 2006 and 2010 already; however these were not

effectively enforced.

As such, China received materials labelled as “recyclables”, which contained too much contamination

to be effectively and efficiently recycled.

This illegal import of waste was very profitable for some companies but posed a threat to the

environment and public health. The recycling industry fell out of favour, due in part to corruption and

poor environmental practices, but also because Chinese officials did not want the country to be seen as

the world’s dumping ground.

Operation Green Fence

China formally announced its import intentions in a notice to the World Trade Organization in July

2017, and the ban went into force at the start of 2018 (see section 1.4.5 below). But events are going

back to the start of the country’s Operation Green Fence in February 2013 The operation was

launched, given rising public awareness of environmental protection and China's green development

drive, and consisted of intensive inspections of incoming loads of scrap material. The programme

targeted low-quality bales being shipped to China and resulted in a drop of recyclables imports.

This programme was in fact an effort to enforce the 2006 and 2010 import regulations.

The programme was officially planned to end in November 2013, but insiders already considered this

programme as an attempt to slowly close the country’s doors to contaminated materials.

36 https://www.theguardian.com/global-development/2018/oct/05/huge-rise-us-plastic-waste-shipments-to-poor-countries-

china-ban-thailand-malaysia-vietnam

Appendix E. China’s waste import policy

56

In November 2015, another, one-month, customs crackdown was organised, focussing on plastics.

Chinese authorities frame this effort as one looking to ensure Chinese scrap processors were handling

material according to the procedures laid out in their individual licenses. This initiative is seen as

different from Green Fence because it inspects importer practices and not loads on the dock.

Both customs crackdowns, Operation Green Fence and the November 2015 effort, resulted in an

improvement of the quality of the imported waste.

National Sword

Four years after Operation Green Fence, the China’s General Administration of Customs announced

in February 2017 another imports-enforcement campaign, targeting “foreign waste,” including

plastics, industrial waste, electronics and other household waste materials. The campaign was set to

last one year.

This action had a specific focus on halting smuggling operations, meaning those groups using illegal

permits to import materials. Inspection scrutiny was directed toward bales of low grade plastics as well

as paper with high moisture content.

The effort was part of a larger initiative, commonly referred to as National Sword, which also targeted

the smuggling, particularly by organized crime, of other products (such as agricultural products, drugs,

guns and more).

Enforcement action focussed initially on criminal activity, particularly permit fraud inside China. A

large number of arrests were made and significant quantities of foreign scrap material were

confiscated, in the first weeks of National Sword enforcement. However National Sword was also

used to assess overall material quality, not just the legality of permits used to import loads. Customs

officials checked every container entering the country at certain ports, which caused. The increase in

customs checks exercised, meant more delays for material shippers, and thus more time and costs.

Export fees paid by waste owners to shippers for shipments that cleared customs doubled over the

course of a few weeks as a result of National Sword enforcement, as shipments required extra time to

go through comprehensive checks.

Operation Green Fence and National Sword both cut the imported volumes significantly, in particular

the volumes of post-consumer mixed plastic imports. The cleaner material could still go through,

meaning companies with higher processing capabilities could still export, in contrast to companies

dealing only in low grades. However, for the high grade (clean and pelletised plastics) exporters could

rely easily on domestic markets for clean material.

The level of enforcement continued to increase in 2017, as efforts to inspect licensed recycling

companies that imported recyclables into China were strengthened, looking for evidence of pollution

control violations.

This new level of quality-focused enforcement came in the midst of the National Sword initiative,

which was framed as cracking down on smuggling operations and illegal import permits. Initially

industry players distinguished quality-focused inspections from the smuggling-focused National

Sword crackdowns. However, later on, National Sword became synonymous with the entire range of

policies slowing the flow of recyclables into the country.

Reduction in the number of new import permits

Many Chinese buyers were refused new import permits for any recyclable materials in the first half of

2017, which significantly slowed shipments to China, including shipments of materials not named in

the WTO ban filing, such as old corrugated containers (OCC). The prices of OCC dropped due to the

Appendix E. China’s waste import policy

57

lack of import permits. OCC was not named by China as a material that would be banned, but it was

impacted because import permits were not renewed.

The first 2018 import permits that were issued for Chinese importers, showed that plastic imports were

extremely limited. Fibre was approved for import at much larger quantities, but the approved tonnages

were consolidated among the largest fibre companies in China.

A ban underway

In April 2017, government officials announced a proposed enhancement of the regulations to

significantly reduce the categories and volume of waste imports, while some already suggested a ban

on solid waste imports by category. This for environmental reasons, but also to support the

development of China’s domestic recycling industry. With this announcement, it was already clear

then that preparations for a ban was underway.

The possible materials ban and the National Sword enforcement campaign were separate policies, but

it was however clear that they were connected.

Action plan to phase out waste imports

▪ The State Council issued on 18 July 2017 an action plan to ban waste imports and reform the waste import

management system to protect the environment and improve people’s health. Key provisions of the Notice

include the following: :

▪ Import bans:

o A target of comprehensively banning imports of waste that cause serious pollution by the end of

2017.

o A ban on importing items such as waste plastics, unsorted scrap paper and discarded textile

materials before the end of 2017.

o A gradual phase out of imports of waste that can be substituted by domestic resources by the end

of 2019.

▪ The Notice suggests a gradual decrease in the types and quantity of imported waste, lifting the import

threshold and improving related policies and mechanisms, including among other:

o An improvement of the import licensing system for waste.

o Strengthening inspection and enforcement.

▪ The Notice urged the related ministries and departments to continue cracking down on

smuggling of hazardous waste, medical waste, electronic waste and household waste.

▪ Efforts should be made to strengthen supervision, including investigating waste import

application, reducing approvals of import licenses, and controlling the amount of waste.

▪ Improvement of domestic waste management:

▪ Objective: to increase the amount of recycled domestic solid waste from 246 million metric tons in 2015 to

350 million tons by 2020.

o Regulation of waste processing industries

o Business should take more responsibility and make efforts to establish an international

cooperation mechanism and to explore new methods of waste recycling.

o Strengthening of research and development of waste recycling.

Notice of the General Office of the State Council on Issuance of the “Reform and Implementation Plan to

Enhance Solid Waste Import Management System by Prohibiting the Entry of Foreign Waste” having been

approved by the State Council, it is hereby issued to you for your diligent implementation, July 18, 201737

China filed then on 18 July 2017 a Declaration with the WTO (Committee on Import Licensing) on its

intent to ban 24 kinds of waste from import, including plastics waste, vanadium slag, unsorted waste

paper and waste textile materials by the end of 201738.

The filing followed the enforcement actions, which reportedly found large amounts of dirty or even

hazardous waste were mixed in the waste that can be used as raw materials. The filing stated that to

37 http://english.www.gov.cn/policies/latest_releases/2017/07/27/content_281475756814340.htm 38 https://www.wto.org/english/news_e/news17_e/impl_03oct17_e.htm

Appendix E. China’s waste import policy

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protect the environment and health, that the imported solid wastes list would be urgently adjusted and

that the import of highly polluted waste would be forbidden.

The WTO filing shook the international recycling industry, which feared that the country would

completely ban imports of some recyclables. China then still was a top downstream destination for

low-grade recyclables from a range of countries

The ban announcement was coupled with increased inspections of Chinese recycling facilities, which

found widespread violations of environmental rules. Several companies faced year-long import permit

revocations.

The first ban taking effect

As of 1 January 2018, China banned 24 types of waste, including among other:

▪ unsorted paper

▪ post-consumer plastic waste, such as the low-grade PET used in plastic bottles

▪ textiles

With this ban, China stopped accepting virtually any post-consumer plastic waste and unsorted scrap

paper from abroad.

Contamination limit policy

China adopted a contamination limit policy, which is separate from the ban on certain recovered

materials, that took effect on 1 January 2018. The contamination limit applies only to the materials not

covered by the ban, such as post-industrial scrap plastics, including production scraps, off-cuts and

regrind, which were not named in the ban on post-consumer plastic that took effect on 1 January 2018.

With the adoption of contamination limit policy, China severely curbed imports of other recyclables,

such as OCC and other higher-grade recovered fibre, through sharp quality standards, that took effect

in March 2018.

The policy was officially announced in November 2017, via a series of trade notifications with the

World Trade Organization. According to the announcement, most inbound loads of recyclables would

be allowed no more than 0.5 percent contamination, instead of the then existing official Chinese

standard of 1.5 percent. This 0.5 percent contamination standard represented a slight relaxation from

an initially proposed 0.3 percent limit.

It was understood that the 0.5% contamination limit would apply to paper grades, such as OCC,

newsprint and high grades, as well as to post-industrial plastic resins not specified in the ban that took

effect on 1 Jan. 2018. That means those grades may still be able to move if they are clean enough.

Exporting OCC and other fibre grades to China was thus made much more difficult, not only due to

the tighter quality standards which are challenging to meet, but also due to the increased inspections

and other restrictions (such as a restricted number of import permits).

On 1 March 2018, the 0.5% contamination limit in imported loads took effect for most recyclables that

are not banned outright. This contamination standard is so strict that the recycling industry often refers

to it as a ban.

It is true that since 2005, this level has officially been the limit for scrap plastic imports. For scrap

paper imports, and it is a relatively modest reduction from the previous, official 1.5% contaminant

limit. But the previous standard was not tightly enforced, and it is widely acknowledged that actual

Appendix E. China’s waste import policy

59

contamination in imports ran much higher. Chinese authorities stated however, that this time the

contamination limits would be firmly enforced.

Blue Sky

Customs officials announce mid-March 2018, Blue Sky, aimed at enforcing the import restrictions the

country implemented that year.

As such, the country initiated an operation to detect waste importing fraud, involving 15 international

organizations, including the World Customs Organization, the United Nations Environment

Programme, the International Criminal Police Organization, the Secretariat of the Basel Convention

and 75 solid waste importing and exporting countries and regions.

During the 64-day operation the organization worked together to prevent smuggling and blocked,

returned or seized 326,000 metric tons of solid waste, reported 214 illegal cases and issued 37

warnings39.

Blue Sky can be seen as further development of Green Fence and National Sword in the crackdown on

illegal scrap imports.

Additional import bans

− As of 1 January 2019

The Ministry of Ecology and Environment (MEE) announced 19 April 2018 that additional materials

would be banned from import by the end of the year. The Announcement stated that 16 types of solid

wastes were moved from the “Catalogue of Restricted Imports of Solid Wastes that can be used as

Raw Materials” to the “Catalogue of Solid Wastes Forbidden to Import”.

The list of 16 materials that were recategorised as materials banned from import, include among other:

▪ plastic waste (PE, PET, PS, PVC and other scrap plastic) from industrial sources.

▪ scrap metals, including among other:

o slag and residue from smelted steel and iron;

o a variety of metal and electrical appliance scraps including:

▪ small electric motors

▪ insulated wires and cables

▪ compressed scrap from cars

▪ waste ships

Together with the ban that took effect on 1 January, 2018, this ban means that all plastic waste, both

industrial arisings and post-consumer scrap, is prohibited to export to China

The ban does not include OCC or any other recovered fibre, indicating paper grades other than mixed

paper can still flow into China for the foreseeable future.

− As of 1 July 2019

The MEE announced on 21 December 2018 that as of the 1 July 2019, the following 8 types of waste

are moved from the “Catalogue of Solid Wastes for which Automatic License to Import is Granted” to

the “Catalogue of Restricted Imports of Solid Wastes that can be used as Raw Materials”:

▪ 6 varieties of iron and steel scrap

▪ Copper scrap

▪ Aluminium scrap.

39 The Maritime Executive, 19.05.2019, https://www.maritime-executive.com/article/china-s-imports-of-solid-waste-

continue-to-decline

Appendix E. China’s waste import policy

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− As of 1 January 2020

The Announcement issued by MEE on 19 April 2018 also includes a list of 16 more types of solid

wastes that will be banned by the end of 2019, including, among other:

▪ wood pellets

▪ scrap metals such as stainless steel, tungsten and magnesium. (Annex II to the Announcement)

Import of clean PET flake

The MEE announced mid May 2018 a number of regulatory changes related to scrap imports. The

MEE declared that clean PET flake will be allowed into the country, rather than being considered a

waste material that is banned from import along with unprocessed scrap plastic. The official notice

stated that imported PET flake that can meet certain specifications “can replace original raw material

for direct processing and utilization after import and shall not be regulated as solid waste.”

Zero solid waste imports goal

Initially, the Chinese announcement of the new policies was received with some scepticism, given the

country’s heavy dependence on imported recycled commodities to run its mills and manufacturing

plants and the subsequent shortage of domestic feedstock and soaring prices in China. However,

meanwhile it has become clear that China is following through these policies and is making them

gradually stricter.

According to the MEE, China will not loosen its policy and restrictions on the imports of solid waste.

The country is determined to significantly reduce the amount and types of imported solid waste and

basically realize the target of zero solid waste imports by 2020, except for high-quality material, i.e.

material that meets the requirements of China’s import standards and does not pose any health or

ecological risks. High quality material can be treated as common commodities, not waste, according to

the MEE. This proposal is discussed in more detail in the following table.

Zero solid waste imports by 2020

▪ The MEE released in July 2018 a proposal to completely ban imports of waste (including also recovered

paper) (as part of a draft document that laid out numerous regulations covering waste management). The

MEE40 confirmed, at a March 28 2019 press conference, the government’s plan to end almost all “solid

waste” imports by the end of this year, and would thus not relax the ban, given rising public awareness and

a green development drive.

▪ The MEE also rejected the view of some foreign companies and industry associations that China’s ban

doesn’t distinguish between resources and waste.

o The difference between those terms comes up in complaints about the country’s import

restrictions. The U.S. delegation to the World Trade Organization (WTO) highlighted this

concern in a statement at WTO committee meetings and urged China to “distinguish ‘waste’ from

recyclable materials and scrap before finalizing and implementing the draft law that would end

nearly all ‘solid waste” imports. The statement offered a definition of recyclables as materials that

have been “separated from the waste stream for recycling as a raw material” and are “saleable

items traded within a distinct global marketplace (i.e., they have an underlying economic value).”

o But the MEE differentiated at the press conference between what the Chinese government

considers waste and recyclables. The MEE pointed to processing as a key factor, although it is

unclear whether the MEE was referencing additional sorting to create a cleaner bale, or processing

scrap material into a usable form, such as plastic flake or pulping paper.

▪ The MEE furthermore stated that “raw materials generated from harmless processing of solid waste will

not be classified as solid waste if they meet China’s national quality standards and do not pose risks to

public health or ecological safety”. Such materials can be traded as general goods and their import will not

be affected by the ban. The ban may also include an exception for waste containing certain resources for

which no domestic alternative is available.

40 Qiu Qiwen, Head of the solid waste and chemical management department of the MEE.

Appendix E. China’s waste import policy

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Appendix E. China’s waste import policy

62

Summary overview of import restrictions

Catalogue Scope Announcement date

Effective date

1. Catalogue of Solid Wastes for which Automatic Licence to Import as Raw Materials is Granted (“the not restricted list”)

2. Catalogue of Restricted Imports of Solid Wastes that can be used as Raw Materials (“the restricted list)

A sharp 0.5% contamination limit (impurities content limits or quality thresholds) for most recyclables that are not banned outright, i.e. are not included in the Catalogue of Solid Wastes Forbidden to Import:

▪ post-industrial plastic resins

▪ paper grades, such as old corrugated cardboard (OCC), newsprint and high grades

1 March 2018

8 types of waste:

▪ 6 varieties of iron and steel scrap

▪ Copper scrap

▪ Aluminium scrap.

21 Dec 2018 1 July 2019

3. Catalogue of Solid Wastes Forbidden to Import

24 types of waste, including wastes such as:

▪ unsorted paper

▪ post-consumer plastic waste, such as the low-grade PET used in plastic bottles

▪ textiles

1 January 2018

16 types of waste, including wastes such as (Annex I to the Announcement):

▪ plastic waste (PE, PET, PS, PVC and other scrap plastic) from industrial sources.

▪ scrap metals, including among other:

▪ slag and residue from smelted steel and iron;

▪ a variety of metal and electrical appliance scraps including: o small electric motors o insulated wires and cables o compressed scrap from cars. o waste ships

April 2018 1 January 2019

16 types of waste, including, wastes such as:

▪ wood pellets

▪ scrap metals such as stainless steel, tungsten and magnesium. (Annex II to the Announcement)

April 2018 1 January 2020

Other products, such as scrap stainless steel and titanium Likely to be banned by the end of 2020, but no final decision yet.

Appendix E. China’s waste import policy

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INSPECTION OF WASTE IMPORTED AS RAW MATERIALS

“Designated Ports of Entry for Solid Waste Imports”

The General Administration of Customs and the MEE adopted Announcement No. 79 of 2018 “on the

publication of the “Catalogue of Designated Ports of Entry for Solid Waste Imports”

In order to further standardise the administration and management of solid waste imports and prevent

and control environmental pollution, all waste that the country allows to import, must enter the

country at one of the 18 ports of entry in the “Catalogue” and go through customs formalities. This

means a 100% inspection of recyclable scrap material at the ports.

Importers must fill in the code in the “Catalogue” when they apply for a waste import license.

Announcement No. 40 of 2013 of the General Administration of Customs of the People’s Republic of

China’s Ministry of Environmental Protection was simultaneously repealed.

The announcement came into effect on 1 January 2019.

Third-party pre-shipment inspection agencies

The General Administration of Customs (GAC) published approved lists of third-party pre-shipment

inspection agencies for solid waste imported as raw materials:

1. Announcement No. 163 "First list of approved pre-shipment inspection agencies for solid waste

imported as raw materials" (07.11.2018)

The 21 approved agencies are located in:

▪ Asia: Malaysia, the Philippines, Singapore, Kazakhstan, Thailand, South Korea, Japan,

“Hong Kong SAR, China”, “Macau SAR China” and Vietnam.

▪ Europe: the Netherlands, the UK, France, Germany

▪ North America: Canada, the USA

▪ Australia, New Zealand,

▪ Middle-East: the United Arab Emirates

▪ Africa

This first list of 21 approved Pre-Shipment Inspection Agencies (PSIAs) is dominated by China

Inspection and Certification Group (CCIC) offices, with only 2 independent PSIAs. Some PSIAs

are providing services only for exporters from the country in which the PSIA is located.

2. Announcement No. 2 (02.01.2019), with a second list of 4 approved agencies, all 4 being CCIC

offices.

The list is issued according to “Administrative Measures on Inspection and Quarantine of Solid

Wastes Imported as Raw Materials” and the “Implementation Rules for Pre-shipment Inspection

and Supervision of Imported Solid Wastes as Raw Materials”.

The types of materials that must undergo pre-shipment inspection include:

1. metal-containing wastes from metal melting, smelting and refining;

2. plastic waste and scraps;

3. recycled (waste) paper and cardboard;

4. metal and alloy waste;

5. mixed metal waste;

6. wood and cork waste.

Appendix E. China’s waste import policy

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The Chinese government issued in 2018 a decree that every load exported from the U.S. to China must

receive an in-person inspection prior to shipment. Previously, physical inspections were only

occasional, and companies in good standing were allowed to go through an expedited self-inspection

process. The new requirement and its quick imposition has industry insiders concerned there will be a

shortage of inspectors, increasing the amount of waiting time before inspections can occur.

China imposed a one-month suspension, from May 4 to June 4 2019, on CCIC North America’s

(CCICNA) preshipment inspection operations, meaning it could not issue certificates of inspection for

scrap commodities bound for China. CCICNA is the only agency approved in the United States to

perform such inspections to date, thus the suspension effectively stopped the export of scrap to China

in that period41. Mid May, the Chinese authorities announced that they allowed the Canadian branch

of the CCIC to inspect U.S. loads bound for China, effectively ending the month-long suspension of

pre-shipment inspections in the U.S.

IMPACT OF THE CHINESE POLICY

On exporting countries

With the rapid growth of the recycling sector worldwide, trade in recyclables increased significantly.

International trade in recycled material, which are a commodity, plays a crucial role in supplying the

world’s mills and factories.

With China being the world’s largest importer of recyclable materials, the import bans, together with

the very high quality thresholds in the Chinese scrap standards, pose significant challenges throughout

the supply chain of recyclable materials (households, municipalities, waste collectors, waste

processors and end users) and put great pressure on the scrap processing capacity of the global

recycling industry outside China.

China’s policy has revealed the scale of the global plastic waste crisis, which is that a significant

amount of plastic that is being discarded is currently not managed in an environmentally sound

manner. . The policy has challenged exporting countries to admit that recycling is not free. Consumers

may not be aware of this fact, or do not expect that their plastic waste is being shipped to Asia for

recycling. EU local governments, recycling companies and other operators are seeking other possible waste

export destinations for all the waste that previously went to China. In this regard, the update of the

Annex to Waste Shipment Regulation 1418/2007, identifying the provisions of destination countries,

becomes even more important.

Impacts of the Chinese import restrictions:

▪ The prices of plastic scrap collapsed, as did the price of low-grade paper. Suddenly, the lucrative

trade that had sprung up shipping recyclables around the world was in crisis. Many (international)

waste companies have lost significant revenues due to China’s policy, but new business

opportunities also rose, as mills outside of China were interested in buying the low priced

materials that could not be exported anymore.

41 https://www.scrap.org/home/all-scrap-articles/international-scrap-import-policy-changes#.XTHzI-j7RPZ

Appendix E. China’s waste import policy

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▪ In some countries that previously sent their materials to China, municipalities reduced their efforts

to collect recyclable waste, as they do not have a market for them, and have to identify incinerator

or landfill options for the waste which was previously collected separately as recyclable waste.

Waste collectors are limiting the types of materials they accept from households: no more plastics

(or only selected types, such as PET and HDPE), no more glass and no more mixed paper (such as

junk mail and cereal boxes). With China out of the market, the cost of managing recycling

programme has significantly increased.

▪ Bales of mixed paper and low grade plastic (poorly sorted, contaminated, or degraded) are being

stockpiled at recycling facilities, awaiting the development of new markets. In case these would

not develop to a sufficient size, it can be expected that many recyclable materials will end up in

landfills or incinerators. Already various countries, like Japan, are incinerating significant

quantities of waste that were previously exported.

▪ Scrap metal traders invest in facilities (e.g. a line to wash aluminium waste) to treat their waste

before it is sent to China, to meet the strict standards that China still accepts.

▪ Revenues from selling mixed waste to China which waste-management companies used to cross-

subsidise collection, dried up, hitting margins for waste-management companies.

▪ Waste is being recycled, but at a higher cost than the costs of shipping to China.

Some local authorities have been quicker to adapt to the new environment than others and have

expanded their local processing capacity. An example are some local authority-run centres that collect

recyclables in Adelaide, South Australia. The centres used to send nearly everything – ranging from

plastic to paper and glass – to China but now 80% is processed by local companies, with most of the

rest shipped to India42.

In the longer term though, the policy restrictions from China and the other East Asian countries can

also represent an opportunity for EU recycling industries and the promotion of the circular economy.

Indeed, countries are put under pressure to develop better solutions for managing waste, such as

expanding processing capacities and encouraging manufacturers to make their products more easily

recyclable.

“In the long term it will prove positive, because we will have to focus more on our own recycling capacity,”

says Karmenu Vella, European Commissioner for the Environment, Maritime Affairs and Fisheries. He

estimates that an additional 250 sorting facilities and 300 recycling plants will be needed by 2025. For

companies that make the necessary machines, sales are booming and order books have developed a backlog43.

Waste management companies will have to invest to strengthen domestic recycling of waste that

previously went to China and to strengthen their sorting capacity, if they want to continue exporting to

other countries than China, which have high quality standards.

The recycling industry had mainly advocated the free flow of recycled materials, with most the trade

flowing from developed to developing countries. However lately, voices in the recycling industry

started calling on governments to end plastic waste exports44 45.

Research Predicts Impacts of China’s Plastic Scrap Import Ban

A 2018 research article estimated that, if current trends continue, 111 million mt of plastic scrap worldwide will

need to find new markets between the end of 2017, when China imposed new scrap import restrictions, and

2030. The researchers calculated historic trends in plastic production and recycling, noting that “only 9 percent

of all plastic ever produced has been recycled”, and they called for “bold new ideas and system-wide changes”

to address this need, including more robust domestic recycling programs and rethinking both the design and use

of plastic products.

42 https://www.scmp.com/news/china/politics/article/3007280/how-chinas-ban-plastic-waste-imports-became-earthquake-

threw 43 https://www.ft.com/content/360e2524-d71a-11e8-a854-33d6f82e62f8 44 https://www.channel4.com/news/call-for-end-to-plastic-waste-exports 45 Plastic Packaging Plan, Achieving Zero Waste Exports, Policy Connect, January 2019

Appendix E. China’s waste import policy

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The Chinese import ban and its impact on global plastic waste trade, Amy L. Brooks, Shunli Wang and Jenna

R. Jambeck; Science Advances, 20 June 2018: Vol. 4, no. 6,

On other Asian countries

Plastic waste was redirected in huge quantities to Southeast Asia, where Chinese recyclers have

shifted. With a large Chinese-speaking minority, Malaysia was a top choice for Chinese recyclers

looking to relocate, and official data showed plastic imports tripled from 2016 levels to 870,000

tonnes last year46.

OECD countries are seeking new export destinations. The UK for example exported nearly two-thirds

of its plastic waste went to China and “Hong Kong SAR, China” in the period 2012-2017. Since China

only high-quality plastic scrap, British companies sought out other countries in Asia, in particular

Vietnam, Thailand, Malaysia, Taiwan, but also Pakistan (+78%), India (+37%) and Indonesia (+19%).

Exports to Turkey rose from 10,598 tonnes to 28,219 tonnes. In the EU, Poland faced the increased

import of waste from the UK.47

In the first six months of 2018, nearly half of plastic waste exported from the US for recycling was

shipped to Thailand, Malaysia and Vietnam, according to analysis of US Census Bureau data

by Unearthed, Greenpeace’s investigative arm. The previous year, the US sent more than 70% to

China and“Hong Kong SAR, China”48.

Exporting waste for recycling does not necessarily mean it actually gets recycled. Some of the waste is

low-grade. Waste firms in the receiving country may sift through the waste, take out the economically

valuable material and burn or dump the rest.

Some of these countries however do not have a regulatory framework to ensure plastic waste is

processed in an environmentally friendly way. They also do not have enforcement capacity in the

waste sector – nor the capacity to inspect the significant flow of materials diverted to their ports. Their

domestic recycling industries moreover are not able to process the increased flows. As a result, rather

than being recycled, the waste being left out in the open to rot, landfilled or possibly incinerated. Local

communities have seen more illegal burning as well as increased air and water pollution as a result.

Therefore, countries as Vietnam, Thailand and Malaysia are following China’s example, in an attempt

to cut the health and environmental impacts of existing import and recycling practices.

These countries have also started in 2018 to limit imports of a range of materials, including plastic.

They are enacting bans and inspection standards similar to those in China.

This tightening of the import rules for a range of materials has also been triggered by the

environmental concern regarding the illegal imports of e-waste.

A side-effect of the significant increase in scrap imports in these countries, is that demands to establish

more incinerators are being encouraged in Asia.

Following the steps taken by Malaysia, Thailand and Vietnam to limit plastic imports, the waste was

redirected to other countries with fewer restrictions, such as India, Indonesia and Turkey49, which in

turn also started to adopt restrictions.

46 https://www.scmp.com/news/china/politics/article/3007280/how-chinas-ban-plastic-waste-imports-became-earthquake-

threw 47 https://unearthed.greenpeace.org/2018/06/14/china-plastics-ban-malaysia-vietnam-poland/ 48 https://www.theguardian.com/global-development/2018/oct/05/huge-rise-us-plastic-waste-shipments-to-poor-countries-

china-ban-thailand-malaysia-vietnam

49 a recent report from Greenpeace and environmental NGO Global Alliance for Incinerator Alternatives.

Appendix E. China’s waste import policy

67

On China

− Quantities

The waste trade policies proved to be effective:

▪ China imported 22.6 million tonnes of waste in 2018, down 47% from 2017, and the restricted

solid waste imports fell 51.5%.

▪ The General Administration of Customs published in January 2019 data quantifying imports

from all countries. The trade statistics indicated the country’s recycled plastic imports fell by

99% and paper imports by a third in 2018 compared with 2017.

▪ According to the customs data, imports of plastic, paper, and metal waste totalled 2.65 million

tonnes for Jan.-Feb in 2019, down 22.9 % from the same period in 2018.50

− On the import of plastic pellets

A few traders, while many have gone bankrupt or left the industry, have capitalised on the change and

have shifted their focus to selling plastic pellets prepared in SE Asia (and other parts of the world)

from plastic waste – as the pellets are not covered by the waste ban – into China. Overnight, China

has transformed itself from being the world’s largest processor of plastic scrap to being the world’s

largest importer of plastic pellets. Demand for plastic pellets is higher than ever because

manufacturers still need them.

− On Chinese plastic recycling companies

Waste has always been one of China’s biggest environmental challenges. The country lacks the

infrastructure and a tradition of separate waste collection required to create a profitable business, and it

is now put under pressure to develop recycling capacity for its large amounts of domestic waste51.

The country has already launched a scheme to create “waste-free cities” and is building hundreds of

“comprehensive recycling bases” across the country52.

The recent policy changes in China also affect China’s plastic recycling companies that relied on

imported feedstocks. The waste import restrictions have deprived them about half the materials they

normally need to produce plastic pellets.

As a result:

1. About 60% of the Chinese recycling companies have shut down.

2. Over 1,000 Chinese recycling companies, 1/3 of China’s total, are already investing in Southeast

Asia, relocating their expertise, equipment and waste supply chains. They want to benefit from

cheap flows of plastic in the region before then re-exporting it back to China as recycled pellets.

The changes in the industry are reportedly in line with domestic policy goals to modernise waste

management, including by removing smaller, less viable companies from the market, leaving larger

and more advanced ones.

50 https://news.cgtn.com/news/3d3d414d77557a4e33457a6333566d54/index.html 51 This problem is also seen in “Hong Kong SAR, China”, which has yet to develop a mandatory waste sorting system and

recycling remains rudimentary. The government plans to implement waste charging at the end of 2020, a move that should

spur more responsible disposal. One of the current concerns is that scrap paper and cardboard will pile up following a

slashing of the price being paid by mainland recyclers. Elderly people who earned spare cash by collecting and selling it to

exporters may no longer find the task worthwhile and the waste is likely to end up in the city’s landfills. (Based on:

https://www.scmp.com/comment/opinion/article/3013620/china-must-heed-xi-call-tackling-waste) 52 https://www.straitstimes.com/asia/east-asia/china-plans-to-cut-waste-imports-to-zero-by-next-year

Appendix E. China’s waste import policy

68

With foreign material still the best option, some of China’s recycling companies hoped that moving to

in countries like Malaysia and Thailand would enable them to deliver processed foreign scrap to China

in a higher-grade form, meet their country’s new standard, but their shipments have faced delays.

The import restrictions that are now being adopted by the other Asian countries are also affecting the

Chinese recycling companies that moved their operations to these countries, as a response to China’

restrictions. As such, Thailand, Malaysia and Vietnam, also started tightening regulations. Malaysia

has not been accepting import permit applications since mid-May 2018.

Chinese companies are not only investing in Asia though. Unable to meet their demand for paper pulp

or plastic pellets at home, China’s biggest recycling companies are purchasing mills or plants in

America. Nine Dragons, China’s biggest maker of paper and cardboard, recently announced it is

buying two paper mills in the US, and plans to invest $300m in the facilities. Other Chinese recycling

companies have invested in recycling plants in Georgia, South Carolina, Alabama and

Kentucky53. (Interviews with stakeholders and others have also referred to Chinese investments in

Africa and other parts of the world.)

− On domestic waste management practices

In 2000, the government chose eight cities, including Beijing, Shanghai and Guangzhou, as pilots for

the waste sorting plan, but the slogans fell on deaf ears and there have been few signs of progress.

President Xi, Jinping first raised the issue in 2016, calling for a waste disposal system that separates

waste into categories and properly transports and processes it. A pilot programme was carried out in

46 locations and was extended in 2019 to all cities at prefectural level and above. The move coincided

with the country putting an end to recycling most materials from other countries, the practice seen as

being more polluting than profitable.

As part of the three major tasks Chinese President Xi, Jinping has set the nation to achieve by 2020,

China has adopted a new plan which aims to build a standard waste sorting system. He delivered a

long statement on June 3, 2019 about how the country needs to do better on sorting its waste, through

extensive education and guidance and effective supervision.

Consequently, China’s waste management policy and legislation are expected to continue to change.

Further changes in China’s policy and legislation for the import of non-hazardous waste may also

change further in coming years.

53 https://www.ft.com/content/360e2524-d71a-11e8-a854-33d6f82e62f8