Guidance on permitting and inspection of waste management ...

2011 FEE SCHEDULEVITAL STATSBirth and Death CertificatesBurial PermitsLogan County Health DistrictLast Revision7/1/2011Total FV AFC VSI CERT Revised$22.00 $1.50 $3.00 $9.00 $8.50 10/16/2009$3.00PRIVATE WATER SYSTEMSNew Construction or Conversion of PWSWell Permits ( Single Family)Well Permit ODNR - (Single/Non)New Construction or Conversion of PWSWell Permits (Non Single Family)Sealing (Single/Non Single) if not at same time of newAlteration (Single Family)Alteration (Non Single Family)Penalty Fee - drilled before permitGeneral Public Water SamplesReal Estate Water Samples 1stReal Estate Water Re-SampleInspection of Private Water System ContractorWater Hauler Registration/Vehicle InspectionLead $8.00 Voc's $80.00Copper $8.00 SOC (Group 1) $80.00Iron $8.00 Nitrate $9.00Arsenic $8.00 Nitrite $8.00Flouride $8.00REAL ESTATE SEPTIC INSPECTIONTotal State Local Revised$ 264.00 $ 244.00 $74.00 $170.00 2/1/2011included ↕ $20.00 $18.00 $2.00 10/16/2009$294.00 $ 274.00 $74.00 $200.00 2/1/2011$15.00 $0.00 $15.00 2/1/2009$50.00 $0.00 $50.00 2/1/2009$60.00 $0.00 $60.00 2/1/2009$50.00 $0.00 $50.00 2/1/2009$30.00 $0.00 $30.00 2/1/2009$60.00 $0.00 $60.00 2/1/2009$30.00 $0.00 $30.00 2/1/2009$50.00 $0.00 $50.00 7/1/2011$25.00 $0.00 $25.00 7/1/2011Special Water Samples - Current Lab Fee + one time fee $5.00 unless doing with a regular water sampleCurrent Lab Fees as of 2/1/2009For other pricing - CallAlloway Labs1-800-873-2835$90.00 Revised 1/30/2007Emergencies Exemptfrom Penalty FeesVariances-N/CReal Estate Well & Septic$150.00SEWAGE SYSTEMSTest Hole/Site Plan EvaluationHSTS Installation PermitSFOTS Installation PermitHSTS Alteration PermitSFOTS Alteration PermitHSTS Operational PermitSFOTS Operational PermitSpecific Use Household PRIVYTotal State Local Revised$225.00 $0.00 $225.00 2/1/2009$175.00 $25.00 $150.00 7/11/2007$175.00 $25.00 $150.00 1/1/2007$150.00 $0.00 $150.00 1/1/2007$150.00 $0.00 $150.00 1/1/2007$30.00 $0.00 $30.00 1/1/2007$30.00 $0.00 $30.00 1/1/2007$175.00 $25.00 $150.00 1/1/2007SEWAGE INSTALLERSRegistration FeeSCAVENGERSRegistration FeeRegistration Per VehicleTotal$75.00$75.00$5.00RevisedPLUMBINGCommercial Plumbing PermitCommercial Fixture/Traps (each)Plumbing PermitPlumbing Fixture/Traps (each)Plumbing Courtesy InspectionPlumbing Reinspection FeePlumbing Installer RegistrationLimited Plumber RegistrationSWIMMING POOLSFirst Public Swimming PoolFirst Public SpaTotal Revised Commercial Plan Review Revised$60.00 1/30/2009 1-5 Fixtures/Traps$50.00 1/30/2009$20.00 1/30/2009 6-20 Fixtures/Traps $100.00 1/30/2009$40.00 1/30/2009 21-80 Fixtures/Traps $200.00 1/30/2009$7.50 1/30/2009$25.00 1/30/2009$35.00 1/30/2009$75.00 1/30/2009$50.00 1/30/2009Total State Local Revised$382.00 72.00 $310.00 4/1/2011$497.00 72.00 $425.00 4/1/20117/1/2011

07030/2010/576173/SER/C2iiContent1. Orientation ............................................................................................................................... 71.1. Background and objectives ................................................................................................................. 81.2. Structure and use of the guidance ...................................................................................................... 92. Legal Requirements ................................................................................................................ 102.1. Legal requirements – EU legislation .................................................................................................. 112.2. Obligations of the Member States .................................................................................................... 132.2.1. Waste Framework Directive .............................................................................................................. 142.2.2. Landfill Directive and WAC Decision ................................................................................................. 192.2.3. RoHS Directive ................................................................................................................................... 222.2.4. WEEE Directive .................................................................................................................................. 232.2.5. RMCEI ................................................................................................................................................ 243. Waste Management Operations ............................................................................................. 253.1. Waste management operations covered by the Directives ....................................................... 263.2. Information on current existence of waste operations ............................................................. 273.3. Summary ................................................................................................................................ 314. Permitting and Registration .................................................................................................... 334.1. Permit /Registration system ................................................................................................... 344.2. Stages for permitting .............................................................................................................. 374.2.1. Application for a permit .................................................................................................................... 384.2.2. Assessment by competent authority ................................................................................................ 504.2.3. Issue of permit ................................................................................................................................... 584.2.4. Follow-up ........................................................................................................................................... 604.2.5. Training, cooperation, guidance ....................................................................................................... 635. Inspection and Monitoring ...................................................................................................... 665.1. Inspection and monitoring ...................................................................................................... 675.2. The inspection cycle ................................................................................................................ 69European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2iii5.2.1. Strategic Planning .............................................................................................................................. 715.2.2. Execution Framework ........................................................................................................................ 795.2.3. Realisation of Inspections ................................................................................................................. 835.2.4. Monitoring/Follow-up ....................................................................................................................... 865.2.5. Training and Networking ................................................................................................................... 906. WEEE and RoHS Enforcement .................................................................................................. 926.1. RoHS enforcement .................................................................................................................. 936.1.1. Awareness and information of stakeholders .................................................................................... 946.1.2. Risk assessment of EEE equipment ................................................................................................... 966.1.3. Controls and testing of equipment ................................................................................................... 976.2. WEEE Enforcement ............................................................................................................... 1006.2.1. Awareness and information for stakeholders ................................................................................. 1016.2.2. WEEE inspections planning, realisation and follow up ................................................................... 1046.2.3. Support of self-control activities and networks managed by the industry ..................................... 1087. Annex: Summary table on relevant information .................................................................... 110European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2ivList of tablesTable 3.2-1: Overview of waste treatment facilities according to [EUROSTAT 2010] .......................... 27Table 3.2-2: Overview of waste treatment facilities according to [PRTR 2010] ................................... 28Table 3.2-3: Overview of waste treatment facilities according to [IPPC 2006] .................................... 28Table 3.2-4: Overview of waste facilities in EU 15, 1999 [EEA 2001] ................................................... 30Table 4.2-1: Overview of information on applied authorisation categories ........................................ 39Table 4.2-2: Overview of authorisation categories applied to waste operations ................................ 41Table 4.2-3: Overview of authorities responsible for issuing permits ................................................. 43Table 4.2-4: Overview of aspects covered in registration/permit documents .................................... 45Table 4.2-5: Overview of information provided to the public .............................................................. 56Table 4.2-6: Best Practice Examples for issuing permits/registration .................................................. 59Table 4.2-7: Best Practice Examples for monitoring/follow-up ........................................................... 62Table 4.2-8: Overview of information on training/guidance and support ........................................... 63Table 4.2-9: Best Practice Examples for training/guidance/networking .............................................. 65Table 5.2-1: Best Practice Examples for strategic planning of inspections .......................................... 78Table 5.2-2: Best Practice Examples for execution framework ............................................................ 83Table 5.2-3: Inspection frequencies applied in EU Member States ..................................................... 85Table 5.2-4: Best Practice Examples for realisation of inspections ...................................................... 85Table 5.2-5: Best Practice Examples for monitoring/follow-up ........................................................... 89Table 5.2-6: Overview of information on training/guidance and support ........................................... 90Table 5.2-7: Best Practice Examples for training/guidance/networking .............................................. 91List of figuresFigure 3.3-1: Overview of waste management operations ................................................................... 32Figure 4.2-1: Steps for permitting procedures [inspired by: Ministry of Environment Hesse_2010] ... 37Figure 5.2-1: Environmental Inspection Cycle [inspired by: IMPEL DtRT II 2008] ................................. 70Figure 6.1-1: RoHS compliance labels as in use in the UK in 2007 ........................................................ 98European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 5List of acronymsCLP RegulationEC Directive on UrbanWaste Water TreatmentIPPC DirectiveLandfill DirectivePCB DirectiveREACH RegulationRecommendationproviding for minimumcriteria forenvironmentalinspections (RMCEI)RoHS DirectiveSeveso II DirectiveWAC DecisionRegulation (EC) No 1272/2008 of the European Parliament and of theCouncil of 16 December 2008 on classification, labelling and packaging ofsubstances and mixtures, amending and repealing Directives 67/548/EECand 1999/45/EC, and amending Regulation (EC) No 1907/2006 (OJ L 353,31.12.2008, p. 1)Council Directive 91/271/EEC of 21 May 1991 concerning urban wastewatertreatment (OJ L 135, 30.5.1991, p. 40)Directive 2008/1/EC of the European Parliament and of the Council of 15January 2008 concerning integrated pollution prevention and control(Codified version) (OJ L 24, 29.1.2008, p. 8)IPPC Directive will be replaced by the Industrial Emissions Directive (IED)Council Directive 1999/31 of 26 April 1999 on the landfill of waste (OJ L182, 16.7.1999, p. 1)Council Directive 96/59/EC of 16 September 1996 on the disposal ofpolychlorinated biphenyls and polychlorinated terphenyls (PCB/PCT) (OJ L243, 24.9.1996, p. 31)Regulation (EC) No 1907/2006 of the European Parliament and of theCouncil of 18 December 2006 concerning the Registration, Evaluation,Authorisation and Restriction of Chemicals (REACH), establishing aEuropean Chemicals Agency, amending Directive 1999/45/EC and repealingCouncil Regulation (EEC) No 793/93 and Commission Regulation (EC)No 1488/94 as well as Council Directive 76/769/EEC and CommissionDirectives 91/155/EEC, 93/67/EEC, 93/105/EC and 2000/21/EC (OJ L 396,30.12.2006, p. 1)RECOMMENDATION OF THE EUROPEAN PARLIAMENT AND OF THECOUNCIL of 4 April 2001 providing for minimum criteria for environmentalinspections in the Member States (2001/331/EC)Directive 2002/95/EC of the European Parliament and of the Council of 27January 2003 on the restriction of the use of certain hazardous substancesin electrical and electronic equipment (OJ L 37, 13.2.2003, p. 19) to bereplaced by Directive 2011/65/EU of the European Parliament and of theCouncil of 8 June 2011 on the restriction of the use of certain hazardoussubstances in electrical and electronic equipment (OJ L 174, 1.7.2011, p.88)Council Directive 96/82/EC of 9 December 1996 on the control of majoraccidenthazards involving dangerous substancesCouncil Decision 2003/33/EC of 19 December 2002 establishing criteria andprocedures for the acceptance of waste at landfills pursuant to Article 16and Annex II to Directive 1999/31/EC (OJ L 11, 16.1.2003, p. 27)Waste Incineration Directive 2000/76/EC of the European Parliament and of the Council of 4European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 6Directive December 2000 on the incineration of waste ( OJ L 332, 28.12.2000, p. 91)Waste ShipmentRegulation (WSR)WEEE DirectiveWFDBREFCECJEUEEAEEEEMASEPAEPRE-PRTREWCIMPELITLAMSNGOOECDPBBsPBDEsPCBTACWEEEXRFRegulation (EC) No 1013/2006 of the European Parliament and of theCouncil of 14 June 2006 on shipments of waste (OJ L 190, 12.7.2006, p. 1)Directive 2002/96/EC of the European Parliament and of the Council of 27January 2003 on waste electrical and electronic equipment (WEEE) (OJ L37, 13.2.2003, p. 24)Directive 2008/98/EC of the European Parliament and of the Council of 19November 2008 on waste and repealing certain Directives (OJ L 312,22.11.2008, p. 3)Best Available Techniques Reference DocumentConformité EuropéenneCourt of Justice of the European UnionEuropean Environment AgencyElectrical and Electronic EquipmentCommunity Eco-Management and Audit SchemeEnvironmental Protection AgencyExtended Producer ResponsibilitiesEuropean Pollutant Release and Transfer RegisterEuropean Waste CodeEuropean Union Network for the Implementation and Enforcement ofEnvironmental LawInformation technologyLocal AuthoritiesMember StatesNon-Governmental OrganisationsOrganisation for Economic Co-operation and Developmentpolybrominated biphenylspolybrominated diphenyl etherspolychlorinated biphenylsTechnical Adaptation CommitteeWaste electrical and electronic equipmentX-ray fluorescenceEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 71. OrientationEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 81.1. Background and objectivesProper implementation, application and enforcement of EU wastelegislation are key priorities of EU environmental legislation. It is theobligation of the EU Commission to ensure and oversee the properapplication of EU legislation according to the Treaty of the European Union.Enforcement of legislation is the corner stone to make legislation efficient. Itis one of the essential elements in the policy cycle, and is often situated inthe implementation and the monitoring phases. The success rate ofenforcement helps to assess if legislation is efficient or needs amending.The European Commission (DG ENV) therefore initiated a study regardingpermitting and inspection practices related to waste legislation in EUMember States. The overall aim of the study is to support and improve inparticular the implementation of the following EU waste legislation:The guidancedocument providespractical advice toimprove permittingand inspection ofwaste managementoperations coveredby the following EUlegislation:- WasteFrameworkDirective- Landfill Directiveand WACDecision- WEEE and RoHSDirectivesWaste Framework Directive (2008/98/EC)Landfill Directive (1999/31/EC) together with WAC Decision(2003/33/EC)RoHS Directive (2002/95/EC to be replaced by 2011/65/EU)WEEE Directive (2002/96/EC to be replaced in short notice)The specific study objectives are to prepare guidance documents and amanual for permitting (including classification issues) and inspections(including monitoring) of waste management operations.This guidance document addresses in particular the competent authoritiesinvolved in permitting and inspections. The document is divided intodifferent sections/chapters, especially distinguishing between the level ofpermitting (see chapter 4) and the level of inspections (see chapter 5). Theguidance document is accompanied by a manual.The purpose of the manual is to accompany the guidance document withproviding information on a more practical level. The key element of themanual is the provision of 20 best practice examples, elaborated on thebasis of existing permitting and inspection practice applied within the EUMember States. Further tools were elaborated to enhance the process ofpermitting and inspection, i.e. permitting and inspection checklists,Frequently Asked Questions, overview table for legal obligation, letter toadvice to announce inspections.----------------------------The accompanyingmanual is availableat:http://ec.europa.eu/environment/waste/framework/index.htmEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 91.2. Structure and use of the guidanceThe guidance document is prepared as an easy to follow guidance, includingthe following chapters:Legal requirements (Chapter 2):The section outlines the legal requirements (chapter 2.1) for permitting,classification, inspection and monitoring, based on the relevant EU wastelegislation (i.e. WFD, Landfill Directive and WAC Decision, RoHS and WEEEDirectives) and describes the legal obligations of the Member States(chapter 2.2).Waste management operations (Chapter 3):Chapter 3 includes information on the waste management operationscovered by the EU Directives and information on available statistics on theseoperations. The accompanying manual is developed as a summary oncategorization of the waste management operations covered within thisguidance.Permitting and registration (Chapter 4):Within this chapter the guidance on the permitting/registration procedureof waste management operations is provided, introducing a four stepsprocedure. Additional information about the current implementationpractice within EU Member States is provided, elaborating on the differentsteps of permitting/registration.Monitoring and inspection (Chapter 5):Chapter 5 provides guidance on monitoring and inspection of wastemanagement operations introducing the concept of the inspection cycleand elaborating on how to apply the steps within inspections/monitoringprocedures for waste management operations. Information on how EUMember States are implementing inspection procedures is also provided.Structure of theguidanceChapter 1OrientationChapter 2Legal requirementsChapter 3Waste managementoperationsChapter 4Permitting andregistrationChapter 5Monitoring andinspectionChapter 6WEEE and RoHSenforcementChapter 7AnnexWEEE and RoHS enforcement (Chapter 6):This chapter provides guidance concentrating on WEEE and RoHSenforcement and implementation of WEEE and RoHS requirements in EUMember States.Annex (Chapter 7):The annex includes a summary table of relevant information and furtherstudies regarding inspection and permitting.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 102. Legal RequirementsEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 112.1. Legal requirements – EU legislationThis chapter outlines the legal requirements for permitting, classificationinspection and monitoring, based on the relevant EU waste legislation,concerning the following documents:Directive 2008/98/EC of the European Parliament and of the Council of19 November 2008 on waste and repealing certain Directives (OJ L 312,22.11.2008, p. 3), referred to as Waste Framework Directive or WFD;Council Directive 1999/31 of 26 April 1999 on the landfill of waste (OJ L182, 16.7.1999, p. 1), last amended by Regulation (EC) No 1137/2008 ofthe European Parliament and of the Council of 22 October 2008 (OJ L311, 21.11.2008, p. 1), referred to as Landfill Directive;The Landfill Directive is complemented by the Council Decision2003/33/EC of 19 December 2002 establishing criteria and proceduresfor the acceptance of waste at landfills pursuant to Article 16 of andAnnex II to Directive 1999/31/EC (OJ L 11, 16.1.2003, p. 27), referred toas Waste Acceptance Criteria Decision or WAC Decision;Some waste treatment operations are subject to the scope of Directive2008/1/EC of the European Parliament and of the Council of 15 January2008 concerning integrated pollution prevention and control (OJ L 24,29.1.2008, p. 8) (the IPPC Directive); note that IPPC Directive is to bereplaced and repealed by Directive 2010/75/EU of 24 November 2010 onindustrial emissions (integrated pollution prevention and control) (OJ L334, 17.12.2010, p. 17) by 7.1.2014;Directive 2002/95/EC of the European Parliament and of the Council of27 January 2003 on the restriction of the use of certain hazardoussubstances in electrical and electronic equipment (OJ L 37, 13.2.2003, p.19), last amended by 2010/571/EU: Commission Decision of24 September 2010 (OJ L 251 , 25.09.2010 P. 28), RoHS Directive.The RoHS Directive has been recast and on 1 July 2011 published asDirective 2011/65/EU. The new RoHS Directive has to be implemented bythe Member States by 3 January 2013. The new RoHS includes, amongstothers, further applications (medical devices, monitoring and controlinstruments) and the necessity to apply CE marking to the products.However banned substances and tolerance levels stay the same.Reference in this guidance is made to Directive 2002/95/EC as the newDirective has to be implemented not before January 2013. Whererelevant, reference will be made to the differences between the actualand the new Directive.Legal requirementsfor permitting,classificationinspection andmonitoring arebased on thefollowing EU wastelegislation:- WasteFrameworkDirective- Landfill Directiveand WACDecision- WEEE and RoHSDirectivesAs some treatmentoperations fall underthe IPPC Directive,those requirementsare also considered.For inspections alsoRMCEI is ofimportance.---------------------------AbbreviationsIPPC: IntegratedPollution Preventionand ControlRoHS: Restriction ofHazardousSubstancesRMCEI:Recommendation forMinimum Criteria forEnvironmentalInspectionWFD: WasteFramework DirectiveWAC: WasteAcceptance CriteriaWEEE: WasteElectrical andElectronic EquipmentEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 12Directive 2002/96/EC of the European Parliament and of the Council of27 January 2003 on waste electrical and electronic equipment (WEEE)(OJ L 37, 13.2.2003, p. 24), last amended by Directive 2008/112/EC of theEuropean Parliament and of the Council of 16 December 2008 (OJ L 345,23.12.2008, p. 68), referred to as WEEE DirectiveNote that in December 2008, the Commission submitted proposals torecast the WEEE and RoHS Directives and these proposals are currentlysubject to co-decision procedures. The recast procedure for the RoHSDirective is in a developed stage and the recasts version is expected tobe published soon. The Parliament voted in first reading on 3 February2011, the Council reached Political Agreement on 14 March 2011.Negotiations for an agreement are expected to take place in the secondhalf of this year 2011. After publication, an implementation time-span ofpresumably 18 months after publication in the Official Journal may beoffered to the Member States. Due to this chronology, the recast versioncannot yet be taken as basis for developing the guidance and manual.Recommendation of the European Parliament and of the Council of 4April 2001 providing for minimum criteria for environmental inspectionsin the Member States (OJ L 118, 27.4.2001), referred to as RMCEI, andthe following Communication from the Commission of 14 November2007 (COM 2007/707).Note: The legal section describes the requirements on the EU level based onthe relevant EU legislation. However, the implementation on the nationallevel (national legislation) is the key element when implementing theguidance and the accompanying manual by national permitting/inspectionsauthorities.Legal requirementsfor permitting,classificationinspection andmonitoring arebased on thefollowing EU wastelegislation:- WasteFrameworkDirective- Landfill Directiveand WACDecision- WEEE and RoHSDirectivesAs some treatmentoperations fall underthe IPPC Directive,those requirementsare also considered.For inspections alsoRMCEI is ofimportance.---------------------------AbbreviationsIPPC: IntegratedPollution Preventionand ControlRoHS: Restriction ofHazardousSubstancesRMCEI:Recommendation forMinimum Criteria forEnvironmentalInspectionWFD: WasteFramework DirectiveWAC: WasteAcceptance CriteriaWEEE: WasteElectrical andElectronic EquipmentEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 132.2. Obligations of the Member StatesGeneral obligationsGenerally, Member States are obliged to take the measures necessary toensure that the Directive is fully effective, in accordance with the objectivewhich it pursues. This obligation exists even if not mentioned in theDirective itself explicitly, following Article 4(3) of the Treaty on the EuropeanUnion as amended by the Treaty of Lisbon (Ex-Article 10 EC Treaty).The exact impacts of the obligations – and possible challenges – arising forthe Member States from the different Directives have to be described n thecontext of the content of the Directives. Thus, for each Directive in thefollowing paragraph the following steps are taken:Background and objectives of the Directives are outlined to indicatethe framework which defines conditions and benchmarks forpermitting and inspections;Obligations forpermitting of wastemanagementfacilities and forinspection andmonitoring- Explicitobligations set inEU wastelegislationand- General bindingobligations totake allmeasuresnecessary toachieve theresult prescribedby a Directive(EU Treaty)The provisions of the relevant Directives explicitly related topermitting, classification, inspections and monitoring are identified.Case law applicationThe Court of Justice of the European Union (CJEU) had several opportunitiesto clarify the extent of Member States’ obligations with respect to theenforcement of European waste legislation:In the case C-129/96 (Inter-Environnement Wallonie ASBL v Régionwallonne), the CJEU stated with further references to prior case-law that“[…] the obligation of a Member State to take all the measuresnecessary to achieve the result prescribed by a Directive is a bindingobligation imposed by the third paragraph of Article 189 of the Treaty(…). That duty to take all appropriate measures, whether general orparticular, is binding on all the authorities of Member States including,for matters within their jurisdiction, the courts”In the case C-392/99 (Commission of the European Communities vPortuguese Republic) the Court held that if a Directive asked for periodicalinspections, it was not enough that there was a possibility that anyestablishment could be inspected at any time.In case C-494/01 (Ireland), the Court pointed out that“Member States have the task of making sure that the permit system setup is actually applied and complied with, in particular by conductingappropriate checks for that purpose and ensuring that operations carriedout without a permit are actually brought to an end and punished.”---------------------------AbbreviationsMS: Member StateCJEU: The Court ofJustice of theEuropean UnionEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 142.2.1. Waste Framework DirectiveScope and backgroundThe WFD represents the cornerstone of the EU waste managementlegislation, containing the scope of EU waste management legislation,setting strategic aims and basic principles, introducing definitions as well asobligations for MS. The Directive contains explicit obligations for permittingof waste management facilities and for inspection and monitoring which aregenerally applicable in the entire area of waste management, unlessexcluded from the scope (Article 2(1) and (2) WFD) ormore precisely regulated by specific legal documents (see particularlyArticle 2(4) WFD).PermittingAlthough not explicitly defined, the term “permit” is used in Chapter IV“Permits and registrations” of the WFD. The Chapter deals with the issuingof permits, undertakings and operations subject to permit requirements,and substantial conditions for permits as well as with registrations forcertain undertakings.Who is subject to permitting under the WFD?Article 23(1) WFD defines that“any establishment or undertaking intending to carry out wastetreatment”is subject to permit obligations; waste treatment being defined in Article3(14) WFD as “recovery or disposal operations, including preparation priorto recovery or disposal”. Member States may exempt waste recoveryestablishments or undertakings and waste disposal establishments orundertakings in case of own non-hazardous waste at the place of production(Article 24 WFD). In that case, general rules have to be laid down by thatMember State (Article 25(1) and (2) WFD). Information about theapplication of general rules within the MS is included in chapter 4.2.1.WFD contains:- Scope of EUwastemanagementlegislation- Strategic aims- Basic principles- Main definitions- Main obligationsPermitting – whoneeds it?- Establishment orundertakingcarrying outwaste treatment- MS may exemptwaste recoveryoperation anddisposal of nonhazardouswasteat place ofproductionRegistration – whoneeds it?- Professionalcollectors- Transporters- Dealers /brokers- Facilitiesexempted frompermitobligationsAccording to Article 26 WFD, the following are subject to registration byMember States:professional collectors,transporters,dealers/brokers,---------------------------Reference- Art. 23 – 26 WFDwaste management facilities exempted from permit requirements.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 15What has to be considered when taking a permit decision?When preparing a decision on whether a certain treatment operation shouldbe permitted or not the following requirements of the WFD should beconsidered:Article 4 WFD: The waste hierarchy in the following order:• prevention;• preparing for re-use;• recycling;• other recovery, e.g. energy recovery; and• disposaldefines a priority order of what constitutes the best overall environmentaloption in waste legislation and policy. Prevention of waste, i.e. reducing thequantity, adverse impacts and hazardousness of waste, is the main priority,followed by preparing for re-use and recycling. The hierarchy has to betaken into account when granting permits. Departure from the wastehierarchy is possible for specific waste streams, when justified by life-cyclethinking on the overall impacts of the generation and management of suchwaste (Article 4(2) WFD).Waste FrameworkDirectivePermit decision:- Shall considerthe wastehierarchy- Shall facilitaterecoveryoperations andseparatecollection- Shall promotepreparing for reuse- Shall supportintegrated andadequatenetwork ofinstallationsArticle 10 WFD: Member States shall take the necessary measures toensure that waste undergoes recovery operations and - wherenecessary to facilitate or improve recovery - waste shall be collectedseparately if technically, environmentally and economically practicableand shall not be mixed with other waste or other material withdifferent properties. It might also be considered in the permit whetherrecovery installations fulfil the end of waste criteria set at EU orMember State level.Article 11 WFD: EU Member States shall take measures to promote reuseof products and preparing for re-use activities as well as takemeasures to promote high quality recycling, shall set up separatecollections of waste where technically, environmentally andeconomically practicable and appropriate to meet the necessary qualitystandards for the relevant recycling sectors.Article 16 WFD: Member States shall take measures to establish anintegrated and adequate network of waste disposal and waste recoveryinstallations and shall cooperate where necessary with other MS.Note: Besides the listed EU requirements, national legal requirements andnational/regional policy have to be taken into account when making adecision on the permitting of a certain waste management operation, e.g.certain policy on bio-waste or recycling management may facilitate therejection of issuing permits for treatment options which are not in line with---------------------------Reference- Art. 4, 11, 10, 16WFDEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 16this national policy.What procedural and substantial requirements are set by the WFD forpermits?The following procedural requirements for permits are set by the WFD:Article 23(2) WFD: Permits may be granted for a specific period and maybe renewable;The following substantial requirements are set by the WFD:Article 23(1) (a) to (f), lists a number of parameters which are necessarypart of each permit in the sense of Article 23 (“minimum content”)• the types and quantities of waste that may be treated;Waste FrameworkDirectiveProceduralRequirements:- Art. 23(2) and23(5)SubstantialRequirements:- Art. 23(3), Art.23(4) and Art. 27• for each type of operation permitted, the technical and anyother requirements relevant to the site concerned;• the safety and precautionary measures to be taken;• the method to be used for each type of operation;• such monitoring and control operations as may benecessary;• such closure and after-care provisions as may be necessary.Article 23(3) clarifies that the MS authority shall refuse to issue thepermit if the intended method of treatment is unacceptable from thepoint of view of environmental protection, in particular when themethod is not in accordance with Article 13;Article 23(4) lays down minimum requirements for incineration/coincinerationfacilities (“It shall be a condition of any permit coveringincineration or co-incineration with energy recovery that the recovery ofenergy take place with a high level of energy efficiency”);Article 23(5) WFD: Permits under waste management regime may becombined with any permit produced pursuant to other national orCommunity legislation in order to form a single permit, provided thatthe applicable requirements are complied with, where such a formatobviates the unnecessary duplication of information and the repetitionof work by the operator or the competent authority.Article 27 clarifies that the adoption of minimum standards fortreatment activities which require a permit is possible at EU level bycomitology procedure when there is evidence that a benefit in terms ofthe protection of human health and the environment would be gainedfrom such minimum standards.Classification issues---------------------------Reference- Art. 23 and 27WFDClassification issues are understood by the WFD both with respect to theEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 17classification of a treatment operation as disposal or recovery (see recital19) and with respect to the classification of waste.Whereas the distinction of an operation is mainly to be made alongside thedefinitions of “recovery” and “disposal” in Article 3(15) and (19) WFD, thecentral provision for classification of waste is Article 7 which refers to theEuropean Waste List laid down in Decision 2000/532/EC.Inspection and monitoringAlthough not explicitly defined in any of the Directives, the term“inspection” / and “monitoring” with regard to obligations for authorities isused in Article 34(1) to (3) WFD, setting requirements for inspections.Following this provision:Waste FrameworkDirectiveInspection andmonitoring of:- Waste treatmentoperations- Waste collection- Waste transport- Broker anddealer- Hazardous wasteproductionestablishments or undertakings which carry out waste treatmentoperations (note again the definition of Article 3(14) WFD)establishments or undertakings which collect or transport waste on aprofessional basis,brokers and dealers, andestablishments or undertakings which produce hazardous wasteshall be subject to appropriate periodic inspections by the competentauthorities.Article 34(2) WFD stipulates that inspections concerning collection andtransport operations shall cover the origin, nature, quantity and destinationof the waste collected and transported. According to Article 34(3) WFD,Member States may take account of registrations obtained during theCommunity Eco-Management and Audit Scheme (EMAS), in particularregarding the frequency and intensity of inspections.Overlaps with other DirectivesIt is important to note that a number of waste management facilities maybe subject to additional permit and inspection requirements pursuant to:Specific waste legislation (e.g. Landfill Directive, see below; a specificcase are controls under the Waste Shipment Regulation (WSR) followingthe MS obligations as of Article 50 WSR which is identical to theobligation of the WFD as concerns controls of waste treatment facilities);Other environmental legislation such as IPPC Directive, which specifiespermitting and inspection/monitoring obligations and that e.g. emissionand air control laws.On the one hand, experiences made in those other fields can provide usefulinput when elaborating best practice examples, on the other hand,---------------------------Reference- Art. 34(1) to (3)European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 18questions of co-operation of concerned authorities are raised.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 192.2.2. Landfill Directive and WAC DecisionScope and backgroundThe Landfill Directive is intended to prevent or reduce the adverse effects ofthe landfill of waste on the environment. It applies to all landfills, defined aswaste disposal sites for the deposit of waste onto or into land. The Directivedefines the different categories of waste (municipal waste, hazardouswaste, non-hazardous waste and inert waste); accordingly, landfills aredivided into three classes:landfills for hazardous waste;landfills for non-hazardous waste;Landfill Directiveand WAC DecisionThe Landfill Directivecontains:- Division intothree classes oflandfills- Standard wasteacceptanceprocedures- Definition oflandfillslandfills for inert waste.A standard waste acceptance procedure is laid down so as to minimize risksarising from the operation of landfills:a number of wastes must not be accepted at landfills;waste must be treated before being landfilled;hazardous waste within the meaning of the Landfill Directive must beassigned to a hazardous waste landfill;landfills for non-hazardous waste must be used for municipal waste andfor non-hazardous waste;landfill sites for inert waste must be used only for inert waste.Annex II to the Landfill Directive and the WAC Decision provide for detailedfurther acceptance criteria, including limit values for a number ofparameters.PermittingLandfills are defined in the Landfill Directive as“a waste disposal site for the deposit of the waste onto or into land (i.e.underground), including:internal waste disposal sites (i.e. landfill where a producer of waste iscarrying out its own waste disposal at the place of production), anda permanent site (i.e. more than one year) which is used for temporarystorage of waste, but excluding:• facilities where waste is unloaded in order to permit itspreparation for further transport for recovery, treatment ordisposal elsewhere, and---------------------------Reference- Landfill Directive• storage of waste prior to recovery or treatment for a period lessEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 20than three years as a general rule, or• storage of waste prior to disposal for a period less than one year.”Installations fulfilling this definition usually are subject to permit obligationsunder the WFD, and, since landfilling is a disposal operation, might only beexempted from permit requirements in case of own non-hazardous waste atthe place of production (Article 24 WFD). The Landfill Directive provides fordetailed procedural and substantial requirements as regardsapplication for a permit (Article 7 Landfill Directive);conditions of the permit (Article 8 Landfill Directive);Landfill Directiveand WAC DecisionPermit for:- All landfills- IPPC permit, if >10 t/day or25,000 t capacity(not for inertlandfill)content of the permit (Article 9 Landfill Directive).If meeting the requirements of Annex I, point 5.4 of IPPC Directive(“receiving more than 10 tonnes per day or with a total capacity exceeding25,000 tonnes, excluding landfills of inert waste”), landfills are subject topermits under the IPPC Directive. Article 7 Landfill Directive containsrequirements for the application to a permit. The conditions of the permitare stipulated in Article 8 Landfill Directive:Requirement set for:- Permitapplication- Permitconditions- Permit contenta. the competent authority does not issue a landfill permit unless it issatisfied that:i. the landfill project complies with all the relevant requirements ofthis Directive, including the Annexes, where applicable;ii.iii.iv.the management of the landfill site will be in the hands of anatural person who is technically competent to manage the site;professional and technical development and training of landfilloperators and staff are provided;the landfill shall be operated in such a manner that the necessarymeasures are taken to prevent accidents and limit theirconsequences;adequate provisions, by way of a financial security or any otherequivalent, on the basis of modalities to be decided by MemberStates, has been or will be made by the applicant prior to thecommencement of disposal operations to ensure that theobligations (including after-care provisions) arising under thepermit issued under the provisions of this Directive are dischargedand that the closure procedures required by the Landfill Directiveare followed. This security or its equivalent shall be kept as long asrequired by maintenance and after-care operation of the site.Member States may declare, at their own option, that this pointdoes not apply to landfills for inert waste (note that MS maydecide according to Article 3(4) Landfill Directive that this---------------------------Reference- Art. 7 – 9 LandfillDirectiveEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 222.2.3. RoHS DirectiveScope and backgroundThe RoHS Directive aims to approximate the laws of the Member States asregards the prohibition of the use of certain hazardous substances indomestically produced or imported electrical and electronic equipment(EEE), approximating national legislation across Member States to ensurethe free movement of goods. By this, the Directive aims at contributing tothe protection of human health and the environmentally sound recoveryand disposal of waste electrical and electronic equipment (WEEE). Thehazardous substances which presence in products and in productionprocesses shall be minimised are (currently) lead, mercury, cadmium,hexavalent chromium, polybrominated biphenyls (PBBs) andpolybrominated diphenyl ethers (PBDEs), while tolerance levels and certainuses specified in the Annex to the RoHS Directive are allowed (annex II fortolerance levels, III and IV for exempted applications in the new Directive).Permitting and classification issuesRoHS DirectivePermit:Not subject, asDirective addressesproducts (notprocesses)Inspection andmonitoring:- Not explicitlyspecified- Enforcementclosely related toenforcement ofREACH and POPsRegulationPermitting and classification issues are not subject of the RoHS Directive.Inspection and monitoring / overlaps with other DirectivesThe RoHS Directive contains in its Article 8 the provision explicitly andspecifically relating to Member States’ obligations for determining penaltiesapplicable to breaches of the national provisions adopted pursuant to thisDirective. The penalties thus provided for shall be effective, proportionateand dissuasive. No specific obligations relate to inspection and monitoring.However, in this context, it should be emphasized that in contrast to theother documents investigated in the framework of this project, theobligations as of RoHS Directive do in the first place not concern wastetreatment facilities, waste holders or waste producers, but themanufacturers of EEE. Inspections and monitoring of RoHS Directive may beexecuted with respect to WEEE, but might also occur related either toproduction facilities or with respect to EEE before it becomes waste. By this,the enforcement of the RoHS Directive is closely related to the enforcementof the REACH Regulation or specific substance-related regulation, such asthe POPs Regulation. In the new RoHS Directive, Article 16 introduces theconcept of presumption of conformity for EEE being tested on introductionand bearing the CE mark ("Conformité Européenne"). Article 18 requestsMember States to carry out market surveillance in accordance with theRegulation (EC) No 765/2008 on setting out the requirements foraccreditation and market surveillance relating to the marketing of products.Article 23 imposes (as in the actual Article 8) Member States to lay downthe rules to penalise infringements that have to be effective, proportionateand dissuasive.---------------------------Abbreviations:EEE: Electrical andElectronic EquipmentPOP: PersistentOrganic PollutantREACH: Registration,Evaluation,Authorisation andRestriction ofChemicalsEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 232.2.4. WEEE DirectiveScope and backgroundThe WEEE Directive aims to prevent WEEE, and where this is not possibleto recycle and recover it to reduce its disposal and to reduce the negativeenvironmental impacts of WEEE through proper treatment of collectedWEEE. It requires Member States to ensure that collection and treatmentschemes are set up and set minimum collection targets to increaseseparate collection and also makes producers responsible for the financingof the WEEE management. The Directive thus aims at enhancing efficientcollection, treatment and “design for recycling”.PermittingAdditional WEEE requirements are set for those waste treatmentestablishments for which permits are necessary under WFD and which aretreating WEEE, namely Article 6(4) WEEE Directive, which requires that allpermits have to consider the necessary elements to comply with WEEErequirements (e.g. the removal of all fluids and selective treatment inaccordance with Annex II, technical requirements set out in Annex III, andensure recovery according to Article 7).WEEE DirectivePermit:Including necessaryelements to complywith WEEE DirectiveInspection andmonitoring:- On-siteinspections ofWEEE treatmentfacilities- Consideringminimumstandards oninspections- Inspections forfacilitiesexempted forregistration atleast once a yearInspection and monitoringIn Article 16 of the WEEE Directive, it is generally emphasised that MemberStates are obliged to undertake inspections and monitoring in the fieldcovered by the scope of the Directive, a provision which is supported byRecital 23 of the Directive, referring to Recommendation 2001/331/EC ofthe European Parliament and of the Council providing for minimum criteriafor environmental inspections in the Member States (see Chapter 4.5).Further, Article 6(2) WEEE Directive provides that for derogations frompermit requirements under Article 24(b) WFD, specified inspections in therespective recovery facilities are a precondition. In this regard thecompetent authority shall carry out an inspection before the registrationverifying:the type and quantities of waste to be treated;the general technical requirements to be complied with;the safety precautions to be taken.The inspection shall be carried out at least once a year and the results shallbe communicated by the Member States to the Commission.---------------------------Reference- Art. 6 and 16WEEE DirectiveFurther reading- The manualincludes asynoptic table inChapter 4,providing anoverview of thelegalrequirementsEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 242.2.5. RMCEIScope and backgroundThe Recommendation 2001/331/EC providing for minimum criteria forenvironmental inspections (RMCEI) was established to strengthencompliance with, and to contribute to a more consistent implementationand enforcement of Community environmental law in all MS. The RMCEIwas adopted by the European Parliament and the Council in 2001.The RMCEI establishes general guidelines for environmental inspections ofinstallations and other enterprises and facilities whose air emissions, waterdischarge or waste disposal or recovery activities are subject toauthorisation, permit or licensing requirements under Community law(‘controlled installations’), without prejudice to specific inspectionprovisions in existing Community legislation. The minimum criteria concern:RMCEIRecommendation2001/331/EC providingfor minimum criteria forenvironmentalinspections (RMCEI)establishes generalguidelines on how toplan, perform, reportand investigate onenvironmentalinspections ofinstallations, enterprisesand facilities.the establishment of plans for environmental inspections,the performance of inspections,the reporting on inspections, andthe investigation serious accidents, incidents and occurrences of noncompliance.Obligations of Member StatesEnvironmental inspection tasks should be carried out in the MS, accordingto minimum criteria to be applied in organising, carrying out, following upand publicising of the results of such tasks, thereby strengtheningcompliance with, and contributing to a more consistent implementation andenforcement of Community environmental law in all MS.Implementation in the Member StatesMS have to report to the Council and the European Commission on theimplementation of the RMCEI, on the details of environmental inspectionmechanisms and on their experience. Based on those MS reports andfurther contributions from i.e. IMPEL and EEA the Commission presented animplementation report to the European Parliament and the Council (COM2007/707), summarising the information available and including informationon operation and effectiveness of RMCEI. The report concluded that someMS have already achieved a high level of implementation of the RMCEI andthat, although very few countries appear to fully apply theRecommendation, it seems to have had a positive impact on the inspectionsystem in most countries inducing reform in their inspection systems as aresponse to the Recommendation.---------------------------Reference- [2001/331/EC]“Recommendation of theEuropean Parliament andof the Council of 4 April2001 providing forminimum criteria forenvironmental inspectionsin the Member States”- Communication from theCommission of 14/11/2007on the review ofRecommendation2001/331/EC [COM (2007)707 final]Annex to [COM 2007/707]“Report on theimplementation ofRecommendation2001/331/EC providing forminimum criteria forenvironmentalinspections”European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 253. Waste Management OperationsEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 263.1. Waste management operations covered by the DirectivesThe guidance documents on permitting and inspections and theaccompanying manual should in particular focus on the most relevantwaste management operations. Therefore, this chapter aims at identifyingthe most relevant facilities and sites in the light of their relevance related tothe Directives in focus of the study (WFD, Landfill, RoHS and WEEEDirectives), and if possible, in relation to their current existence in the EU.The following paragraphs document the waste operations covered by theDirectives and analyses available data regarding the existence of wastefacilities and sites. The chapter closes with an overview on the wastemanagement operations addressed by this guidance.Article 3 WFD defines the principle terms of waste management. Accordingto this definition waste management means the “collection, transport,recovery and disposal of waste”. Further, Article 4 WFD introduces thewaste hierarchy promoting waste prevention, followed by preparing for reuse,recycling, other recovery (e.g. energy recovery) and disposal. Thus, thecomplete set of waste management operations is covered by the WFD,including:gathering of waste or separated waste streams, including preliminarysorting and storage (collection, separate collection)checking, cleaning and repairing (preparing for re-use)preparation prior to recovery or disposal operationreprocessing of waste into products/materials or substances (recycling)incineration with energy recovery, backfilling and other recovery notdefined as recycling (other recovery)Waste managementoperations covered byRoHS by WFD and WEEEElectrical Complete and set ofElectronic waste management Equipmentcontaining operations hazardous including:substances:- Collection- Transport- on site ofRecoveryproduction and in- the Disposal distributionchain (RoHS)- site of wasteincluding all wasteoperations (WEEE)Waste managementoperations coveredby LD:Landfills as “waste---------------------------disposal sites for theReferencesdeposit of the wasteonto or into land (i.e.EUROSTAT 2010:underground)”Waste treatmentfacilities at countrylevel, 2004, 2006available at:http://epp.eurostat.ec.europa.eu/portal/page/portal/waste/data/wastemanagement/waste_treatmentPRTR 2010: The Pollutantand Transfer Registeravailable at:http://prtr.ec.europa.eu/incineration and landfilling (disposal).Annex I and II to the WFD set out a non-exhaustive list of recovery anddisposal operations (R and D codes).The Landfill Directive and the WAC Decision set the conditions for landfills,defined as “waste disposal sites for the deposit of the waste onto or intoland (i.e. underground)” inducing internal sites and permanent sites usedfor temporary storage). The Landfill Directive divides landfills for inert, nonhazardousand hazardous waste.The RoHS and WEEE Directives address electrical and electronic equipmentcontaining hazardous substances; the RoHS Directive on site of productionand in the distribution chain (use of hazardous substances in suchequipment, and putting it on the market) and the WEEE Directive on site ofwaste of such equipment including all waste operations like collection,European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislationIPPC 2006: ReferenceDocument on BestAvailable Techniques forthe Waste TreatmentsIndustries. August 2006,available at:ftp://ftp.jrc.es/pub/eippcb/doc/wt_bref_0806.pdfEEA 2001: Wastemanagement facilities.Technical report 65,prepared by theEuropean --------------------------- Topic Centre ofWaste, Reference available at:http://scp.eionet.europa.Art. 3 and 4, Annex Ieu/publications/tech65WFD

07030/2010/576173/SER/C2 27preparing for re-use and treatment of WEEE including facilities fordepollution, disassembly, shredding, recovery and preparation for disposal.In summary, the manual and guidance address in principle the wastemanagement facilities and sites along the waste chain starting withcollection and ending with a certain treatment operation, including inparticular WEEE collection and treatment facilities and landfills.3.2. Information on current existence of waste operationsThe following information sources provide data on the existence of wastetreatment facilities within the EU:EUROSTAT dataProvidinginformation onnumber of:- Incinerators- Recyclingfacilities- Landfill- Land treatmentEUROSTAT provides data on the number of waste treatmentfacilities for EU-27 Member States using five categories; data isavailable for 2004 and 2006 [EUROSTAT 2010];E-PRTR data on reporting of waste treatment facilities, usinghowever a different categorisation not adding further informationto the data mentioned [PRTR 2010];the BREF document for waste treatments industries [IPPC 2006]includes data for certain waste treatment options;an EEA report on waste management facilities contains informationabout facilities for the treatment of hazardous and non-hazardouswastes, including their type, location and capacity [EEA 2001].EUROSTAT data on waste treatment facilitiesAccording to EUROSTAT, over 70,000 waste treatment facilities existed inEU-27 (year 2006). Most of these installations were recycling facilities (morethan 50,000) followed by landfill and incineration (both about 10,000). Onlyfew facilities for land treatment and release into water existed.All these and newer installations need to have a permit or registration andneed to use measures or apply techniques to assure that their operationsdo not harm human health and the environment.Table 3.2-1: Overview of waste treatment facilities according to [EUROSTAT 2010]Incinerationwith energyrecovery (R1)Otherincineration (D10)Recycling(R2-11)Landfilling(D1, D3-5,D12Landtreatmentrelease intowater (D2,D6, D7)Total5,170 3,897 50,682 10,286 154 70,189Note: latest data from 2006Data from EUROSTAT, however, only gives a rough indication of relevanceof the different waste treatment facilities as the level of differentiation isnot very detailed.---------------------------Further readingEUROSTAT 2010:Waste treatmentfacilities at countrylevel, 2004, 2006http://epp.eurostat.ec.europa.eu/portal/page/portal/waste/data/wastemanagement/waste_treatmentEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 28E-PRTR categories of waste treatment facilitiesE-PRTR data is divided using different categorisation following the categoriesof IPPC / PRTR. According to this data, 4,286 facilities are registered asfacilities for waste and waste water management. Table 3.2-2 includes theinformation retrieved from PRTR.Table 3.2-2: Overview of waste treatment facilities according to [PRTR 2010]Disposal orrecovery ofhazardouswasteIncineration ofnon-hazardouswaste included inDirective2000/76/ECDisposalnonhazardouswasteLandfilling(excludingthose closedbefore16.07.2011)Disposal orrecycling ofanimalcarcassesand animalwasteTotal1,824 368 578 1,384 132 4,286Note: latest data from 2008Again, data from PRTR also indicates only roughly the relevance of thedifferent waste treatment facilities as the level of differentiation is not verydetailed.BREF document on waste treatments industriesThe BREF document on waste treatment industries provides data for wastetreatment installations further dividing recovery and disposal operation[IPPC 2006]. According to this data, 14,000 installations exist within the EU,of which physico-chemical installations, installations for waste transfer andbiological treatment installations represent the majority of the wastetreatment installations.Table 3.2-3: Overview of waste treatment facilities according to [IPPC 2006]Operations (more than100 facilities)Number ofinstallationsOperations (less than 50facilities)Number ofinstallationsPhysico-chemicaltreatments9,907 Re-refining of waste oil 35Waste transfer 2,905 Activated carbon treatment 20Biological treatments 615 Recovery of pollution abatement 20Preparation and use ofwaste oil as fuel274 Waste catalyst treatment 20Waste fuel preparation 266 Waste acid/base treatment 13Inorganic wastetreatment (excluding126metals)Waste solvent treatment 106Total 14,307In addition, the BREF document highlights that more than 500 techniquesare applied within the sector of waste treatment, prevention andmanagement, of which about 300 are considered as common techniques,130 are allocated to physico-chemical treatment and about 40 techniqueseach to biological treatment, to recovery of materials and to preparation ofwaste fuels [IPPC 2006].E-PRTR dataProvidinginformation onnumber of:- Disposal/Recovery ofhazardous wasteinstallations- Incinerators ofnon-hazardouswaste- Disposal of nonhazardouswaste- Landfills- Disposal /Recycling ofanimal carcassesBREF documentsProvidinginformation onnumber of:- Physico-chemical- Waste transfer- Biological- Waste oil- Inorganic waste- Waste solventtreatment---------------------------Further readingThe EuropeanPollutant Releaseand TransferRegisterhttp://prtr.ec.europa.eu/Reference Documenton BAT for WasteTreatments Industries.August 2006ftp://ftp.jrc.es/pub/eippcb/doc/wt_bref_0806.pdfEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 29EEA report on waste management facilitiesThe report on waste management facilities by EEA [EEA 2001] also includesdata on the existence of waste treatment facilities providing a further levelof categorisation by adopting the R and D codes as defined in the WFD (seetable 5-4 ). Latest available data is from 1999 covering EU-15 MemberStates.According to the EEA data, the most relevant facilities (more than 100facilities, marked in green) are:storage and repacking;physico-chemical and biological treatment;facilities for the recycling and reclamation of metal and metalcompounds, of organic substances (e.g. composting), for oil-refiningand other re-use of oil;EEA reportProvidinginformation onnumber of:- Storage andrepacking- Physico-chemicaltreatment- Recycling /Reclamation ofmetal andcompounds,organicsubstances, oilrefining- Landfilling /Incinerationlandfilling and incineration (with/without energy recovery).---------------------------Further readingWaste managementfacilities. Technicalreport 65, prepared bythe European TopicCentre of Wastehttp://scp.eionet.europa.eu/publications/tech65European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 30Table 3.2-4: Overview of waste facilities in EU 15, 1999 [EEA 2001]Recovery operationsR 1 Use principally as a fuel or other means togenerate energy (*)Number ofinstallationsR 2 Solvent reclamation/regeneration 94R 3 Recycling/reclamation of organic substanceswhich are not used as solvents (includingcomposting and other biological transformationprocesses) (**)R 4 Recycling/reclamation of metals and metalcompoundsDisposal operationsNumber ofinstallations129 D 1 Deposit into or on to land (e.g. landfill, etc.) 186107201D 2 Land treatment (e.g. biodegradation of liquid orsludgy discards in soils, etc.)D 4 Surface impoundment (e.g. placement of liquid orsludgy discards into pits, ponds or lagoons, etc.)D 5 Specially engineered landfill (e.g. placement intolined discrete cells which are capped and isolated fromone another and the environment, etc.)18591R 5 Recycling/reclamation of other inorganicmaterials91D 8 Biological treatment not specified elsewhere in thisAnnex which results in final compounds or mixtureswhich are discarded by means of any of the operationsnumbered D 1 to D 12170R 6 Regeneration of acids or bases 9R 7 Recovery of components used for pollutionabatementR 8 Recovery of components from catalysts 18D 9 Physico-chemical treatment not specified elsewherein this Annex which results in final compounds ormixtures which are discarded by means of any of theoperations numbered D 1 to D 12 (e.g. evaporation,drying, calcination, etc.)6 D 10 Incineration on land 163D 12 Permanent storage (e.g. emplacement ofcontainers in a mine, etc.)6104R 9 Oil re-refining or other re-uses of oil 105D 13 Blending or mixing prior to submission to any ofthe operations numbered D 1 to D 1244R 10 Land treatment resulting in benefit toagriculture or ecological improvement6D 14 Repackaging prior to submission to any of theoperations numbered D 1 to D 1352R 11 Use of waste obtained from any of theoperations numbered R 1 to R 109D 15 Storage pending any of the operations numbered D1 to D 14 (excluding temporary storage, pendingcollection,180R 12 Exchange of waste for submission to any ofthe operations numbered R 1 to R 1153R 13 Storage of waste pending any of theoperations numbered R 1 to R 12 (excludingtemporary storage, pending collection, on the sitewhere the waste is produced)119More than 100 facilitiesMore than 50, less than 100 facilitiesLess than 50 facilitiesEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 313.3. SummaryThe data available focuses more or less on waste treatment facilitiesproviding numbers for the existence of such facilities applying differentcategories using a more or less rough categorisation of the facilities.According to this data, the most important facilities include:• facilities for storage and transfer of waste;• recovery/recycling facilities (in particular physico-chemical,biological treatment, recycling and reclamation of metals andorganic substances, oil re-refining);SummaryMost importantfacilities:- storage andtransfer of waste- recovery/recycling- incinerators- landfills• incinerators;• landfills.As the BREF document indicates [IPPC 2006], there are many hundredstechniques applied within the waste treatment sector. It should not be thepurpose of the manual/guidance for permitting and inspections to reflectthe technical specifications of all those techniques. It is, however, possibleto include such technical specifications whenever suitable as additionalinformation (i.e. checklists for certain techniques). The guidance/manualshould also include operations like collection, preparation for re-use andpre-treatment for which data on existence is not available, but operationsare certainly of relevance.Many hundredstechniques<strong>Guidance</strong>/manual isin general followingthe waste chainThe manual and guidance should therefore follow in principle the wastechain applying the general categorisation given in the WFD starting with thewaste producer and ending with a certain treatment operation, including inparticular WEEE collection and treatment facilities and landfills. As regardscollection, especially the waste streams addressed within the WFD withspecific targets should be included (glass, metal, paper, plastic, C&D waste,bio-waste). The following figure includes a proposal. Although not includedin the figure, specifically for RoHS the pre-waste phases are important: theproduction of the material and its distribution phase (the putting on themarket).European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 32WastegeneratorWastecollection/transferWaste pretreatmentWaste final treatment• Hazardouswaste• Nonhazardouswaste• Reverse logisticoperation (takeback-systems)• Collection of MSW• Separate collection(WEEE, biowaste,glass, metal, plastic,hazardous wasteseparation• Waste transport• Preliminary/temporary storage• Wastebroking/dealing• Waste transfer• Sorting/Separation• Stabilisation• Solidification• Shredding• MBT• WEEE dismantling• Blending or mixing• Biotechnical treatmentfacilities• Organic physicochemicaltreatment• Inorganic physicochemicaltreatmentPreparing for Re-use:• Checking• Cleaning• ReparationRecycling:• Composting• Material recycling(glass, plastic,paper, metals)Other recovery:• Incineration withenergy recovery(power plants)• BackfillingDisposal• Inert wastelandfilling• Non-hazardouswaste landfilling• Hazardous wastelandfilling• Non-hazardouswaste incineration• Hazardous wasteincinerationFigure 3.3-1:Overview of waste management operationsEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 334. Permitting and RegistrationEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 344.1. Permit /Registration systemWaste treatment operations needs to be authorised by a either a permit ora registration and a good authorisation practice is crucial for a smoothimplementation of EU waste legislation, as within the permit proceduresmajor conditions for the operation of the waste management facilities areset.EU legislation (WFD) distinguishes between:Permits andRegistrationsPermit/RegistrationsystemTypes ofauthorisation:- Permit- Registration- Other (accordingto MSLegislation)Further differentiation on Member State level can be made to reflect thecharacteristics of the different waste management operations, i.e. othertype of waste license according to national law.Who needs to obtain a permit?Permits are required for (Article 23(1) WFD):“...any establishment or undertaking intending to carry out wastetreatment”Waste treatment is defined as “recovery or disposal operations, includingpreparation prior to recovery or disposal” (Article 3(14) WFD).Member States however may exempt (Article 24 WFD):waste recovery establishments or undertakings andwaste disposal establishments in case of own non-hazardous waste atthe place of productionWhere a Member State allows exemptions, it has to lay down, in respect ofeach activity for which exemptions are granted, general rules specifying thetypes and quantities of waste that may be covered by an exemption, andthe method of treatment to be used (Article 25(1) and (2) WFD). Operatorsseeking permits should consult national rules in this respect.Who needs to register?According to Article 26 WFD, the following are subject to registration:professional collectors,transporters,dealers/brokers,waste management facilities exempted from permit requirements.Competent national authorities should, where possible, facilitate theregistration process and reduce administrative burden for establishmentsor undertakings that want to register. This can be done by using existing---------------------------Further readingProceduralrequirements forpermitting areexplained in the legalchapter 2.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 35records, such as information from commercial registers, to obtain therelevant information for the registration process. Therefore, it may be thatin some cases no specific separate registration process is necessary wherethe information is already available from existing sources. Operatorsshould contact their competent authorities to find out more about theprocedure used in their Member State.Note:Waste treatment operations, like recovery and disposal operationsincluding preparation prior to recovery, generally require a PERMIT.Member States may exempt certain recovery and disposal operationsfrom permit requirements.Permit/RegistrationsystemEnsuringimplementationthrough:- Permittingmanagementpractice- Setting ofcontent ofpermit /registrationThe exempted waste operations, as well as collectors, transporters,dealers and brokers need a REGISTRATION.To ensure a smooth implementation of permitting and registrationrequirements, two aspects have to be considered:Permit and registration management practice, as goodpermits/registrations are an essential element for compliance with EUlegislation and are often a pre-condition for adequate and effectiveinspections;Permit and registration content, in particular the setting of clear anddetailed criteria for waste management operations, taking into accounttechnical, legal and practical aspects of the particular waste treatmentfacility.The following chapter outlines an example of a good permitting procedurefor waste management operations. It includes theoretical informationdescribing the stages within the permitting procedures. However, emphasisis also given to the practical implementation of EU requirements on aMember State level and to the description of examples of good practiceregarding the permitting steps.The required content of permits and registration documents are describedonly on a general level within this guidance; however, the accompanyingmanual includes 8 checklists indicating what conditions to include in apermit, covering the following different types of waste managementfacilities:1. Waste collection and transfer stations2. Pre-treatment facilities3. WEEE treatment facilities4. Preparing for re-use facilities---------------------------Further reading8 checklists givingan indication onwhat to include in apermit are providedin chapter 3 of thepractical manual5. Composting facilitiesEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 366. Material recovery facilities7. Incinerators8. LandfillsThose checklists include the most important aspects of a permit on:Technical requirements of facilitiesAcceptance, handling and storage of wasteOperational aspectsEmissions into the environment (air, water, etc.)Permit/RegistrationsystemEnsuringimplementationthrough:- Permittingmanagementpractice- Setting ofcontent ofpermit /registration---------------------------Further reading8 checklists givingan indication onwhat to include in apermit are providedin chapter 3 of thepractical manualEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 374.2. Stages for permittingThe permitting procedure is divided into different steps. Besides theoperator applying for a permit, different authorities and furtherstakeholders are involved in the permitting procedure. The following stepscan be distinguished:Stages ofpermitting:- Application- Assessment- Issue of permit- Follow-up1. Application for a permit• Specification of content of permit documents (determinationif permit or registration procedure is applicable, competentauthority, content of documents)• Advisory service for applicants (guidance for applicants, faceto-faceconsultation, helpdesks, etc.)• Preliminary check (quick check of completeness of documents)- Training/<strong>Guidance</strong>/Networking2. Assessment by competent authority• Assessment of completeness and compliance of application• Participation of authorities, public and experts (consultationwith/approval from other authorities, provision ofinformation, public hearings, expert reports, certificates)• Consideration of objections from other authorities and thepublic• Control of criteria and conditions (on-site inspections)3. Issue of permit• Formulation of permit (content of permit, includingexplanation of conditions for operation, information aboutmonitoring and inspection, legal specification)• Issuing a permit4. Follow-up• Information storage (data base, central register, etc.)• Communication of issued permits (to other public authorities,other level authorities)• Using of information for inspection planning---------------------------Reference:Ministry ofEnvironment (2010)“<strong>Guidance</strong> onpermittingprocedures”,[Durchführung vonGenehmigungsverfahren–Verfahrenshandbuchzum Vollzug deBImSchG]Figure 4.2-1:Steps for permitting procedures [inspired by: Ministry of EnvironmentHesse_2010]http://www3.hlug.de/service/dokumente/VerfahrensbuchG_April201European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 38Within all the steps, administrative staff as well as operators and otherstakeholders need to be informed about the provisions (which provisions?),thus requiring training, cooperation and guidance measures.The following chapter provides details on the illustrated steps.4.2.1. Application for a permitSpecification of content of authorisation documentsWithin the first step of authorisation procedure, the operator/manager ofthe facility has to apply for a permit at the competent authority. The stepincludes:1. The general determination whether a permit is applicable for theplanned waste management operation2. The designation of the responsible authority3. The setting of conditions for the application1. Determination whether a permit is applicableIn order to reflect the different potential of the waste managementoperations and their impact on human health and environment, usuallydifferent categories are applied to different operations. In consequence,more or less information can be requested from the facilityoperator/manager. The WFD distinguishes between (see also Chapter 2.2.1on legal provisions of the WFD):Application for apermitSpecification ofcontent:- Determination ofwhetherregistration/permit applies- Designation ofresponsibleauthority- Setting ofconditionsPossibleauthorisationsystems:- Permit- Registration- Other, accordingto nationalrequirements(e.g. license)• permit, which is in general needed for all treatment facilities, i.e.recovery and disposal operations, including preparation forrecovery and disposal (here a differentiation between IPPC andwaste permit can be made), and• registration, which is required for collectors/transporters,dealers/brokers and facilities exempted from permit requirementson the Member State level.However, further differentiation on the national level can be made toreflect the characteristics of the different waste management operations,i.e. adoption of licenses (e.g. as a proof of permit procedures, or as a proofof sufficient knowledge of the operator) or further agreements with theoperator according to the national law.Therefore, when starting the application procedure, the competentauthority defines whether a registration or a permit applies for theplanned waste installation, formulates a list of necessary documents thatneed to be presented and information to be provided by the facilityEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 39operator/manager.Member States’ implementation in practiceAre different categories of authorisation systems (registration, permit,others) foreseen by the Member States?The vast majority of the EU Member States apply a more or lesssophisticated system to categorise waste management installations andapply two or more different kinds of authorisation systems..22 Member State/Regional authorities answered to apply such a system,using two or more different classes of authorisationMost of the Member States (or Member States’ regions) apply threedifferent categories ,mostly dividing IPPC permits, permits according towaste law and registration (8 answers) or two categories as required by theWFD (5 answers). A minority applies four (3 answers) or even five differentkinds of authorisation systems (1 answer (see details in Table 4.2-1).Application for apermitMember Statesapply:- Registration- Permit(simplified, full,environmentalpermit)- othersTable 4.2-1:MSAT _VIAT_VOBE _FLBE_WACYDE_HEEEESFROverview of information on applied authorisation categoriesDescription of authorisation categoriesApplies four categories containing of permit for waste treatment plants(with simplification for modification of plants or for plants with a lowcapacity) and permit for waste collection and waste treatment (simplifiedfor non-hazardous waste).Applies two categories dividing first and further application of permissionof a treatment plant. A basic permit is issued when first applying forpermission; simplified permits may be issued in the case that rights of theneighbours are not infringed.Applies three categories including a permit from the provincial authoritiesfor truly hazardous activities (cat.1), which includes information about theenvironmental impact of the activity, a category II permit for slightly lessrisk associated activities, but follows more or less the same procedure. Cat.III permit is for activities with limited effects on the environment. Only anotification to the municipal authority is needed.Applies three categories containing of two different permits according tothe risk associated to the activities and registration for very low riskactivities. Additionally an agreement of the operator is required.Applies two categories distinguishing between a permit for wastecollection, transportation and treatment activities and registration forwaste producers of packaging, WEEE, batteries, used tires, etc.Applies three categories dividing permits according to IPPC and theNational Waste Act and registration for hazardous waste producers andwaste collectors. Additionally requirements are made e.g. requestingcertificates about proper disposal or transport certificates.Applies four categories containing of waste permit or registration andhazardous waste handling licence and/or IPPC permit.Applies two categories dividing between authorizations for hazardouswaste managers and registration for non hazardous waste managers.Applies three categories distinguishing between full permit for nonhazardousand hazardous landfills, simplified permit for inert landfills and---------------------------AbbreviationsAT_VI: Vienna (AT)AT_VO: Vorarlberg (AT)BE_FL: Flanders (BE)BE_WA: Walloon (BE)DE_BE: Berlin (De)DE_HE: Hesse (DE)UK_SC: Scotland (UK)European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 40MSIELTLULVNLPTUKUK _SCDescription of authorisation categoriesregistration. WEEE treatment facilities require either a registration or a fullpermit, according to the quantity of waste stored at sorting or dismantlingplants.Applies four categories containing of waste (or IPPC) licence, a wastefacility permit, a waste certificate of registration and no authorisation foran exempted activity.Applies three categories dividing registration, waste permit and license,which has to be applied additionally by operators handling hazardouswasteApplies three categories distinguishing between waste permits (this type ofpermit is further divided into waste permit to transform waste, wastetransport/waste broker permit and permit to dispose waste), operationpermits under the “commodo law” given to companies producingsignificant amount of waste and operations which produce biogas byanaerobic digestion and registration given to collection and transportcompanies.Applies two categories dividing waste management permits for operator ofcollection, storage, transportation and sorting facilities or an integratedpermit.Applies two categories containing full permits where general rules for awhole category of activities apply, e.g. for operations like landfilling andsimplified permits for smaller waste management operations like ELVdismantling and collecting of WEEE mostly obtained from local authorities.Applying five categories divided into environmental licence, special licence,licence, simplified licence and prior notice.Applies three categories distinguishing between environmental permitscovering waste recovery and disposal operations, either being standardrules permits or being bespoke permits for major operations. Registeredexemptions from the need for an environmental permit are provided for lowrisk waste operations.Applies three categories containing of IPPC permits, waste managementlicences and registration of exemptions from waste management licensing.Application for apermitDescription ofsystems applied toauthorise a facilityMember States’ implementation in practiceWhich authorisation categories (registration/ simplified, waste,environmental permit) are in general applied to which waste managementoperations? 1- Hazardous and non-hazardous waste producer are usually required toapply for registrations or a waste permit. The competent authority decideseither on basis of the risk of the facility (e.g. is it a classified well knownoperation or not) or on basis of the amount of waste generated (e.g. morethan 10 t/year) whether registration is sufficient or whether a simplified/fullwaste permit is required.- Waste collection according to the WFD requires a registration. Howeversome Member States also require a full or simplified waste permit, e.g. incases hazardous waste is collected.- Waste and WEEE sorting usually requires a permit. Estonia, Ireland,---------------------------AbbreviationsAT_VI: Vienna (AT)AT_VO: Vorarlberg (AT)BE_FL: Flanders (BE)BE_WA: Walloon (BE)DE_BE: Berlin (De)DE_HE: Hesse (DE)UK_SC: Scotland (UK)1Based on information provided by 14 authorities in response to a questionnaire.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 41Luxembourg and Lithuania only request a registration or a licence.- Waste transport, brokerage/dealing and reverse logistics usually needregistration. In some cases they do need some form of a licence or a permit.For the other treatment operations including pre-treatment, reuse, recyclingalso full waste permits are required in most Member States. Exemptionsaccording to Article 24 WFD are limited to non-hazardous waste treatmentfacilities that recycle waste, and exemptions according to Article 25 WFD arelimited to hazardous waste treatment facilities (sorting, transit, temporarystorage) with a capacity lower than 1 tonne of waste present at the facility.In the exempted cases, a registration or license is required (see details inTable 4.2-2).Application forpermitCompetent authoritymostly responsiblefor facilitating thepermittingprocedure:- Regional- National- Local / Municipal- OtherTable 4.2-2:Overview of authorisation categories applied to waste operationsWastemanagementoperationsAT(VI)AT(VO)CYDE(BE)DE(HE)EE ES IE LT LU NL PTUK(SC)UKhazardous wastegeneration- 5 1 5 1/3 - 1/5 - 5 5 5/* 3 -non-hazardouswaste 0 5 1 5 - - - 5 5 5/* 1 0 1generationwaste collection 5 5 5 1 1/3 1/5 1/5 3/5 5 1/5 5 3 1 1waste sorting 5 5 5 6 3/5 5 - 1 5/* 3 0/4/6 0/5WEEE sorting/dismantling5 5 5 5 6 3/5 5 1/3/5 3/5 1/5 5 - 4/6 0/6waste transfer 0 0 5 0 1/3 1/3/5 1/5 3/5 1 1/5 1 - 1 1waste broking/dealing5 5 1 - 5 1 - 1 1 5 1 1 1reverse logisticsoperation0 5 1 3 0 - - 1 5 1 1 0waste pretreatment5/7 5 5 5 6 3/5 - 1/3/5 3/5 5 5 0/4/6 0/5waste re-use 5/7 0/5 0 0 5 1/3/5 3/5 5 5 0/4/6 0/5waste recycling 5/7 5 5 3/5 6 3/5/6 5 1/3/5 3/5 5 5/* 3 0/4 0/5wasteincineration5/7 5 5 3/5 6 3/5/6 5 3 3/5 5 5 3 0/6 5waste coincineration5/7 5 5 6 3/5/6 5 3 3/5 5 5 3 6 6waste landfilling 5/7 5 5 5 ** 3/5/6 5 3 5 5 5 3 6 6Explanation 0 no permit/exemption1 registration (including transport and plant registration and for Portugal prior notice)3 licence (e.g. waste transport, waste handling, hazardous waste handling licence)4 waste management licence5 waste/environmental permit (for Spain: hazardous authorisation)6 IPPC permit7 additional plant permit*general rules**plan approval procedureOne of the first steps of the permitting procedure includes the estimation ofthe potential risk of the operation. Thus, some Member States elaboratedsystems on the national/regional level guiding competent authorities in therisk assessment. Different national/regional systems are described in detailin the accompanying practical manual, in particular:---------------------------Further readingBest practiceexample in practicalmanual: chapter2.2.3 and 2.2.4European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 42The UK Risk assessment tool called the Operational Risk AppraisalScheme (Opra) is based on five attributes (risk parameters), each ofwhich is allocated one or more lettered rating bands. These bandsprovide a profile, the so called Opra-banded profile, which is forinstance used to plan how to use available resources and work outcharges. An operator with a higher risk has a higher charge to cover theextra costs needed to assess the risk and ensure they are beingmanaged in a proper way. The Opra scheme provides a detailedguidance on how to apply Opra and work out Opra-banded profiles forwaste management facilities.See chapter 2.2.3 of the practical manualThe UK Risk-based approach to exempt waste operations applies afive-step approach used by the Government to determine whether toprovide an exemption for a certain waste operation.See chapter 2.2.4 of the practical manual2. Designation of responsible authorityApplication forpermitCompetent authoritymostly responsiblefor facilitating thepermit procedure:- Regional- National- Local / Municipal- OtherSetting of conditions:- WFD and LCincludes list onminimumcontentThe next step in the permitting procedure is the designation of thecompetent authority responsible for facilitating the permitting procedure.According to the type of operation, the competent authority can be:A national authority;A regional authority;A local or municipal authority;An authority on another level.Member States’ implementation – practical exampleWhich authority is responsible for permitting procedures?For most waste management operations, the permitting procedure ismanaged by regional authorities. However, for waste transfer,brokerage/dealing and reverse logistic operations, the responsibility mostlylies within national authorities, in most cases running a national register ofsuch operations. Local authorities are also given responsibilities in thepermitting procedures in many EU Member States (for details see Table4.2-3). Further specifications are made in France and Ireland:In France, non-hazardous and hazardous waste landfills are under theauthority of the Prefect, made up of sworn State officials.In Ireland, waste permitting and enforcement is carried out by theEnvironmental Protection Agency (EPA) and by Local Authorities (LAs). Ingeneral, the EPA is responsible for higher risk recovery and disposal activities(e.g. landfills) and LAs are responsible for lower risk recovery and disposalactivities and for waste collection. The responsibility for producerEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 43responsibility initiatives varies, e.g. both the EPA and LAs have responsibilitiesfor WEEE and batteries, the EPA is responsible for RoHS and LAs areresponsible for waste tyres.Application forpermitTable 4.2-3:WastemanagementoperationsAT(VI)Overview of authorities responsible for issuing permitsAT BE BECY(VO) (FL) (WA)DE(HE)EE ES FR IE NL PT SI UKhazardouswaste1 1/2/3 1/2 0 1 0 1 2 1/2 0 0 0 0generationnon-hazardouswaste1 1/2/3 1/2 0 1 0 2 1/2 1 0 0 0generationwastecollection1 1 1/2/3 1 0 1/2 0 1 2 2 0 2 2 0 0waste sorting 1 1 1/2/3 1/2 0 1 0 1 2 0/2 1/2 1 2 0 0WEEE sorting/dismantling1 1 1/2/3 1/2 0 1 0 1 2 0/2 1/2 0 0 0 0waste transfer 0 1 1 0 0/1 0 1 2 0/2 1/2 0 0 0 0waste broking/dealing1 1 0 1 0 1 2 2 0 0 0 0reverselogistics1 0 0/1 1 2 0 0 0operationwaste pretreatment1 1 1/2/3 1/2 0 1 0 1 2 0/2 1/2 1 0 0 0waste re-use 1/2 1 1/2 0 2 1 2 0/2 1/2 0 0waste recycling 1/2 1 1/2 0 1 0 1 2 0/2 1/2 0 0 0wasteincineration1 1 1/2/3 1/2 0 1 0 1 2 0 0/1 0 0 0/2 0waste coincineration1 1 1/2/3 1/2 0 1 0 1 2 0 0/1 0 0 0 0wastelandfilling1 1 1/2/3 1/2 0 1 0 1 2 0 0/1 0 0 0 0Explanation 0 National authority1 Regional authority2 Local authorities3 Other levelUK(SC)Competent authoritymostly responsiblefor facilitating thepermit procedure:- Regional- National- Local / Municipal- OtherSetting of conditions:- WFD and LCincludes list onminimumcontent3. Setting permitting conditionsAfter the level of registration/permitting system for the planned activity andthe responsibility of the authority are decided, the next step includes thesetting of specific conditions for the facility. In Article 23(1) of the WFD theminimum content of a permit is specified as:the types and quantities of waste that may be treated;for each type of operation permitted, the technical and any otherrequirements relevant to the site concerned;the safety and precautionary measures to be taken;the method to be used for each type of operation;the necessary monitoring and control operations;the necessary closure and after-care provisions.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 44For landfills, additional requirements are made in Article 8 Landfill Directive(see legal chapter in Part II of this guidance). As the following box and Table4.2-4 show, the content of the permit differs depending on the risk potential ofthe different waste management operations.Member States’ implementation – practical exampleWhich elements are covered by registration/permits? 2Application for apermitOverview ofaspects covered ina permit- For most waste generators, no matter whether hazardous or non-hazardous,the registration/permit document needs to include storage requirements andinformation on how to collect and store monitoring data (e.g, information onamounts of waste generated, information of laboratory analysis of generatedwaste, etc.) .- For waste collection, the registration/permit document needs to includeinformation about waste which is accepted and information on how to collectand store monitoring data (e.g. on amounts and types of wastes collected, etc.).- For waste sorting and waste transfer installations, the registration/permitneeds to include additional conditions on technical requirements, informationon waste acceptance and acceptance procedures and on emergency planning.- Waste broking/dealing and reverse logistic operations generally need tomeet fewer conditions, but they need to provide information on offenses /penalties and on inspections and training.- For waste pre-treatment and recycling, almost the same conditions are set asfor other waste treatment operations, with the difference that monitoring andcontrol conditions are rarely included.- For waste re-use operations, much fewer elements are required than for pretreatment/recycling.- For waste incineration, co-incineration and landfilling, most of the listedelements must be covered in the permit documents.- Overall, data documentation and management are the most importantelements to be addressed in the permit, followed by information on storagerequirements and waste to be accepted.- Information on third party auditing and certification, auto-control and theproof of financial stability, guarantees and insurances (the latter for nontreatmentoperations) are of minor importance for most national competentauthorities.A detailed overview of aspects covered by authorisation (registration,simplified/full permit) according to the listed waste management operations isdisplayed in Table 4.2-4 (information collected from 16 respondents from twelveEU Member States).---------------------------Further readingBest practiceexample inpractical manual:chapter 2.2.12Based on information provided by 16 respondents from twelve Member StatesEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 45Table 4.2-4:Technicalrequirements forconstructionInformation whichwaste isacceptableAcceptanceproceduresPre-treatmentrequirementsStoragerequirementsClosure/AftercarerequirementsOverview of aspects covered in registration/permit documentsHazardous wastegeneratoron-hazardous wastegeneratorWaste collection7 5 76 6 112 3 8Waste sortingWEEE sorting/dismantling141513Waste transferWaste broking/tradingReverse logisticsoperationWaste pre-treatmentWaste re-useWaste recyclingWaste incinerationWaste coincinerationWaste landfilling15 7 1 4 16 11 14 16 16 1616 12 5 6 15 10 13 15 15 1613 9 2 5 14 10 12 15 15 153 2 3 8 8 1 1 1 8 4 6 9 9 1313 11 71516 7 2 7 16 11 14 16 16 147 4 31111 6 1 5 11 7 11 13 13 15Emission limits 9 7 5 7 9 3 0 2 10 6 11 15 15 13Emission collection 6 5 3 7 8 3 0 2 8 4 9 14 14 12Emissionabatement6 4 3 7 8 4 0 2 9 5 10 15 15 12Emissionmonitoring8 5 4 5 7 2 0 2 9 5 10 14 15 15Alert system 5 3 5 7 8 3 0 1 9 5 8 12 12 10Emergency plan 9 6 61212 7 0 3 13 8 12 13 13 13Training/15 3 8Expertise013 7 4 3 12 7 11 15 15 14Documentationand datamanagementOffenses/penalties13 11 139 8 8Inspections 11 8 8Auto control/certificationThird partyauditing/certificationProof of financialstabilityInsurances,financialguarantees13101214 14 8 10 14 9 13 14 14 1411 9 6 8 9 5 9 11 11 1013 11 6 8 12 7 12 14 15 156 4 5 5 5 3 2 3 5 2 4 8 8 65 3 1 2 2 1 0 2 3 2 3 5 5 53 1 3 3 6 3 1 2 6 3 7 7 7 85 3 6 5 8 8 2 4 7 5 8 8 7 15Application for apermitOverview ofelements coveredin a permit---------------------------Further readingBest practiceexample inpractical manual:chapter 2.2.1European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 46Similar to the described variation in registration/permit content, also thefees charged to the operator vary.Member States’ implementation – practical exampleIn Ireland, the fees are charged in accordance with the time spent forenforcement.This approach ensures that the fees can be reduced in case of goodimplementation / reporting / self-monitoring / implementation ofenvironmental management systems. In addition, operators are motivatedto operate in compliance with the applicable legislative requirements.The setting of conditions within a permit can be based on information abouttechnical standards, national guidance or manuals, general rules to beapplied, national lists and consent systems. The following box gives anoverview of Member States’ practice to set conditions showing that most ofthe Member States apply various sources.Application for apermitSetting of conditions(based on MemberStates' practice):- Standardisedconditions- Technicalstandards- General rulesMember States’ implementation – practical exampleWhat are the national procedures and provisions for issuing a permit forwaste management operations?- Most Member States use a set of standardised conditions to be included inthe permit documents (i.e. 15 from 18 answers);- 10 authorities apply technical standards such as BAT or BEP at nationallevel;- 9 authorities stated that general rules, specifying the waste covered andthe treatment methods, are used (according to Article 25 WFD);- 8 authorities use guidance/manual specifying the conditions forcompetent authorities;- 8 authorities apply national lists specifying establishments or undertakingsexempted from permit requirements (Article 24 WFD);- 6 authorities said that an information and consent system for all wastetreatment activities is applied. This system assures that all affectedauthorities have been informed an involved in the permitting procedure andhave provided additional conditions, e.g. according to water law, and havegiven their consent to the permitting procedure.Note: The total number of authorities that provided information was 16,which means that most of the Member States use a combination of thedifferent possibilities.---------------------------Further readingBest practiceexample in practicalmanual:chapter 2.2.1European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 47In general, asking for the provision of financial guarantees is a goodpractice. Financial guarantees are asked to be provided by operators inadvance to starting the operation, to ensure that the obligations arisingunder the permit are fulfilled (e.g. after-care treatment, the defined closureprocedures). From a wider perspective, requesting financial guaranteessupports the polluter pays principle.Such guarantees are, for instance, required by the Landfill Directive (Article8). However, it is uncertain to which extent Member States request financialguarantees also for other waste management operations, including smallertreatment facilities.Best practice examples on the setting of conditions to be included in thepermit are described in more detail in the accompanying practical manual,in particular:Application for apermitSetting of conditions(based on MemberStates' practice):- Standardisedconditions- Technicalstandards- General rulesThe example from Belgium (Flanders) about a fixed set of conditions isapplicable to all waste operators; In order to avoid a case-by-casedecision approach, the set of fixed conditions is directly applicable tocompanies. The conditions include general provisions applicable to allwaste treatment facilities. In addition, a set of further provisions isdetermined for (1) waste storage and treatment facilities, (2) the typeof waste, and (3) the type of waste treatment facilities (incinerators,landfills).See chapter 2.2.1 of the practical manual---------------------------Further readingBest practiceexample in practicalmanual:chapter 2.2.1European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 48Advisory service for applicantsIn order to enable a smooth permitting procedure and to support theapplication for environmental permits, it is a good practice to provideadvisory service for applicants, which could include:Designation of relevant contact person for further questions;Clarification whether other authorities should be included in thepermitting procedure;Specification of the form, content and number of applicationdocuments (including possibility of online registration and deliveryof missing electronic documents);Clarification if environmental risk assessment is required;Clarification which further certificates/expert reports are required,and where these can be obtained;Clarification of procedures to involve the public and ways ofpublishing the planned project (e.g. internet, newspapers, etc.);Information on the relevant legal basis;Information on the relevant guidance documents and links, ifavailable;Application for apermitAdvisory service forapplicants couldinclude:- Helpdesk andconsultingservices- Information onapplicationdocumentsrequired- Online forms tofill in- Advice ontransparencyand on how toinclude generalpublic- Supportconcerning legalrequirementsIndication on a time-frame for realizing the permitting procedures(envisaged date for issuing the permit).This information can be provided in personal consultations, via helpdesks,hotlines and the Internet. It is good practice to make as much informationas possible to be available online, including any guidance and the necessaryforms.Member States’ implementation – practical exampleOnline advisory service for applicantsSeveral Member States provide detailed online information about theregistration and permitting procedures, and conditions; including forms fordownload. Selected examples from EU Member States are:AT (VO):http://www.vorarlberg.at/vorarlberg/umwelt_zukunft/umwelt/abfallwirtschaft/start.htmAT (VI): http://www.wien.gv.at/umweltschutz/abfall/entsorgung.htmlBE (Fl):http://www.investinflanders.com/en/doing_business/legal_guide/environmental_regulations/DE (HE):http://www.hmuelv.hessen.de then click “Umwelt”, then “Abfall” or directlyhttp://www.hmulv.hessen.de/irj/HMULV_Internet?cid=9adcc9e645d201b34a4378c4bc45b012European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 49DE (BE): http://www.stadtentwicklung.berlin.de/umwelt/abfall/FR: http://installationsclassees.ecologie.gouv.fr/-Permit-system-.htmlIE:http://www.epa.ie/whatwedo/licensing/waste/http://www.epa.ie/whatwedo/licensing/files/UK:http://www.environment-agency.gov.uk/business/topics/permitting/default.aspxhttp://www.defra.gov.uk/environment/quality/permitting/UK (SC):http://www.sepa.org.uk/waste/waste_regulation/application_forms/waste_management_licence.aspxhttp://www.sepa.org.uk/waste/waste_regulation/application_forms/exempt_activities.aspxAdvisory service for applicants - best practice example from the Vorarlbergregion, Austria:The permitting for smaller waste treatment plants involves a staffintensivebut very effective advisory service for operators, includingface-to-face advice, a helpdesk, hearings in order to consider possiblestakeholder complaints and ensure that no infringement of their rightsoccur, other public involvement and on-site inspections. Suchcooperation brings about benefits for both the authority and theoperator by taking into account constrains of stakeholders into accountat an early stage of permitting procedures.Application for apermitAdvisory service:Example of advisoryservice for smallwaste treatmentplants operatorsPreliminary checkaims at:- Screening ofdocumentsagainst theircompleteness- Identification ofmissingdocumentsSee chapter 2.2.2 of the practical manualPreliminary checkAfter the delivery of the permit documents to the competent authority, thedocuments shall be preliminary checked for obvious mistakes andcompleteness (number of documents completed, all relevant topicsaddressed, etc.). A checklist could be developed to help identifying obviousmistakes. However, this quick completeness check should not replace athorough verification of the content.The applicant has to be informed about the result of the check, and ifmistakes are identified, invited to complete the application within a definedtime period.In the further steps, the content of the documents delivered by theoperator/manager and the information requested by the competentauthority will be assessed.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 504.2.2. Assessment by competent authorityAssessment of completeness and complianceIf the application documents are delivered without obvious mistakes, thecontent of the documents will be:1. Checked for completeness of documents;2. Checked for compliance with waste, environmental and otherlegislation as well as with plans and strategies on differentadministrative levels.1. Checking for completenessAssessment ofpermit applicationAssessment ofcompletenesscontains of:- Identificationand eliminationof problems andconflict potential- Check ofconsistency- Inclusion ofother authoritiesThe completeness check focuses on the following points:Identification of interim problems to prevent overlapping legislativerequirements; e.g. overlapping requirements from waste legislationand other environmental legislationElimination of conflict potentials; e.g. between divergent objectivesof regional planning Checking for consistency as regards content,i.e. checking the consistency of the statements.The relevant concerned authorities whose field of responsibility is affectedby the planned facility shall be included in the completeness check. Eachauthority shall check the part which is relevant for it under consideration ofall application documents within a given time period.The approval of completeness of the application documents is given if:the relevant authorities have affirmed the completeness;the relevant authorities have already delivered their concludingstatement; andno contrary comments of the relevant authorities were received.The aim of the assessment is to receive complete permit documentationconforming to the legislative requirements also outside the wastelegislation.After the given time period, all additional claims should be collected,compared and sent to the applicant, explaining the nature of comments in acomprehensible way, and including the number of documents which haveto be delivered or completed. The applicant of the permit should receive adeadline to complete his application documents. The completed documentswill again be checked by all relevant authorities. If there are no furtherobjections, the applicant of the permit is informed about the approval ofcompleteness of the documents and about further steps.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 512. Checking for complianceOnce the application documents are complete, the content will be checked forcompliance by the relevant authorities. The relevant authorities shall be askedto prepare a statement concerning the documents within a defined and mostpossible short time period. The assessment could check whether the permit iscompliant with:EU/national waste legislation;Further environmental legislation, e.g. nature conservation, waterlegislation;National/regional/local waste strategies and management plans;Regional/local development plans.Assessment ofpermit applicationAssessment ofcompliance includeschecking of:- requirements ofEU and nationalwaste legislation- requirements ofother legislation- general wastepolicy andstrategiesWhen checking the applications against the abovementioned requirements, itis important to verify complaints of the application with both the technicalspecifications (i.e. limit values and emissions) and the general objectives andstrategic aims of the EU and national waste legislation. Points which should bechecked include, for example:Compliance of the facility with the objective to move up the wastehierarchy (Article 4 WFD);Promotion of high quality recovery (Article 10 WFD), including preparingfor re-use high quality recycling and separate collection (Article 11 WFD);Prevention of waste (including its hazardousness) and wasteminimisation (Art 4 WFD);Establishment of an integrated and adequate network of waste recoveryand disposal installations (Article 16);Compliance with the national waste policy, e.g. as regards bio-waste,incineration, etc.When assessing a permit application, the first question should be whether theplanned facility is in line with the waste management hierarchy, and whetherit contributes to moving up the hierarchy. This is a crucial question for anyapplication for a landfill permit, as this type of waste management should bereserved to residual waste which cannot be further recovered, hence grantingof permits must be considered against a wider picture of available and plannedwaste management installations.Then, the technical, safety, precautionary, monitoring and other requirementsneed to be checked.Regarding the checking of compliance, the Best Practice Examples fromScotland and Finland included in the practical manual describe:European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 52The compliance assessment scheme in Scotland applies for all kind ofpermits, including the assessment of the IPPC installations and wastemanagement facilities requiring a licence in particular for transferstations, civic amenity sites and fridge storage and treatment. Thecompliance assessment scheme is used to assess an operator’s level ofcompliance with their permit/licence, distinguishing betweenenvironmental and management requirements.See chapter 2.2.5 of the practical manualFinland tries to include waste prevention issues in the environmentalpermit procedures, considering all steps of the procedure, butparticularly focusing on setting conditions and compliance check:certain waste prevention conditions need to be fulfilled by the facilityapplying for a permit, and the way how to check whether thoseconditions were met is explained.See chapter 2.2.8 of the practical manualParticipation of other authorities, the public and expertsIn order to identify and eliminate conflicts and problems at an early stage ofthe permitting procedure and increase overall transparency, this step aimsat the participation of:Assessment ofpermit applicationParticipation of:- Other relevantauthorities- The generalpublic- Further expertsParticipation ofother relevantauthorities through:- Notification- Data bases /registers- Hearings andconsultations1. Other authorities on different levels (national/regional/local) and fromother areas of expertise (e.g. water board, chemicals, emission control);2. The general public;3. Further experts.1. Participation of other authoritiesThe objective of the participation of the relevant authorities is to identifythe facts which are relevant for the permitting decision and to check andcoordinate all related environmental and technical matters. Besides,contradictory statements have to be cleared.The participation of other authorities can be organised in different ways, forinstance through:Notification of up-coming or running permitting procedures to otherrelevant authorities;Use of common data bases, open for comments, includinginformation on permits and upcoming permits, e.g. waste facilityregisters;Hearings, addressing all relevant authorities;Consultation with or approval of the other authority.The following box provides information on how the other authorities areinformed about upcoming and issued permits.---------------------------Further readingBest practiceexample in practicalmanual: chapter2.2.5 and 2.2.8European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 53Member States’ implementation - practical exampleHow is the information about permits communicated between authorities?12 Member States provided information about the communicationprocedures between the authorities which can be summarised as follows:- The inclusion of the information into a waste facility register to whichdifferent authorities have access is the most common measure to distributeinformation (11 answers);- Upcoming and notified permits are 3qually communicated to theregional/local authority if issued by national level, or to central level ifissued by regional/local level) (5 answers each);Assessment ofpermit applicationCommunication andinformationexchange betweenauthorities- waste facilityregister- notification onupcoming andissued permits- All authorities stated that communication is carried out (no answer to theoption that no communication is performed).Some Member States also provided additional comments, in particular:- Portugal stated that information on permits of waste managementfacilities is notified to the Departments of the Ministry of Environment andSpatial Planning;- Spain is applying the new Integrated Environmental Authorisation (AAI)system under which permits are reported to national authorities twice ayear (every six months);- In Estonia, a permit application has to be approved by local governmentbefore introducing it to the national authority and then the nationalauthority publishes the application.- In Ireland, permits and certificates of registration are made publicallyavailable within a waste permit and certificate of registration databaseincluding waste collection permits, waste facility permits and certificates ofregistration issued by local authorities (at: http://www.epa.ie/wastepermit).An additional website includes the application, licences and the annualreports for all licenses issued by the Environmental Protection Agency (seehttp://www.epa.ie/terminalfour/waste/index.jsp).Independent of the information communication instruments, the authoritiesshould have the opportunity to provide comments to the permitdocuments. The comments shall be checked by the permitting authoritywhich can accept or refuse them. The question arises to what extent theauthorities competent for other environmental issues should be involved.The information provided from the EU Member States is included in thefollowing box.---------------------------Further readingExample fromIreland:http://www.epa.ie/wastepermithttp://www.epa.ie/terminalfour/waste/index.jspEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 54Member States’ implementation – practical exampleAre authorities competent for other environmental issues involved in thepermitting procedure, and what is their level of involvement?18 Member States provided information about the involvement of otherauthorities which can be summarised as follows:- Over 80 % respondents stated that other authorities are involved in thepermitting procedure under waste legislation (15 answers);- Over 60 % respondents stated that consultation with other authorities isperformed (11 answers);Assessment ofpermit applicationExamples fromMember Statesregardinginformation andlevel of involvementof other authorities- However, only a minor percentage (4 answers) stated that an actualapproval from other authorities is necessary.Five Member States provided additional comments, in particular:- In Belgium (Walloon Region), the requirements defined by the differentcompetent departments (waste, air, water...) are taken into account beforepermits are given;- In Spain (Andalucía), the permitting procedure usually includes severalenvironmental aspects and therefore requires the involvement of differentauthorities, such as the Provincial Delegations of the Environmental Ministryof the regional government. The involved authorities contribute with theirspecific expertise to the permitting procedure.- In the United Kingdom, the Environment Agency has responsibilities inrespect to other environmental controls, e.g. some water dischargeconsents/radioactive substances controls. On waste matters, the Agencymay consult with planning authorities. Primary care trusts are consultedover health effects of installations. They may seek advice from the HealthProtection Agency as well.- In Estonia, a committee oversees all applications received for hazardouswaste handling. The committee is a consulting body and consists of expertsfrom different authorities.- In Ireland, the Waste Management (Licensing) Regulation 2004 includes inArticle 18 an extensive list of whom to inform, including the Ministry ofEnvironment, the Ministry for Communications, the Central Fisheries Board,The National Trust, any local authority, sanitary authority, health board, theNational Authority for Occupational Safety and Health and othersEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 552. Public involvementFor certain permitting procedures, public involvement is necessary. Publicinvolvement should be – following Annex I of the Arhus Convention - atleast realised for the following types of waste installation permits:Installations for the incineration, recovery, chemical treatment orlandfill of hazardous waste;Installations for the incineration of municipal waste with a capacityexceeding 3 tons per hour;Installations for the disposal of non-hazardous waste with a capacityexceeding 50 tons per day;Landfills receiving more than 10 tons per day or with a total capacityexceeding 25,000 tons, excluding landfills of inert waste.Assessment ofpermit applicationPublic involvementcan be performed as:- Public notice- Internet- HearingsShould be performedas early as possiblewithin theauthorisationprocedureMember States may decide whether to include further waste managementoperations in this list.Where the applicant insists on a public participation, this should always bedone.The public can be informed by:Public notice;Publication on the internet;Hearings;Individually.In the case of a public participation, the project plan should be published inpublic media and the application documents made publicly available by thepermitting authority/other public institution close to the planned facility(e.g. municipality, mayor offices, etc.). A deadline for objections has to beannounced clearly. If statements, service reports or other relevantdocuments are already available, these should also be made publiclyavailable.Public involvement can be performed at different stages of the permittingprocedure. However, following Article 6(2) of the Aarhus Convention, thepublic shall be informed at an early stage of the environmental decisionprocedure. Thus, some Member States already require public involvementat the stage of defining what should be included in the assessment file;others, however, invite the public to comment on the finalised assessmentdocuments.According to Article 6(2) and the <strong>Guidance</strong> document of the AarhusConvention, the following information shall be made available to the public:---------------------------ReferenceThe AarhusConvention, ‘Animplementationguide’, UnitedNations, 2000Further readinghttp://live.unece.org/fileadmin/DAM/env/pp/acig.pdfEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 56Table 4.2-5:Overview of information provided to the publicText Aarhus Convention‘Information about theproposed activity and theapplication on which adecision will be taken’‘The nature of possibledecisions or the draftdecision’‘The public authorityresponsible for making thedecision’The envisaged procedure,including, as and when thisinformation can beprovided:(…)ExplanationPublic authorities must at least make theapplication available for inspection. Thepublication notification may include informationon the:• type of waste management activity• proposed technology• exact location and the project applicant and• any other information that is necessary forthe public to fully understand the scope andpotential consequences of the proposedactivityNature of decision making refers to e.g. permit,registration, licenseIdentify the public authority responsible formaking the decision; identification should becomplete enough to enable the public concernedto contact the identified person or bodyThe information must at least include thefollowing issues:• Information/Invitation to participate inpublic procedure• Information about how and when public cangain access to further information• Time and venue of any• Envisaged public hearing• Who to contactAssessment ofpermit applicationInformation to publicnecessary:- Proposed activity- Draft decision- Responsibilities- ProceduresAfter the public participation, the applicant and the concerned authoritieshave to be informed about all comments and objections. The relevantauthorities shall get the possibility to check and revise their comments dueto public objections.Regarding the involvement of the public, a Best Practice Example fromIreland is described shortly in the following box:Public access to licensing files and other relevant information aboutpermitting procedures is realised in Ireland by following the policy ofopenness and transparency. The available material includes summarydetails of the licence applications and the related documents andannual reports. Currently, about 40,000 pdf documents are availableonline.See chapter 2.2.7 of the practical manual---------------------------Further readingBest practiceexample in practicalmanual: chapter2.2.7European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 57Consideration of objectionsThe public and other authorities have the possibility to raise objections,either during the public hearings or in written form. The competentauthority then:notifies the sender that they received the objection;organises further workshops/hearings/discussion rounds to discussthe objection;assesses the objection, possibly carries out further investigations onthe case or requires further documents from the operator;decides whether the objection is justified and whether to take itinto account by setting additional conditions or by reviewing thedecision.Assessment ofpermit applicationConsideration ofobjections in formof:- Notify sender- Organiseworkshops- Assess objections- Decide onobjection- Take intoaccount as earlyas possibleAccording to the objections received from the relevant authorities andduring the public participation, the permit authority can decide to organisea discussion round in which the objections will be considered by therelevant authorities, experts and stakeholders, as far as such considerationis of concern for the result of the evaluation of the permit application. Thediscussions of objections will strengthen the decision basis of the permittingauthority.The consideration of objections should be performed as early as possible inthe permitting procedure. However, the consideration of an objection isalso possible within a certain time frame at the end of the procedure, afterthe decision on the permit was made public (e.g. 28 days of notification of adecision).As a consequence of the consideration of objections, the relevantauthorities can propose additional conditions.Control of criteria and conditions (on-site inspections)For most facilities, a check of criteria and conditions set in thepermit/registration requires on-site inspections to approve the practicalimplementation of the set permit conditions.In close cooperation with the facility operator, the authorities’ expert orinspector should visit the site together with the operator. Usually, theoperator is informed in advance to prepare for the inspection. Keyconditions and questionable points should be announced in advance to theoperator. An exemplary announcement letter is included in the practicalmanual (chapter 4, Further Tools).---------------------------Further readingLetter of advice toannounce inspectionincluded in chapter 4of the practicalmanualEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 584.2.3. Issue of permitFormulation of permitThis step includes the formulation of a permit, setting the content of thepermit including the explanation of conditions, information aboutmonitoring and inspection and the legal specifications.The permit should be limited to the necessary content, tightly written,understandable, and receiver-oriented. The content has to be expressedclearly so that the applicant and the authority can see the positive andnegative regulatory content of the permit.The following information is essential:Delivery note (with delivery forms)Date of the applicationIssue of permitFormulation ofpermit:- Formulation ofpermit- Setting thecontent ofpermit includingexplanation ofconditions- informationaboutmonitoring andinspection- legalspecificationsName of the applicantAddress of the applicantType of approval with indication of legal basis (short term)Exact location of the projectExact name of the application objectExact description of the facilityDecision to the immediate enforcement (if requested)Cost calculationThe application documents shall be further checked and occurringinconsistencies shall be cleared. If no open issues occur, or if all open issuesare solved, the decision will be made including a justification. In thejustification the essential factual and legal grounds have to be presented,which are essential for the decision of the permitting authority, and thespecific features of the case have to be indicated. It has to be made clearthat with the project, under consideration of additional conditions, permitconditions, eligibility requirements, especially environmental protectionmeasures according to the state of the art, but also other public regulations,are fulfilled. The justification has to be clearly structured and shall beprovided with a legal and technical assessment for the different areas of lawcovered by the decision.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 59Issuing a permitTo the permit a legal remedy shall be attached. Besides, the address of thecompetent administrative court has to be indicated. The permit must besigned and has to bear an official seal.Respondents from different EU Member States indicated the followingexamples of best practice when asked to provide best practice examples onissuing permits/registration (e.g. conditions, exemptions, nationalspecifications).Issue a permitSummary of BestPractice Examplesfor issuingpermits/registrationin EU Member StatesTable 4.2-6:Best Practice Examples for issuing permits/registrationMSATDE_HEESFRIENLUKBest Practice Examples for issuing permits/registrationPre-assessment of the permit before formal hearingInformation and various guidance documents available for download:http://www.hlug.de/start/luft/downloads/downloadsgenehmigungsverfahren.htmlPermitting models for hazardous wasteFor registration there are standard provisions. Forregistration/permitting there is either Ministerial Decrees containingminimal provisions or a referential for national specifications.Tiered system of permittingFully electronic permit system for requesting permitsOn-line registration system for exemptionsEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 604.2.4. Follow-upInformation storageIn order to allow easy access to permit files for stakeholders and the generalpublic, appropriate data management and storage techniques are necessaryduring the follow-up stage. The available data can be managed in bothelectronic and hardcopy form and information can be stored in paper formas well as in electronic databases (local, central, etc.). The access toinformation can be limited to the competent authority or organised as openaccess for other stakeholders and the general public.Follow-upExamples fromMember Statesregarding datamanagement,storage and accessThe following box provides information on how permit related data andunderlying information is managed and stored in different EU MemberStates.Example on Member States’ implementationWhat kind of data management for documentation and storage of permitand underlying information do you use?17 respondents provided information related to the data management andstorage of permit related information. Most of the respondents managedata in both electronic and in hardcopy form. The same applies for datastorage where relevant information is stored in paper form as well as inelectronic databases (local, central, etc.).In most of the cases data is stored in local databases with access limited tothe competent authority, central databases with access limited to thecentral authority and open databases with open access for general public. Infew cases respondents indicated that local databases and central databases(with authorised access for other authorities) are in place.A number of respondents provided additional explanations to theirresponses, in particular:MSDescription of data management and storageEE Open databases actually has two parts: 1) open part for everybody and 2)closed part for competent authorities.IE The Environmental Protection Agency is committed to being open andaccessible. Licence application and enforcement files are available to thepublic for viewing both in hard copy and electronically - see following linkfor more details: http://www.epa.ie/about/info/files/http://www.epa.ie/about/info/info/Local Authorities are also required to provide public access to permittingfiles and there is a publically accessible register of waste permits issued byLocal Authorities: http://www.epa.ie/wastepermit/NL Most national and also a part of regional/local permits are activelypublished of the authorities.UK Application for permit may be paper or electronic issued permits andsupporting information is on a public register apart from commercial-inconfidencematerial. The names, types and locations of businesses handling---------------------------Further readingBest practiceexample in thepractical manual:chapter 2.2.7http://www.epa.ie/about/info/info/European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 61MSUK_SCDescription of data management and storagewaste, or producing hazardous waste, are available online via a postcodesearch through the regulator’s website, together with the reference numberfor the permit, registration or exemption. Further details are available fromon receipt of an email enquiry.A more sophisticated online application, storage, and public access systemis currently under development.In relation to data management and storage/accessibility of permit relatedinformation especially the already introduced Best Practice Example fromIreland can be highlighted (see chapter 2.2.7 of the practical manual).Communication of issued permits to the public, other authorities, etc.The decision on the permit application should be announced/madeavailable to the public. The information provided to the public shall at leastinclude:operative part of the permitinformation about legal remedya statement that with the end of the publicity of the permitdocuments, the permit applies as delivered also for third partieswho have no objectionsFollow-upCommunication Summary of Best ofissued Practice permits Examples shall forinclude: monitoring/follow-up-in EUoperativeMemberpartStatesofthe permit- informationabout legalremedy- statement thatthe permitapplies asdelivered also forthird parties whohave noobjections- indication whereand when thedecision and itsjustification canbe viewed orrequestedan indication where and when the decision and its justification canbe viewed or requestedFor further information please also review Chapter 4.2.2, Participation ofother authorities, the public and other experts.Using of information for inspection planningThe available information should be used during the inspection planningprocedure. Especially the content of the permit, such as the type andquantities of waste that may be treated, technical and any otherrequirements relevant to the site concerned, safety and precautionarymeasures which need to be taken, monitoring and control operations, etc.should be taken into consideration during planning of inspections (e.g. fordefining the scope of the inspection plan, carrying out risk assessments,setting priorities, defining objectives and strategies, etc.).Information about the permit procedure, the facility and operator (e.g. wascooperation between operator and authority established during procedure;have conditions been implemented smoothly and without time delay, etc.)could also be of use to plan further inspection and inspection intervals.Respondents from EU Member States indicated the following examples ofbest practice when asked to provide best practice examples onmonitoring/follow-up (e.g. reporting protocols, handling of information).---------------------------Further ---------------------------readingFurther readingPractical manualchapter Best practice 8.2:Participation example in of the otherauthorities, practical manual: the publicand chapter experts 2.2.7European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 62Table 4.2-7:Best Practice Examples for monitoring/follow-upFollow-upMSDE_HEFRIENLPTBest Practice Examples for monitoring/follow-upVarious guidance documents available (e.g. waste generation,treatment facilities)Data system for monitoring emissions into air, water, soils and wasteproduction and treatmentEPA licences and LAs issued permits are available on the internetNational database system for registering waste streamsPublication of annual reports (Relatórios anuais)Summary of BestPractice Examples formonitoring/follow-upin EU Member StatesEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 634.2.5. Training, cooperation, guidanceAs waste management operations include a wide variety of organisationstructures and technical equipment, permitting authorities need expertiseknowledge, qualification and regular training to facilitate a smoothpermitting procedure. As authorities can be involved on different levels (e.g.including local and municipal level) the main objective should be toharmonize the quality of the permits.Training,cooperation,guidanceExamples fromMember Statesregarding training,cooperation andguidanceIn this regard, the Member States where asked to provide informationabout whether training, guidance and assistance for the staff is providedand to what extent. The following box summarises the information.Example on Member States’ implementationDo you provide training/guidance/assistance to the staff involved inpermitting under waste legislation?15 Member States provided information about the provision of training andguidance, showing that the majority of the authorities (80 %) provide a mixof all available options, in particular:- Supporting networking and cooperation amongst involved authorities withorganisation of regular meetings, platforms, exchange programmes (13answers)- Providing training to the concerned authorities e.g. through regulartraining seminars, buddy system, etc. (13 answers) and assistance e.g.establishing a help desk, hot line, computer based information system, etc.(12 answers each)- Elaborating and distributing guidance for issuing and handling of permits,e.g. guidance on particular facilities or for particular waste streams (12answers)- More or less same important is the application of standardised permittingformats(see also Table 4.2-8)Table 4.2-8:MSAT _VIAT_VOBE_WAOverview of information on training/guidance and supportDescription of trainings/guidance/support to the staff in placeApplies a mix of measures including the following: training of newemployees (buddy system), seminars, team meetings and regular meetingsof regional authorities.A measure of training of new employees (buddy system) is in place.The Local authorities are issuing permits based on advice and experience ofregional competent authorities. Except the advisory service from theregional level to the local, other measures in place for assistance includeoccasional meetings between involved authorities and phone and electronic---------------------------Further readingBest practice exampleson training,cooperation andguidance within thepractical manual:chapter 2.2.9 and2.2.10European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 64MSDE_HEEEES_ANFRIELTNLUKUK _SCDescription of trainings/guidance/support to the staff in placecontacts.An implementation guide for enforcement of the law on waste disposalincludes inter alia standardized templates and editing information forinvestment approval/monitoring and certain waste streams.Further measures in place are: trainings aids, experience exchanges,templates and regular staff meetings. Information exchange platform isavailable over the software product "MOSS" to the Hessian environmentalauthorities.Advisory service is available on interpretation of legislations, problemsolving solutions related to the permits’ issuance.Two type of advisory measures are in place: in electronic form – a computerbased assistance and face to face meeting on a regular basisA mixture of different measures is in place, starting from the guidancedocuments, software solutions, helpdesk, over regular training sessions andcomputer based information exchange platform. Further, the Ministrygathers inspectors 4 times a year and assists them in their daily work on thefield, if necessary.Additionally, an approval is required for becoming a state official inspector.This is made by the Ministry for the assessment of a permit application.EPA uses a general licence template with additional standard conditions forlandfills, waste transfer stations and composting which are basis for wastelicences issued. EPA understands Local Authorities (LAs) also have templatesfor Waste Facility Permits and Waste Collection Permits and EPA issuedguidance to LAs which included template application forms for WasteFacility Permit, Cert of Registration and Waste Collection Permitapplications. Training is provided on an on-going basis, as well as to 34 LAson the implementation of LA Waste Facility Permit, Cert of Registration andWaste Collection Permit functions.Forums for Waste Facility Permitting and Waste Collection Permitting havebeen established for information exchange, along with an EnvironmentalEnforcement Network (EEN) which brings together all authoritiesresponsible for environmental regulation.<strong>Guidance</strong> document is available on the web-site, standard application andpermit forms are developed, along training courses, seminars, workshops.Additionally, a computer-based assistance exists.Different measures are in place starting with training on the job and basictraining, software applications and information exchange platforms tomeeting for specific waste activities.Permitting Training Programmes and technical advisors are available.Generic licensing/permitting training provided; backed up by specialisttraining courses where need identified (e.g. for landfill; composting);Permitting Training Programme supported by guidance;Mentoring schemes are also used as well as competency framework isbeing developed;Specialist waste team provides support and produces guidance. Teammeetings are organized;Training,cooperation,guidanceExamples fromMember Statesregarding training,cooperation andguidance---------------------------Further readingBest practice exampleson training,cooperation andguidance within thepractical manual:chapter 2.2.9 and2.2.10European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 65Regarding the involvement of other authorities, two Best Practice Examplesare described shortly in the following box:The Austrian (Vienna) permitting system aims at an efficientimplementation of waste legislation with realising a good cooperationamongst the involved authorities and a strong support/cooperationwith the plant operator. This is realised by regular training of the staffinvolved and the operator, by introducing a “buddy system” for newpermitting staff and by communicating new developments in wasteand environmental policy. One expert is in charge for the entirepermitting procedure functioning as a contact person both for theauthorities and the operator. Relevant information is available andmanaged by this contact person.See chapter 2.2.9 of the practical manualTraining,cooperation,guidanceExamples fromMember Statesregarding training,cooperation andguidanceThe Estonian system for training for authorities involved in permittingand inspections foresees training sessions on a regular basis. Trainingsare focusing on topics related to the permitting procedure, i.e. how tointerpret legislation and how to solve problems in practice and onpractical issues, i.e. the presentation of new technology. Trainings alsoinclude site-visits.See chapter 2.2.10 of the practical manualRespondents from EU Member States specifically pointed out the followingexamples of best practice when asked to provide best practice examples fortraining, guidance and networking.Table 4.2-9:Best Practice Examples for training/guidance/networkingMSBest Practice Examples for training/guidance/networkingDE_HE See DE_HE answers in Table 4.2-8FRIENLUK_SCThe Ministry gathers inspectors 4 times a year for a workshop. On adaily basis the Ministry publishes feedback from inspectors on theinternetEnvironmental Enforcement NetworkNational platforms for improvement of regional waste enforcementIntroductory and specialist courses in waste regulation---------------------------Further readingBest practice exampleson training,cooperation andguidance within thepractical manual:chapter 2.2.9 and2.2.10European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 665. Inspection and MonitoringEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 675.1. Inspection and monitoringInspection and monitoring procedures are necessary to assess whether thepractice of operation is in line with the conditions set in the permitdocuments, thus enabling a thoroughly enforcement of EU and nationalwaste legislation on the ground.Enforcement:- Inspections- Monitoring andcontrolAs regards enforcement practice, EU legislation (WFD) divides betweenInspectionsMonitoring and controlInspectionsThe following waste treatment establishments need to be inspected by thecompetent authority on a regular basis (Article 34 WFD):Waste treatment operationsProfessional waste collectors or transportersBrokers and dealersHazardous waste producersInspections on collection and transport operations shall cover the origin,nature, quantity and destination of the waste collected and transported.While planning inspections MS may take into account the registration of thefacility to the Community Eco-Management and Audit Scheme (EMAS).Regarding landfill operations it is specified in the Landfill Directive, thatauthorities are obliged to carry out on-site inspections, in particular beforethe start of the operation and finally before closure (Article 8 and 13(b)Landfill Directive).In general there are three types of inspections:Compliance checks during the permitting phase inspecting thecompliance with the conditions set before starting the operationRegular (routine) inspections following the provisions set in thelegislation and following an inspection planNon-routine inspections (e.g. on basis of complaints)A distinction between announced and not-announced inspections is alsomade.Monitoring and controlPermits for waste treatment facilities need to include specifications to themonitoring operations as may be necessary for the facility (Article 23(1)(e)WFD).---------------------------Further reading:Proceduralrequirements forpermitting areexplained in the legalchapter 3.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 68This applies also for landfills (Article 7(f) and 9(c) Landfill Directive). TheLandfill Directive (Article 12, 13, Annex III) together with the WAC Decisionspecifies in great detail what kind of monitoring and control systems haveto be applied during operation and after-care phase including informationon sampling, limit values, testing and reporting for landfill operations.Note:Enforcement:- Inspection- Monitoring andcontrolCompetent authorities are obliged to carry out regular inspections to checkthe implementation status of a waste management facility in comparison tothe control referential (i.e. the permit). The inspection also covers theoperating conditions.The application of monitoring and control procedures is in general in theresponsibility of the operator. However, the monitoring and control planhas to be prepared according to the waste legislation and in closecooperation with the competent authority. The operator is also obliged toreport on the results of the monitoring programme on request or on aregular basis.Waste management operations include a large variety of involvedstakeholders, of different applied technologies and of size and design.Therefore, thorough planning of inspection activities, taking those issuesinto account, is crucial in order to utilise available inspection capacities to afull extent.The following chapter therefore describes the steps to be followed whenplanning and realising inspections.---------------------------Further reading:Proceduralrequirements forpermitting areexplained in the legalchapter 3.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 695.2. The inspection cycleScope and backgroundThe IMPEL Network elaborated a step-by-step guidance book for theplanning and realisation of environmental inspections called “Doing theRight Things II”. The guidance includes the inspection cycle, describing thesteps to be followed when planning and realising inspections at facilities.Basis for elaboration of the step-by-step guidance is the EURecommendation providing minimum criteria for environmental inspection(RMCEI). Pursuant to the RMCEI all inspection activities should be plannedin advance, by having inspection plans that cover the entire territory of theMS and all the controlled installations.InspectionInspection cycle:- StrategicPlanning- ExecutionFramework- Realisation ofInspections- Monitoring/Follow-upThe plans should be based on the EC legal requirements to be compliedwith a register of controlled installations, a general assessment of majorenvironmental issues in the area and a general appraisal of the state ofcompliance of the controlled installations. Plans should take into accountthe risks and environmental impacts of installations and any availablerelevant information on the controlled installations, such as reports ofoperations, self-monitoring data, environmental audit information,environmental statements and results of previous inspections.Planning is not an isolated activity, but closely interlinked with otheractivities. Therefore, the topics the RMCEI addresses can be grouped as:Planning: Establishing plans for environmental inspectionsExecution: Performing inspections and investigating accidents,incidents and occurrences of non-complianceReporting: Reporting on inspections, accidents, incidents and storinginspection dataEvaluation: Evaluating the implementation of inspection plans forinternal purposes and reporting to the EC or other 3rd parties.Inspection plans should be available to the public according to the “Aarhus”Directive (i.e. directive on public access to environmental information).From the first “Doing the Right Things” project it was learned thatpractitioners find the minimum criteria on planning in the RMCEI useful.However, they also noted some desirable improvements, including therevision of the RMCEI and/or by producing further guidance. Hence a stepby step environmental inspection cycle was developed, including thefollowing steps:---------------------------Further reading:Information to RMCEIis included into thelegal chapter 3.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 70Inspection1. Strategic Planning• Describing the context (scope of inspection plan,gathering information for performing the riskassessment)• Setting priorities (risk assessment, ranking andclassification of installations and activities, resources)• Defining objectives and strategies(quantitative/qualitative inspection objectives andtargets, inspection strategies to ensure compliance,communication strategy)• Planning and reviewing (organisational, human andfinancial conditions, inspection plan includinginspection schedule, review and revision)Inspection cycle:- StrategicPlanning- ExecutionFramework- Realisation ofInspections- Monitoring/Follow-up4. Monitoring/ Follow-up• Monitoring• Accounting for effort,performance results• Comparing and auditing• External reporting2. Execution Framework• Work protocols and instructions• Protocols for communication• Information management andexchange• Equipment and other resources3. Realisation of Inspections• Routine/non-routine inspections• Investigation (incl. accidents, incidents,non-compliance)• Reporting• Information exchange (e.g. withpartner organisations)Figure 5.2-1: Environmental Inspection Cycle [inspired by: IMPEL DtRT II2008]Within all steps of the inspection cycle training of competent authorities aswell as the organisation of effective networking amongst officials incompetent authorities on local, regional and national level, etc. is importantto effectively realise and follow up inspections.---------------------------Reference:[IMPEL DtRT II 2008]“Doing the RightThings II”, availableas download at:http://impel.eu/keyprojects/key_1/doing-the-right-thingsEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 715.2.1. Strategic PlanningStrategic planning is a cyclic process, since the review of the inspection planmay lead to developing a new inspection plan or modifying the existing one.The strategic planning process, described in the IMPEL guidance [IMPELDtRT II 2008] contains four main steps:Describing the contextSetting prioritiesDefining objectives and strategiesPlanning and reviewingStrategic planningMain steps:- Describing thecontext- Setting priorities- Definingobjectives andstrategies- Planning andreviewingDescribing the contextIn the first step the inspecting authority looks at its statutory tasks. Thescope of the inspection plan is set and the necessary information iscollected to perform the risk assessment.Describing the context is a necessary input for identifying and analysing therisk.A full inventory of the context within which the authority has to operate isvital to define its activities and set the scope of the inspection plan. Thisscope is normally identified by elements such as:The general mission and objectives of the authorityIts statutory tasks and competencesNational, regional or local policiesFurthermore, an inspectorate may want to take into considerationparticular opinions expressed by the general public, NGO’s, industry orother relevant stakeholders.On a more detailed level, information about companies and installationsthat fall under the competence of the authority concerned can be gathered,including data on their:Environmental impactPermit situationCompliance behaviouretc.---------------------------Reference:[IMPEL DtRT II 2008]“Doing the RightThings II”, availableas download at:http://impel.eu/keyprojects/key_1/doing-the-right-thingsEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 72Setting prioritiesData gathered in this step is used for carrying out the risk assessmentprocess, which is included in the second step. The risk assessment results ina list of installations or activities that are ranked and classified. Besides, inthis step the list of priorities is developed which is the input for the nextstep (i.e. defining objectives and targets).The following information sources could deliver valuable information toperform a risk assessment:Waste facility register, holding information on location, size andtype of waste facilitiesStrategic planningMain steps:- Describing thecontext- Setting priorities- Definingobjectives andstrategies- Planning andreviewingState of compliance, e.g. information about previous inspections inform of inspection reports etc.Risk and environmental impact studies performed for e.g. certainwaste types, waste streams or facilities e.g. on national/regionallevelVoluntary agreement schemes (e.g. EMAS), providing informationon waste management of the facilitiesOnly some Member States provided information about what information isused for inspection planning. The following box gives a brief summary onMS responses.Example on Member States’ implementationWhich information do you use for risk assessment based inspectionplanning for waste management operations?Seven respondents provided information regarding the information usedshowing that:- Information on state of compliance is valuable information especially forsuch facilities not requiring a permit (e.g. non-hazardous waste producers,waste transfer stations, waste broking and dealing and waste pretreatmentoperations).- Information on risk and environmental impacts is in particular used forlarger facilities, i.e. waste incineration facilities and landfills but also forhazardous and non-hazardous waste producers.- Information from the waste register is in particular used for wastecollection and transfer stations.- The participation and information from voluntary agreements andmanagement systems such as EMAS (Eco Management and Audit Scheme)are up to now of minor importance for the planning of controls, as suchsystems are not widely implemented in the waste management sector.---------------------------Reference:[IMPEL DtRT II 2008]“Doing the RightThings II”, availableas download at:http://impel.eu/keyprojects/key_1/doing-the-right-thingsEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 73Some Member States also provided additional comments, in particular:- France stated that incidents at the facility or complaints about it are otherinformation sources.- In the United Kingdom the information supplied with permit applications,compliance data and monitoring data is used as information source.Strategic planningMain steps:- Describing thecontext- Setting prioritiesThe method used for the risk assessment can also differ betweeninspecting authorities, but should be objective in nature and simple toapply.Limited resources on the one hand and a multitude and variety of statutorytasks on the other hand make it necessary to set clear priorities. Prioritiesare set by using the outcome of the risk assessment, which could be a list oran overview of the identified/selected installations and activities and theirrespective risks. These installations and activities can, on the basis of theirassessed risks, be classified, for example, in ‘high risk’, ‘medium risk’ and‘low risk’ installations. In addition the inspection approach for each levelcan differ: the higher the risk level, the more attention it will get from theinspecting authority. As a consequence, the inspection approach will alsodetermine the claim on the available resources, and is therefore equallyrelevant for the inspection plan and in the inspection schedule.- Definingobjectives andstrategies- Planning andreviewingAs regards inspection of waste management facilities it shall be consideredthat risk assessment and strategic planning have to be made at an earlystage in order to determine which areas and operations to prioritise byinspections and monitoring activities.As mentioned, in the first step the inspecting authority needs to set thescope of the inspection plan (e.g. general mission and objectives, statutorytasks and competences) and to collect all required information (e.g.information about companies and installations, including data onenvironmental impacts, the permit situation, the compliance behaviour) forperforming the risk assessment. In addition, at this step, the inspectingauthority may consider options expressed by various stakeholders (e.g. thegeneral public, NGO’s, industry).Good practices regarding strategic planning of inspections can be found invarious EU MS. The methods used for the risk assessment can differbetween inspection authorities. The following box shortly explainsexamples from Sweden and the Netherlands.---------------------------Reference:[IMPEL DtRT II 2008]“Doing the RightThings II”, availableas download at:http://impel.eu/keyprojects/key_1/doing-the-right-thingsFurther readingBest practiceexamples in thepractical manual:chapter 2.3.1 and2.3.2European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 74The Swedish methods for risk based classification and ranking ofinspection objectives are made with reference to the potential risk ofthe installation/activity as such and with reference to the experiencesthe inspection authority has obtained concerning how each operatorruns the installation, how the management is performed and earlierrecords concerning contacts with authorities, etc. In order to create anoverview of the risk assessment concerning the installations andactivities a typical risk and experience score is applied and plotted.See chapter 2.3.1 of the practical manualIn the Dutch waste stream based risk analysis thirteen risk factorshave been selected and for each factor it is indicated on what basis itwill be assessed and how the severity of the risk is determined. Thefactors are divided into two effect factors (i.e. characteristics of thewaste and waste cover) and 11 chance factors (e.g. export dynamics,risk destination countries, treatment costs in the NL, number ofdisposers, etc). For the final ranking a risk analysis is not the onlyaspect. Other factors such as the compliance behaviour, politicalpriority etc. play also a role. Furthermore, future developments in thewaste market, laws, regulations and policies, etc. are considered.See chapter 2.3.2 of the practical manualStrategic planningMain steps:- Describing thecontext- Setting priorities- Definingobjectives andstrategies- Planning andreviewingIn this connection, EU MS where asked to provide information on theapplied instruments and methods for planning inspections of wastemanagement operations. The following box gives a brief summary on MSresponses.Example on Member States’ implementationWhich instruments/methods do you use for planning inspections of wastemanagement operations?In total 15 respondents provided information regarding the appliedinstruments/methods for planning inspections of waste managementoperations. Most MS apply a combination of different instruments:- Almost all respondents (i.e. 14) indicated that inspection plans are used forthe planning of inspections- In 8 MS inspections are planned in accordance with legal provisions onperiodic inspections- In 6 MS risk assessment based instruments are in use- An incident driven approach instead of a planned approach was alsoindicated by 6 stakeholdersSome Member States also provided additional comments, in particular:---------------------------Further readingBest practiceexamples in thepractical manual:chapter 2.3.1 and2.3.2- France stated that facilities under the Seveso, IPPC, Landfill and IEDEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 75Directives have to be inspected at least once a year.- In Ireland inspection planning is carried out using RMCEI and riskassessment categorisation. This is done at EPA level for its inspections andby Local Authorities (LA) for their inspections (coordinated by the EPA).Enforcement policies are also in place in EPA and all LAs. Furtherexplanations are given in Sections 1.1.2, 1.2 and 1.3 of the “Focus onEnvironmental Enforcement in Ireland Report 2006-2008”, available at:http://www.epa.ie/downloads/pubs/enforcement/focus/#d.en.27305- In the United Kingdom a risk based approach is used to determine theinspection frequency. The inspection frequencies are planned at the start ofeach financial year. A compliance assessment scheme is used to reduceinspections for compliant operators and increase inspections for noncompliantoperators.Strategic planningMain steps:- Describing thecontext- Setting priorities- Definingobjectives andstrategies- Planning andreviewingIn relation to inspection frequencies it can be summarised that most of theinstallations are inspected yearly, every two years or in larger inspectionintervals. Only in a few cases more frequent inspections are required (e.g.half-yearly, quarterly). The stakeholder responses are summarised in thefollowing box.Example on Member States’ implementationWhat inspection frequency do you apply for different types of wastemanagement operations?Seven respondents provided information regarding the frequency ofinspections, showing that:- The majority of facilities is inspected yearly, i.e. hazardous wasteproducer, WEEE sorting and dismantling facilities, waste re-use-, recycling-,incineration- and co-incineration facilities and landfills.- Non-hazardous waste producer and waste collection facilities are mainlyinspected every two years.- Waste sorting, transfer and pre-treatment is inspected yearly or lessfrequent in the majority of the MS.Some Member States also provided additional comments, in particular:- Belgium (Walloon region) stated that inspection plans and priorities aredefined annually. It's not possible to specify a unique frequency for eachtype of activity.- In France the inspection frequency depends on the nature of the facilityenvironmental impacts, on the results of the previous inspections and onspecific national actions planned by the Ministry.- In Ireland and the United Kingdom the inspection frequency depends onthe results of the risk assessment.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 76- In the Netherlands inspections of waste plants are mainly done byregional/local authorities. There are 12 provinces (regional authorities) andmore than 400 local authorities. Each authority defines its own inspectionfrequency.- In Germany (Hesse Region) frequency is set based on guidance forenforcement and inspection of waste facilities.- In Estonia some of the inspections, e.g. of waste transfers, broking/tradingare not carried out regularly but if necessary.Defining objectives and strategiesWithin the step the responsible authority for inspections identifiesquantitative and qualitative inspection objectives and targets. Theinspection strategies can be defined or modified in order to meet theobjectives and targets. The output of this step (i.e. objectives, targets andinspection strategies) will be part of the input to the next planning step.Strategic planningMain steps:- Describing thecontext- Setting priorities- Definingobjectives andstrategies- Planning andreviewingBased upon the priorities, the inspecting authority sets targets andobjectives. In order to establish whether these objectives and targets canand will be met, the output and the outcome must be monitored. This isgenerally done by using performance indicators. Examples of performanceindicators on outcome that may be useful are:The amount of incidents or complaints occurringThe level of complianceThe actual achievement of reduction targets for certain pollutantsor certain risks at the site that are directly regulated or enforced bythe inspection authorityThe Improvement of air, land and water quality through the actionsof the inspectorate and/or in co-operation with other authoritiesThe inspecting authority may want to link its objectives with certaininspection strategies to ensure that its objectives can be reached in both aneffective and efficient manner, causing minimal burdens for the companyand the authority. It may furthermore want to adopt and use certaincommunication strategies for exchanging information internally and withother competent authorities.Subjects that can be addressed are:The co-operation and information exchange between inspectingorganisations and other authoritiesThe character and form of inspectionsThe effect of the operator’s behaviour on the inspection frequencyThe path of administrative and/or criminal follow-up upon non-European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 77compliance, which must be firm, fair and unambiguous in case ofnon-compliancePlanning and reviewingIn the final step, the inspection plan is developed, including an inspectionsschedule. The inspection plan can be seen as a strategic plan and does notcontain operational information.An inspection plan describes:The objectives that the inspecting authority, given its mission andtasks, wants to achieveStrategic planningMain steps:- Describing thecontext- Setting priorities- Definingobjectives andstrategies- Planning andreviewingThe policy, environmental, legal, organisational, financial and otherrelevant conditions under which the inspecting authority has toperform its inspection activitiesThe strategies which the inspecting authority has adopted forperforming its inspection activitiesHow priorities with regard to inspection activities are set, takinginto account these objectives, conditions and strategiesThe priorities themselvesThe general public has the right to know what the inspecting authority hasplanned for the defined period (it should be transparent) and the planshould therefore be available to the public. However, the inspectingauthority may choose to withhold parts of the plan (e.g. the inspectionschedule). This could be typically due to the inclusion of unannouncedinspections or other unannounced enforcement actions which must bewithout warning in order to be effective.The inspection plan will be used to compile an inspection schedule. Thisschedule should include information such as names of installations, dates,type of inspections, inspectors assigned, etc.When developing the inspection plan and inspection schedule it isnecessary to consider the organisational, human and financialcircumstances. Most importantly the inspection plan and the inspectionschedule should be in balance with the available resources and budget andshould be in line with the organisational structure.An example of effective allocation of available resources is presented withinthe practical manual (i.e. chapter 2.3.3; Administrative structure to enforceinspections).---------------------------Further readingBest practiceexample in practicalmanual: chapter2.3.3European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 78In the Polish administrative structure to enforce inspections the ChiefInspectorate plans inspection activities on central level assigning tasksand actions for the regional levels (Voivodship Inspectorates). TheVoivodship Inspectorate has to effectively allocate available resources.The Polish Central Inspectorate bundles responsibilities for enforcingwaste legislation and coordinates inspections at regional level bysetting priorities for the focus of inspections (on a 4 years basis), givinginstructions to the regional inspectorates about the setting ofinspections plans, providing general guidance for realising inspections,elaborating guidance for inspection cycles (campaigns) and thedirection of inspection activities for the following years. Additionally ita forum for information exchange for inspectors.Strategic planningMain steps:- Describing thecontext- Setting priorities- Definingobjectives andstrategies- Planning andreviewingSee chapter 2.3.3 of the practical manualThe review and revision of the inspection plan is also part of this step. Whenthe process continues after the step ‘performance monitoring’, it returns tothis step. Based upon the monitoring and evaluation of the inspection plan(including the inspection schedule), it will be reviewed and possibly revised.Respondents from EU Member States highlighted the following examples ofbest practice when asked to provide best practice examples for strategicplanning of inspections (e.g. risk assessment, inspection strategies,communication strategies).Table 5.2-1:Best Practice Examples for strategic planning of inspectionsMSBest Practice Examples for strategic planning of inspectionsDE_HE <strong>Guidance</strong> for enforcement and inspection of waste facilities (Chapter 1)FR National action on the control of hazardous waste treatment circuits,national action on PCB elimination (annual reporting to the public)IE See document ‘Focus on Environmental Enforcement in Ireland’http://www.epa.ie/downloads/pubs/enforcement/focus/FoEE_Exec%20Summ_Chp1.pdfNL Risk based waste stream description---------------------------Further readingBest practiceexample in practicalmanual: chapter2.3.3European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 795.2.2. Execution FrameworkTaking into account the type of inspections and facilities, the followingauthorities on national, regional or local level might be involved in planningand executing inspections:Environmental authoritiesInspectoratesPolice servicesCustom servicesExecution Framework- Involvedplanning andexecutingauthorities- Examples onMS practiceNotified bodies like the green dot organisation or ExtendedProducer Responsibilities (EPR) bodiesExample on Member States’ implementationWho is involved in realising inspections at waste management operations?Following the responses delivered by the stakeholders, the environmentalauthorities on all three levels (national, regional, local) play a major role inrealising inspections.Inspectorates and police services, in particular on the regional and locallevel, are also involved in some Member States.Custom services and notified bodies are involved to a minor extend andmainly on the national level.Further specifications are made in the Netherlands and Ireland.In the Netherlands on the regional and local level the inspectorate, police,etc. is sometimes involved, depending on the particular case.In Ireland the majority of inspections are done by the EPA and by LAs as theprimary waste enforcement authorities. Other authorities (e.g. the policeservice, customs, regional fishery boards, national parks and wildlife services)may also be involved in specific cases.In general, it is a good approach to involve various authorities in planningand executing inspections, also including multi-agency access to information.In particular the collaboration with police services can be highlighted andcould be strengthened in the future. There are several reasons why thepolice should be involved in planning and executing inspections, such as:• Illegal waste sites and movements can only be made visible by ‘openeyes’ and by carrying out as many inspections as possible• The police is 24h/365d in the field and the officers mostly know theirdistrict quite well (this is especially of importance for the identificationof non-registered/illegal waste sites)--------------------------Source:Police Bremen,Presentation at theIMPEL ‘Waste SitesWorkshop’ (26-27Sep. 2011, Frankfurt):Waste streams andwaste sites from apolice perspectiveEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 80• In most of the cases competent environmental authorities havelimited resources and are working exclusively during ‘office hours’• The police can carry out traffic inspections (synergy effects could beused) and has the legal power to stop transports in case of any doubts• Police knowledge should be used to create professional investigationrecords in waste movement crime casesExecution Framework- Cooperationwith authorities• The experience shows, that close cooperation with competentauthorities and customs is an effective tool to carry out inspectionsIn order to ensure effective cooperation with authorities in other countriesand with the police and customs, it is advisable to contact the highest leveland convince the top management of the importance of joint actions.Concerning the police, it is useful to point out the aspect of collateral (nonenvironmental)crime present on waste sites.Furthermore, in order to bundle knowledge and competences, the setting upof waste units and personnel particularly trained for planning and carryingout inspections at waste facilities, is an important tool. It is possible toincorporate such waste units into the existing structures of theinspectorates.Example on Member States’ implementationDo you have specific waste units in inspection authorities?Most of the respondents answered that specific waste units exist on eithernational or regional level. 8 out of 13 MS stated that such units exist onregional level, 7 out of 13 MS stated that such units exist on national level.Two stakeholders however stated that such units are not in place.In Germany (i.e. Bremen) a special unit within the Bremen Police Departmentresponsible for environmental protection has been established. The maindriving forces to establish such a special unit were:• Criminal acts which cost human victims and create illegal money• Connections to other forms of crime, such as trafficking in stolenvehicles, receiving stolen goods, etc.• Crime prevention, detection and investigation is the ‘job’ of thepolice• Police knowledge is absolutely necessary for professional lawenforcement• Bremen is a ‘good place’ for waste inspections3. Combination with other inspection issues--------------------------Source:Police Bremen,Presentation at theIMPEL ‘Waste SitesWorkshop’ (26-27Sep. 2011, Frankfurt):Waste streams andwaste sites from apolice perspectiveAnother way to make inspections more effective is the association ofEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 81inspection issues. Waste facilities, especially large ones, have to complywith other requirements in the field of air pollution, waste waters, safetyrequirements etc. Therefore inspections might be combined with thoseissues and most of the Member States perform combined inspections.Are inspections at waste facilities associated with other inspection issues?Execution Framework- Combinationwith otherinspection issuesThe vast majority (10 out of 13) of the Member States does combinedinspections to other environmental issues (e.g. air pollution control).Waste inspections are also connected to safety and fire issues (7 answers)or to procure standard issues (4 answers).Only a minority stated that inspections are not combined (2 answers).UK (Scotland) commented, that inspections are generally not combined, butthat there are a few circumstances where the inspections may be related toactivities with complementary permits (e.g. using pulverized fuel ash incement batching processes controlled under air pollution controllegislation).It was also stated from Belgium (Walloon region) that inspections might becombined with social aspects (e.g. illegal workers, tax fraud).Work protocols and instructionsBefore inspections can be executed, it is obligatory to meet all necessaryconditions. The working procedures and instructions, powers andcompetences, equipment and other resources should be in place.In particular, the execution framework serves to facilitate the differentinspection activities (e.g. compliance checking through site visits,enforcement actions like imposing sanctions, compliance assistance throughorganising information campaigns etc).In addition, protocols and working instructions are developed andconditions for realisation defined. This step is required in order to ensurethat inspection activities can be executed effectively, efficiently,professionally and consistently.The execution Framework should at least cover the following issues:Protocols and working instructions for routine and non-routineinspectionsProcedures for imposing sanctionsDevelopment of inspection and enforcement handbooksProtocols for communication with the public (access toinformation) and with the IndustryInformation management and information exchangeEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 82Conditions for realisation (including competencies, systems forplanning, programming and monitoring, facilities and materialsneeded, maintenance and calibration of equipment, etc.)Good practices regarding provision of protocols and working instructionsexist in several EU MS. The following box shows such examples.In order to guide routine inspections at waste management facilities,the German Federal State Hesse provides concise guidelines forroutine inspections of waste management facilities. In the course ofsite inspections, a checklist is used. Some of the issues covered are:environmental quality standards, storage capacity, classification ofwaste, etc.Execution FrameworkGood practiceregarding provisionof protocols andworking instructionsSee chapter 2.3.4 of the practical manualThe Lithuanian Environmental Protection Agency developed a checklist for inspections at waste management operations includingindicative questions in order to support routine and non-routineinspections at waste management facilities. Inspectors use and fill outthe list when realising inspections. Some of the questions are relatedto: environmental management systems, waste management, storingof waste data documentation, hazardous waste management,packaging and packaging waste, fees for environmental pollution, etc.See chapter 2.3.5 of the practical manualIn relation to information management and exchange, the Irish example ofgood practice can be pointed out. The following table briefly describes themain point of the Irish system for storing and accessing enforcementinformation, including inspection/audit/monitoring reports.The Irish EPA follows an open approach to provide stakeholders andthe public with information from inspection activities. Access todocuments is provided at the Irish EPA offices at four locations inIreland. The EPA website provides a list of files available at each officeand a Public Viewing Procedure. Every effort is made to ensurecompleteness and accuracy of the files. Photocopying is available and aPC is made available for website access.See chapter 2.3.6 of the practical manualAt this point it should also be mentioned that the IMPEL Network didvaluable work especially on the site of the preparation and realisation ofinspections. Other projects of IMPEL aimed at promoting and improvinginspections and harmonising reporting forms for inspections. A recentIMPEL project called ‘Waste Sites Project’ aims at identifying good practicesand developing a practical guidance tool for inspection of upstream waste---------------------------Further readingBest practice examplein the practicalmanual: chapter 2.3.5and 2.3.6European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 83sites and for the promotion of compliance with waste law on these sites, bycompetent authorities in the IMPEL Member Counties. Informationregarding this project and the corresponding Terms of Reference can beaccessed via the IMPEL project library: http://impel.eu/projects/waste-sitesRespondents from EU Member States particularly highlighted the followingexamples of best practice when asked to provide best practice examplesregarding the execution framework (e.g. work protocols, informationmanagement, equipment, allocation of resources).Table 5.2-2: Best Practice Examples for execution frameworkExecution FrameworkIIMPEL NetworkRealisation ofInspectionsMSDE_HEIEBest Practice Examples for execution frameworkUse of computer-aided systems such as AIS-I (Facility InformationSystem), ASYS (Waste Monitoring System), etc.Correspondence/reports generated and tracked through databases5.2.3. Realisation of InspectionsRoutine/non-routine inspectionsIn this step the inspections are actually carried out, which means that thevarious inspection activities (aimed at compliance checking and complianceassistance) are prepared and executed. Traditional inspection activities arethe (physical) routine (site) inspections, non-routine (site) inspections andinvestigations of incidents.In most EU Member States various inspection activities are carried out,dependant on different waste management operations, in particular:Checking of reporting/monitoring results delivered by operators(e.g. paper work, administrative check)Physical inspections of facilitiesPhysical inspections of products and/or materials (e.g. RoHScompliance, compliance with other product standards, compliancewith the essential requirements on packaging waste)Routine site inspections (e.g. based on hazardous risk assessmentschemes)Non-routine site inspections (e.g. on demand inspections, incidentdriven inspections)Single waste movement/transports (i.e. road, waterways, inlandport, sea port inspections)---------------------------Further readingBest practice examplein the practicalmanual: chapter2.3.4and 2.3.5Verification inspections (e.g. following accidents, incidents, noncompliance)European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 84Many of these activities can and should be executed according to standardprotocols and working instructions. An example is the guidance for routinewaste inspections provided by the German Federal State Hesse (see chapter2.3.4 of the practical manual). The Lithuanian EPA prepared a similarchecklist in order to support routine and non-routine inspections at wastemanagement facilities in Lithuania (see chapter 2.3.5 in the practicalmanual).Realisation ofInspectionsMember StatepracticeInspection frequencyThe cooperation and information exchange with partner organisations isalso an important part of this step. Information on inspection activities, i.e.inspection reports, also including accidents, incidents, occurrence of noncompliance, their results and follow-up (e.g. imposed sanctions) should bestored in an accessible database.Example on Member States’ implementationWhat kind of data management do you use for documentation ofinspection information?According to MS responses, electronic reports and paper documentation(11/10 answers from 12) are the most common way of documentinginformation on inspection activities carried out, their results and theirfollow-up.In relation to data storage, paper storage (10 responses) and the use of localdatabases with access limited to the competent authority (9 answers) wasindicated by most respondents. View Member States answered that localdatabases are applied enabling other authorities an authorised access (2answers).Some Member States also maintain central databases in most cases withaccess only to the central authority (6 answers), access to the general public(4 answers) or in minor cases with authorised access for other authorities (2answers).Regarding inspection frequencies it can be stated that inspectionfrequencies can vary significantly, dependant on the type of wastemanagement operations and/or the EU Member State where inspectionsare carried out.The following table summarises Member State responses when asked toindicate inspection frequencies applied to different types of wastemanagement operations (i.e. summary of most common answers byrespondents).European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 85Table 5.2-3:Inspection frequencies applied in EU Member StatesWaste managementoperationsYearlyEverytwoyearsEverythreeyearsLargerintervalsRealisation ofInspectionsHazardous waste generator XNon-hazardous wastegeneratorXWaste collection X XInspectionfrequenciesWaste sorting X XWaste sorting/dismantling XWEEE transfer X XWaste broking/tradingReverse logistics operationsWaste pre-treatment X XXXWaste re-useXWaste recyclingXWaste incinerationXWaste co-incinerationXWaste landfillingXAs it can be seen in Table 5.2-4, most of the waste management operationsare inspected on a yearly basis. With regard to waste collection, wastesorting, WEEE transfer, and waste pre-treatment the answers provided varygreatly (especially in case of waste sorting and WEEE transfer operations).On the other side, respondents indicated that non-hazardous wastegeneration, waste broking/trading and reverse logistics operations areusually inspected in larger intervals (i.e. > 3 years).Non-licensed waste management operations are mostly inspected only ifcompetent authorities become aware of their activities (e.g.complaints/information received from residents).Respondents from EU Member States particularly highlighted the followingexamples of best practice when asked to provide best practice examplesregarding the realisation of inspections (e.g. guidance for inspections, staffinvolvement, inspection formats).Table 5.2-4:Best Practice Examples for realisation of inspectionsMSDE_HEFRIENLBest Practice Examples for realisation of inspections<strong>Guidance</strong> for the enforcement and inspection of waste facilitiesInspection guideline to harmonise and optimise inspection proceduresThe EPA has developed targeted inspection templates for landfill andwaste transfer sectors. In addition, templates have also been preparedfor certain Inspections under WEEE and RoHSChecklist for essential requirements and RoHSEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 865.2.4. Monitoring/Follow-upTo ensure that all objectives and targets are met, it is necessary to monitorthe output and the outcome. The monitoring results can then be used to:Check whether inspections objectives and targets have been metand the effectiveness of the inspection plan applying meaningfulperformance indicatorsMonitoring/FollowupExplanation offollow-up proceduresTo review and possibly amend the inspection planTo report internally, to the public and stakeholders, at national orEU-levelMonitoring can take place on different levels. On the inspection schedulelevel, regular monitoring of progress should be carried out in relation toperformance indicators (e.g. planned number of inspections vs. actualinspections carried out). This should inform the execution of the scheduleand may be carried out for example on a six-monthly or quarterly basis. Thisshould also include monitoring of actions taken as a result of inspections orcomplaints e.g. legal notices issued. Performance monitoring should alsotake place at a higher level in relation to the success of the plan. This couldinclude measurements against plan outcomes, against the objectives andmeasurable targets (e.g. general environmental improvements, increase incompliance rate), and external reporting of plan outputs/outcomes tonational or EU level etc.Example on Member States’ implementationDo you use the outcome of previous inspections for future inspectionplanning (e.g. reviewing inspection plans, reviewing inspection frequency)?A number of MS provided answers and additional brief explanations to thisquestion:- In Belgium (Walloon region) the outcome of previous inspections is takeninto account when preparing annual inspection plans.- In France the outcome of previous inspections is used in case one or moreprevious inspections have highlighted a generic issue.- In the Netherlands the outcome of inspections is used as input to the riskbased inspection planning performed for major waste sectors.- In the UK, Germany (Hesse region) and Austria (Vienna region) inspectionfrequency can be reduced if good compliance is proofed within inspections(and vice versa).- In the UK (Scotland) any actions required following previous inspectionsare checked at subsequent inspections.- In Lithuania the use of the outcome of previous inspection documentationEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 87is encouraged and stimulated.- In Estonian inspection results are reported within a protocol and enteredinto a database. For each inspection, review records from previousinspections are taken into account.Follow up of inspection activities and the prosecution of cases is an importantpart within the inspection cycle. The follow up stage also includes theincorporation of inspection information/results into the data storage systemof a facility. It is important that inspection time/budget for this part andprosecution is not underestimated.Monitoring/FollowupMember StatepracticeFollow-up procedures can include the following activities:The elaboration of administrative orders to the operator e.g. interms of clean-up activities, technical improvement, transport ofwaste to other facilities, etc.Adaptation of permit conditions within administrative rulingprocedure, e.g. setting of additional conditions / reformulation ofconditionsWithdrawal of a permitSetting of sanctions, fines and penaltiesCourt proceduresIn case of any irregularities, MS indicated the following follow up procedures:Example on Member States’ implementationIn case of irregularities, what procedures follow the inspection?In total 12 stakeholders provided answers to this question. As their responsesshow, in most EU MS different follow-up procedures are applied in practice.- However, all respondents apply sanctions, fines and penalties.- Further administrative order (e.g. clean up, technical improvements,transport of waste to other facility, etc.) was also indicated by most of therespondents (i.e. 11).- Administrative ruling in terms of permit conditions (e.g. additionalconditions within permit) and withdrawal of a permit was selected by 10respondents, respectively.- 9 respondents answered that court procedures can be applied in case ofirregularities. Additional explanations were provided by almost allrespondents.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 88A number of respondents provided additional explanations to theirresponses:MS Administrative orderMonitoring/FollowupFRNL,UK_SC ,AT_VIIEEEDE_HEMSMSAT, BE,EE, UKFRDE_HENLMSFRNLUK,DE_HEMSNLUKUK_SCIEDE_HE,EELTMSA system is in place to remind the legislation to the facility operator("Mise en demeure"). Administrative fines, work to achieve complianceand temporary closures are also used as measures to enforce wastelegislation.The Netherlands, UK (Scotland) and Austria (Vienna region) mentionedclean up and technical improvements as a frequent administrativeorder.Non-statutory notices such as notifications of non-compliance may beissued if necessary specifying correction actions or statutory noticesmay be issued for example under Section 18 or 55 of the WasteManagement Act, 1996 (as amended).In Estonia writing a prescription is the common administrativeprocedure to follow inspections.If discrepancies are reported within the inspection, German (Hesseregion) authorities are sending subsequent orders, in case thediscrepancy is not eliminated by the operator.Administrative rulingAdministrative order.Austria (Vienna and Vorarlberg Region), Belgium (Walloon region),Estonia and the UK (including Scotland) stated that additional (or moreprescriptive) conditions can be imposed in permits if necessary.While in France additional provisions are included in an additionalpermit.In Germany (Hesse region) such additional provisions are included insubsequent orders.The Netherlands stated that additional provisions are not widely used;an example is the shortening of the terms of the permit.Withdrawal of a permitWithdrawal can be done after financial procedures (fines) only.A permit can only withdraw for waste collectors. However futurepermits might be refused for other sites also based on irregularities inthe past.The withdrawal of a permit is only practiced in serious cases toavoid/reduce severe effects to the public.Sanction, fines and penaltiesSanctions are the type of follow-up procedures which are principallyused.In the UK civil sanctions are becoming available.In general those actions require court proceedings.Sanctions, fines and penalties are generally only imposed by the courtsin the event of a successful prosecution; the enforcement authorities(EPA ad LAs) do not have the power to issue fines except for litterpollution which LAs can issue fines for.Penalty proceedings for misdemeanours are applied. In case ofsuspicion, the enforcement authorities (public prosecutor) are informed.Administrative fines are applied according to the inspection guidelines.Court proceduresMember StatepracticeEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 89BE_WAFRNLUKIEIn case of significant environmental violations.Penal sanctions including fines and imprisonment.Sanctions which are either police or competent authority based. Policebased sanctions are more likely to end up in court.For serious breaches of permit conditions.Summary proceedings (prosecutions) can be brought to the DistrictCourts enforcement authorities (EPA ad LAs). EPA and LA can also takeinjunctive proceedings in the Higher Courts. Prosecutions on indictmentin the Higher Courts are taken by the Director of Public Prosecutions(DPP) so in such cases EPA or LA must submit a file to DPP.Monitoring/ FollowupMember StatepracticeRespondents from EU Member States particularly highlighted the followingexamples of best practice when asked to provide best practice examplesconnected to monitoring/follow-up (e.g. reporting protocols, administrativedecision, court decision, penalties).Table 5.2-5: Best Practice Examples for monitoring/follow-upMSFRDE_HEBest Practice Examples for monitoring/follow-upThe Ministry does annual reporting on the Inspectorate actionComputer aided systems for information on treatment installations(ASYS), electronically certification on waste treatment, measurementand monitoring equipment own by the Federal StateEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 905.2.5. Training and NetworkingAs waste management operations include a wide variety of organisationalstructure and technical equipment, inspection authorities require expertiseknowledge, qualification and regular trainings. In this regard, the MemberStates were asked to provide information on whether training, guidanceand assistance to the staff is provided and to what extent. The following boxsummarises the information received.Training andNetworkingMember StatepracticeExample on Member States’ implementationIs training/guidance/assistance provided to the staff involved ininspections of waste management operations? If yes, please specify andshortly describe the activities.11 Member States provided information about the provision of training andguidance, showing that the majority of the authorities provide a mix of allavailable options, in particular:- <strong>Guidance</strong> for realising inspections, instance guidance for particularfacilities, particular waste streams, etc. (10 answers)- Trainings, for instance training seminars, buddy system, etc. (10 answers)- Networking/Cooperation amongst involved authorities, for instanceregular meetings, platforms, exchange programmes at national orinternational level, etc. (10 answers)- Assistance, for instance help desk, hot line, computer based informationsystems, etc. (9 answers)(see also Table 4.2-8)A number of respondents provided additional explanations to theiranswers. These are summarised in Table 5.2-6 below.Table 5.2-6:MSBEDE_HEFROverview of information on training/guidance and supportDescription of trainings/guidance/support to the staff in place<strong>Guidance</strong> for realising inspections is provided (e.g. guidance given bycompetent authorities to police before specific inspection operations).Assistance is provided (e.g. phone and electronic contacts).Networking/Cooperation amongst authorities is established (meetings arecarried out if necessary).An implementation guide for enforcement of the law on waste disposalincludes inter alia standardized templates and editing information forinvestment approval/monitoring and certain waste streams.Further measures in place are: trainings aids, experience exchanges,templates and regular staff meetings.The Information exchange platform is available through the softwareproduct "MOSS" to the Hessian environmental authorities.A mixture of different measures is in place, starting with the guidanceEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 91IENLNLUKUK_SCdocuments, software solutions, helpdesks, through to regular trainingsessions and computer based information exchange platforms.Further, the Ministry gathers inspectors 4 times a year and assists them intheir daily work on the field, if necessary.A <strong>Guidance</strong> Manual for enforcement officers is prepared as part of theEnvironmental Enforcement Network.EPA provides trainings to staff on an ongoing basis. There is also an EENwhich supports enforcement by EPA and LAs.For more information see:http://www.epa.ie/whatwedo/enforce/network/<strong>Guidance</strong> for realising inspections is provided (e.g. training on the job).Various training seminars are carried out.Assistance is given (e.g. National helpdesk, infomi/agentschap nll).Networking/Cooperation amongst authorities is established (e.g. nationalplatforms for waste sectors).<strong>Guidance</strong> for realising inspections is provided (e.g. Q&A for inspection ofessential packaging acquirement).All inspectors are getting different training modules to improve theirskills.In relation to the provision of assistance, there is a database for allinspectors which has to be used for all inspections.There are different kinds of information meetings for sharing information.<strong>Guidance</strong> for realising inspections is provided (Environment/IPPC OfficerTraining Scheme).Assistance and technical advice is available from experts.Networking/Cooperation amongst authorities is established (teammeetings).<strong>Guidance</strong> for realising inspections is provided (inspection manual sets outgeneral best practice for inspections, activity specific guidance if forinstance provided for landfills).Introductory and specialist courses are available, some mentoringprovided where appropriate.Central support from experienced waste specialists is provided.Cooperation between UK authoritiesTraining andNetworkingMember StatepracticeFor additional information regarding training and networking please alsoreview Chapter 4.2.5 of this document.Respondents from EU Member States indicated in particular the followingbest practices regarding training/guidance/networking (e.g. workshops,round tables, meetings, cooperation, guidance documents).Table 5.2-7:MSBest Practice Examples for training/guidance/networkingBest Practice Examples for training/guidance/networkingFRIENLDE_HEEEThe Ministry manages a website and regular workshops for inspectors.As part of the Environmental Enforcement Network, workshops areconvened from time to time to discuss producer responsibility inspections,etc.Questions and Answers developed for inspections essential requirements.Collaboration with other Federal States (LAGA, German Federal WorkingGroup Waste)Joint inspections with other countries, manuals and pockets for variouswaste streams.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 926. WEEE and RoHS EnforcementEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 936.1. RoHS enforcementThe RoHS Directive bans the use of hazardous substances above certainthresholds, in particular of mercury, cadmium, hexavalent chromium,polybrominated biphenyls (PBBs) and polybrominated diphenyl ethers(PBDEs) in domestically produced or imported electrical and electronicequipment (EEE). The Directive aims at approximating national legislationacross Member States to ensure the free movement of goods.The RoHS Directive has been recast and on 1 July 2011 published as Directive2011/65/EU. The new RoHS Directive has to be implemented by the MemberStates by 3 January 2013. The new RoHS includes, amongst others, furtherapplications (medical devices, monitoring and control instruments) and thenecessity to apply CE marking to the products. However, banned substancesand tolerance levels stay the same.RoHS enforcementMeasures include:- Awareness andinformationexchange- Risk assessment- Control of paperwork andphysicalinspections- Support of selfcontrolactivitiesPermitting and classification issues are not subject to the RoHS Directive, asthe RoHS Directive includes tolerance levels and certain uses specified in theAnnex directly addressing the application of the banned substances in veryspecific products or techniques - and not processes for which permits wouldbe required.In consequence, the aim of a proper enforcement of the RoHS Directive mustfocus on monitoring, testing and controls of the products in questions.The RoHS Directive does not include specifications on what or how to inspector control. However the following types of activities might be included tosupport enforcement of the Directive and will be explained in more detail inthe following chapters:Awareness and information exchange including involved business,the exchange of information amongst Member States and thesupport of the extended producer responsibility (EPR) conceptPerforming risk-assessment to concentrate resources on EEE withhigh risk potentialControl of paperwork and physical inspections of equipmentSupport of self-control activities and networks managed by theindustryFurther, controls and testing might be closely related to other specificsubstance-related regulations, i.e. REACH and POPs Regulation.---------------------------Further readingFurther information onlegal requirements onRoHS can be found inchapter 4.3.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 946.1.1. Awareness and information of stakeholdersInformation and support to involved businessEnforcement of RoHS requirements starts with measures toward betterinformation and knowledge of involved stakeholders, in particularmanufacturers, traders and sellers of EEE and their supply chains. Thereforethe national enforcement strategy should include measures to supportbusiness i.e. providing material and information on the internet, leafletsetc., maintain regular contact with trade organisations, provide trainingseminars etc.The Industry can be helped when they are non-compliant due to lackingknowledge on the legal provisions. Especially on the complicated annexwith applications exempted from the RoHS Directive (annexes III and IV inthe new RoHS Directive) technical support can be very useful and should gohand-in-hand with the enforcement.RoHS enforcementAwareness andinformation mightinclude:- Information andsupport toinvolved business- Extendedproducerresponsibility(EPR)- InformationexchangeamongstMember StatesThe combination of inspection and business support leads to better resultsthan putting lots of effort in awareness raising without product testing orputting much effort in inspection without supporting and informingproducers how to comply.The UK follows an enforcement approach with strong focus on businesssupport, described as follows:Enforcement of RoHS legislation in the UK is a national competence.Inspections are performed by the National Measurement OfficeEnforcement Authority (NMO) following a mixed system of testing andawareness raising. The implementation team for RoHS comprises of,besides enforcement and testing officers, also officers dedicated tosupport business. The NMO also facilitates a website(http://www.bis.gov.uk/nmo/enforcement/rohs-home) with leaflets,guidance booklets, and other publications. The website also holds interalia information on industry events such as conferences and seminars,etc. where the NMO will be represented. The website also contains anonline enquiry system where businesses can get answers to enquirieswith regard to RoHS enforcement. Enquiries can also be made byphone or letter.See chapter 2.3.10 of the practical manualExtended producer responsibility as a tool to support RoHS compliantalternativesHigh levels of recyclability and use of RoHS compliant alternatives for heavymetals can be obtained through eco-design. Even when RoHS substancesare not banned, because its application resorts under annex III or IV, they---------------------------Further readingBest practiceexample in practicalmanual: chapter2.3.10European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 95still can hamper re-use and recycling. Extended Producer Responsibility(EPR) could be an effective tool to enhance eco-design if collective schemesfinancing reflect differences in the cost of waste management based ontheir design and substances content. For banned RoHS substances ecodesignand the use of alternatives is obligatory before a product can be puton the market. For substances under the threshold values or in exemptedapplications, other stimuli can be useful. If individual EEE producers areconfronted with the costs for waste management, they have a financialstimulus for designing EEE in a way which allows good and easy recyclingand avoids expensive disposal, e.g. through avoidance of RoHS substancesand other hazardous substances, or through enhanced possibilities fordisassembly or re-use. However, when individual EEE producers can complywith their EPR responsibilities by joining a notified body, and when thetargets for the body have to be reached at the level of the entire body orthe entire market, some bad performing producers could benefit from thebetter performances of its sector partners. Reaching high performance forall involved market actors may request enforcement on its individualcontributions to reaching the targets.RoHS enforcementAwareness andinformation mightinclude:- Information andsupport toinvolved business- Extendedproducerresponsibility(EPR)- InformationexchangeamongstMember StatesInformation exchange amongst Member StatesInformation exchange and awareness is also necessary to uniform meaning,interpretation and the different expectations on evidence for RoHScompliance amongst the Member States. To overcome the discrepancies anenforcement network on RoHS has been established on European level (seebox).RoHS Study – European RoHS Enforcement NetworkThe RoHS Administrative Cooperation Group (ADCO), informally known asthe European RoHS Enforcement Network, was established in 2006, tofacilitate communications and to ensure a mutual confidence andharmonization between RoHS competent bodies throughout the EU andEEA states.Attendees at the Network meetings can consist of those organisationsappointed in each Member State as market surveillance authorities, a fewTAC members in support of the appointed market surveillance authority, arepresentative of the Commission and other persons invited to attend toprovide technical or other support.With at least one meeting per year, and regular email circulations, themembers are able to share information on all aspects of enforcementactivities such as cases of non-compliance, inspections carried out, toestablish best practice enforcement procedures, to discuss testingprocedures and harmonised standards and to develop consistent---------------------------AbbreviationRoHS AdministrativeCooperation Group(ADCO)European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 96interpretation of scope issues. Furthermore, each year the group can carryout collaborative projects managed by one appointed Member State, toenable the Network to analyse findings and to present a collective EuropeanRoHS Enforcement Network view.The Network continues to address the issues and challenges that confronteach Member State and to ensure that products placed on the marketcomply with the requirements of the RoHS Directive. In the future the groupwill provide advice to the Commission and individual Member States on thepractical enforcement of the Recast RoHS Directive.6.1.2. Risk assessment of EEE equipmentRoHS enforcementRisk assessment ofEEE equipment:- As preparationstep to plancontrols andinspection- To concentrateon EEE imposingthe highest riskThe RoHS Directive covers a large range and variety of different electricaland electronic equipment (EEE) ranging from large and small householdappliances to IT and telecommunication equipment, lighting and toys, etc.as covered as well by the WEEE Directive (see Annex I of the RoHSDirective).Inspection is expensive due to purchase costs (EEE need to be destructed tocarry out the analysis) and laboratory analyses.To concentrate available resources to such equipment imposing the highestrisk, the selection of products to be tested should be based on a riskassessment e.g. using risk modelling. The question: Which product groups,specific products or equipment, origin, target market, quality level etc… runthe biggest risks of surpassing concentration limits set in the RoHSDirective?The risk assessment should take into account:Number of produced itemsExport and import ratesInvolved stakeholders (who is trading/selling those products)Nature of the supply chain, including components produced insideor outside the European UnionLevel of information sharing within the supply chainExpected lifespan of the productsFamiliarity of the distribution network with the products(specialised sales network or occasional distribution…)Nature and percentage of recycled products used in the productionprocess of the equipment and its components---------------------------AbbreviationXRF gun: X-Rayfluorescence gun,equipment for pretestingEEEInspectors also have a feeling of which products might beEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 97breaching the restriction for example based on colour or content ofrecycled material (poses also a higher risk)The outcome is not a static list of products, but a continuous, dynamicassessment of new products. For instance, at the appropriate time in theproduction cycle, Christmas related electronic products might pose a riskbecause they come out only once a year. The Dutch risk assessment came tothe result, that especially discount warehouses, cosmetic or drug storesselling a whole variety of products hold a higher risk of being in violation withthe RoHS Directive because selling of EEE is not their core business andproducts are usually sold to lower prices.More information about the risk assessment of RoHS items can be retrievedfrom the competent authorities from the United Kingdom and theNetherlands (see Best Practice Examples in chapter 2.3.8 and 2.3.10 of thepractical manual).RoHS enforcementControls and testingof equipmentincludes:- Examining paperdeclaration,notifications orproofs- Pre-testing (e.g.XRF gun)- Full laboratorytesting6.1.3. Controls and testing of equipmentRoHS compliance can be tested in three different ways:1. by examining paper declarations, notifications or proofs2. by performing pre-tests on equipment3. by performing full laboratory testing of equipmentExamining paper declaration, notifications or proofsPaper control might focus on the CE marks for RoHS compliant equipment, asimposed by the new RoHS Directive. The presumption of compliance, whencarrying a CE mark, has to be taken into account. The major problem withRoHS compliance certification using paper sources is however the enormousmultitude of components out of which EEE equipment frequently isassembled. Guarding RoHS compliance throughout the whole (also oftenworldwide) supply chain of parts and components is a challenge for the EEEassembler preparing the final product. Several RoHS-compliance labels havebeen generated (examples see Figure 6.1-1) by the market to ensure theinformation flow throughout the supply chain, however real physical testing,both by the assembler and by the inspector, may remain necessary.---------------------------Further readingBest practiceexample in practicalmanual: chapter2.3.8 and 2.3.10European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 98RoHS enforcementControls and testingof equipmentincludes:- Examining paperdeclaration,notifications orproofs- Pre-testing (e.g.Figure 6.1-1: RoHS compliance labels as in use in the UK in 2007 3XRF gun)- Full laboratorytestingPre-tests on equipmentPhysical RoHS compliance testing requests a laboratory analysis on thepresence and the concentration of lead, mercury, cadmium, chromium VI,PBB and PBDE in homogeneous components of the equipment.Several Member States use amobile X-Ray fluorescence gun(XRF gun, see photo) for nondestructive pre-tests in orderto facilitate a first selection ofproducts. Only products thatindicate high or exceedingheavy metal concentrations aresent to a laboratory for further analysis. Mobile XRF guns have proven tomake inspections more efficient and effective because less equipment needsto be sent to laboratories and direct measures can be taken if the equipmentdoes not comply.However the usage of mobile XRF guns cannot replace full laboratory testingfor the equipment showing higher concentrations. The following issues alsohave to be regarded when testing the equipment with mobile XRF guns:The non-destructive pre-test is not fit for reaching interior parts ofEEE.---------------------------The XRF gun is unable to distinguish between chromium VI and other Further readingisotopes like chromium III.Best practiceexample in practicalThe further expansion of the RoHS legislation to nano-particles, manual: chapterHBCDD, DEPH, BBP and DBP (mentioned in whereas 10 and 16 of the 2.3.83 ARCADIS/RPA Study on RoHS and WEEE Directives, N° 30-CE-0095296/00-09 for DG ENTR, March 2008European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 99new RoHS Directive, and to be decided upon before 22 July 2014)may also limit the possibilities of pre-testing using an XRF-gun.Therefore, a destructive analysis and, if needed, a confirmation through afull grade laboratory analysis, may be necessary.Sampling and laboratory testing of EEEIn this regard it is helpful when samples can be taken by the inspectionservices free of cost, because of the high costs of some EEE, e.g. on the basisof national legislation.It should be taken into account not to bias the test by only sampling cheapEEE, but to use a reliable risk assessment for selecting EEE to be testedand/or destructed.RoHS enforcementControls and testingof equipmentincludes:- Examining paperdeclaration,notifications orproofs- Pre-testing (e.g.XRF gun)- Full laboratorytestingThe Best Practice from the Netherlands, included in the practical manual,describes the concept of free sampling, pre-testing and risk-assessment:In order to check whether EEE appliances fulfil the requirements of theRoHS Directive, inspections are performed at national level in theNetherlands with the Dutch Environment Ministry (VROM) as theresponsible authority. The key element of enforcement is the freesampling and destructive analysis of EEE, rather than the checking ofpaper documents. The inspection officers select a number of products,taking into account a risk assessment made on a yearly basis in thewarehouse, and are allowed to take free samples. They use XRF guns tomake a first rough assessment of the concentrations of heavy metalsand irregular samples are sent to a laboratory.See chapter 2.3.8 of the practical manual---------------------------Further readingBest practiceexample in practicalmanual: chapter2.3.8European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 1006.2. WEEE EnforcementThe WEEE Directive aims to reduce the negative environmental impacts ofwaste of electrical and electronic equipment (WEEE) and to facilitate propertreatment by setting collection, recycling and recovery targets for a definedset of WEEE in EU-27. It requires Member States to ensure that collectionand treatment schemes are established. Through the instrument ofproducer responsibility and the provision of collection schemes whereconsumers return their used e-waste free of charge, the recycling and reuseof WEEE is stimulated.In addition to the requirements set in the WFD regarding permitting ofwaste treatment facilities, the WEEE Directive requires in Article 6(4), thatall permits have to consider the necessary elements to comply with WEEErequirements (e.g. the removal of all fluids and selective treatment inaccordance with Annex II, technical requirements set out in Annex III, and toensure recovery according to Article 7).WEEE enforcementPermitting andinspection/controls:- In generalprovisions ofWFD apply- Somespecificationsare made inWEEE DirectiveBesides the requirements set in the WFD generally applying to all wastetreatment facilities (including WEEE facilities), Article 16 WEEE Directiveincludes the general obligation to the Member States to realise inspectionand monitoring to ensure enforcement. Further Article 6(2) obliges forinspections before a facility is registered in the case the facility is derogatedfrom permit requirements.Thus for WEEE collection and treatment facilities in general the requirementset in the WFD have to be applied and the information given in thisguidance about permitting and registration (chapter VI) and inspection andmonitoring (chapter V) fully applies.However, this chapter includes specifications which have to be regarded inparticular for the enforcement of WEEE, including:Awareness and information exchange, in particular training of staffand self-support of the involved industryWEEE inspections planning, realisation and follow upSupport of self-control activities and networks managed by theindustry---------------------------Further readingsFurther information onlegal requirements onWEEE can be found inchapter 4.4.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 1016.2.1. Awareness and information for stakeholdersBoth for the RoHS and the WEEE enforcement, awareness raising can be animportant tool. The following aspects can play a role:Generating awareness in cooperation with the consumers, and bystimulating consumer activism, the scope of enforcement can bereached through market mechanisms (people refusing to buyobvious non-compliant, non CE marked products, or consumersrefusing products from companies on a black-list).WEEE enforcementAwareness andinformation for:- Consumers- Industry- Inspection staffIntegrating distributors in the awareness of WEEE collectionthrough adequate contractual agreements with the collectiveschemes.Providing training to small and medium size enterprises toencourage initiatives for WEEE reuse and recycling.Encouraging joint work between competent authorities andoperators to provide management guidelines to have themchecked by inspectors.Assuring smooth functioning of EPR collective schemes and respectthe competitiveness between authorised operators.Inspection activities carried out by competent authorities should always beseen as a possibility to enhance knowledge of the operator and tocooperate with the operators to improve the level of compliance of thefacilities, rather than to immediately penalise activities.However, infringements of national provisions by companies, operators andEPR collective schemes will result in penalties according to nationalregulations.Industry approachSome problems have been identified in implementing the WEEE Directive.The EU Commission, EU Council and EU Parliament have already agreed torecast the WEEE Directive in December 2011. This recasting intends to solvethe identified problems.Up to now, even though the competent authorities have made efforts onthe implementation of the WEEE Directive, some industry initiatives havebe initiated in the WEEE Forum sphere to collaborate in implementationactions.The WEEE Forum unites 39 WEEE producer responsibility organisations (orcompliance schemes) from 22 EU Member States and representsapproximately two thirds of officially reported WEEE collection in Europe.---------------------------Further informationWEEE Forum website:http://www.weeeforum.org/weeelabexprojectEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 102One project of the WEEE Forum is the WEEELABEX multi annual project. Theinitiative is explained in the following box:WEEE Forum –WEELABEX ProjectA set of European standards with respect to collection, storage, handling,preparation for re-use, transport, treatment, recovery and recycling ofWEEE and monitoring the processing companies has been developed,supported by EU LIFE funding. This initiative, called the WEEELABEX project,was started by the WEEE Forum in co-operation with stakeholders from theproducers’ community and the processing industry.The initiative aims at providing a label of excellence for WEEE and WEEEmanagement. The label system covers common standards on collection,logistics and treatment of WEEE. It includes checklists, guidance forclassification issues (which fraction is recycling / which fraction is notrecycling) and tools for calculating the recycling quotas (Reptool). It isforeseen to be introduced in 2012. Although the standards are elaboratedby industry and not all Member States are following the same approach,they do provide a good basis for harmonising approaches amongst theMember States.WEEE enforcementIssues for inspectionplanning andrealisation of WEEEfacilities:- Chain approach(upstream,downstreaminspections)- Registeredfacilities- Connection toexport- Data follow-upand statisticsThe ultimate goal of the project is to have a pool of WEEELABEX auditorswho will inspect WEEE operators (i.e. collection sites, logistics sites,transporters and facilities involved in dismantling, de-pollution, preparationfor re-use, disposal and recycling). Operators that comply with theWEELABEX standards will be identified by a quality label or mark.Standards and <strong>Guidance</strong> are provided covering the following issues:- WEEELABEX Standard on Collection- WEEELABEX Standard on Logistics- WEEELABEX Standard on Treatment- Further information like FAQsThe standards can be downloaded from the WEEE Forum website:http://www.weee-forum.org/weeelabexprojectThe role of WEEELABEX project on standards development and organizationof private audits have been widely discussed by technical groups in theEuropean Council reflecting the following problems:• a high amount of WEEE is treated outside the system, therefore theeffort by EPR collective systems and competent authorities to collectmore WEEE must be increased;• Member States consider this initiative interesting but highly skewedEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 103since very few stakeholders and processing companies have beeninvolved;• Producers enforce conditions unilaterally to other actors avoidingreference to their own obligations such as reporting to the facilitiesabout dismantling and recovery characteristics of the EEE and aboutcontent of components, materials and substances for proper treatment;• Facilities who reject the private audit could not receive waste, evenwhen they meet all the requirements of national legislation and areauthorized, controlled and inspected by environmental authoritiesaccording to the WEEE Directive;• Private audits made by “a group of interest”, and not by astandardization and certification organization could have lack ofindependence and could lead to market distortions in the wastemanagement sector;• Double fulfilment, under national laws and private conditions, couldlead to unnecessary higher costs of waste management.Thus WEEELABEX certainly being a supportive initiative to supportenforcement of the WEEE Directive, it was clarified 4 that only the MemberStates can create requirements binding under public law on their territory,that WEEELABEX compliance does not replace compliance with the laws of aMember State and also that could overlap with the inspections carried outby the Member States, responsible for authorisation and inspection offacilities Those authorisations guarantee the performance of competitiveregulation in the EU market.WEEE enforcementThe WEEELABEXapproach – itsbenefits and critiqueTherefore the text agreed in the recasting of the WEEE Directive betweenthe Council, Parliament and the Commission stated in its Article 8 (Propertreatment) that “ in order to ensure uniform conditions for theimplementation of this article, the Commission may adopt minimum qualitystandards based in particular on the standards developed by the Europeanstandardization organizations, that reflect the state of the art”. So it isguarantee that all stakeholders will be involved in the development of thestandards and competitive rules market will be assured. Anyway MemberStates could make binding the EN standards in national laws.WEEELABEX results should therefore be practical, reasonable and wellintegrated with the environmental authorities to avoid unjustifieddiscrepancies and result in an environmental and business benefit.4 In the Technical Adaptation Committee on WEEE & RoHS between the Commission and Member States held in November 2011European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 1046.2.2. WEEE inspections planning, realisation and follow upThe following issues might be of important relevance when talking aboutinspection planning, realisation and follow-up of WEEE facilities:1. One concept of inspections is following the chain approach2. Facilities which are exempted from permitting under the WFD alsoneed to be inspected3. Inspections of WEEE are often closely connected to exportinspections, especially for exports to non OECD countries4. Data follow-up and thorough statistics are important for furtherplanningChain approachWEEE enforcementUpstreaminspection:- manufacturers,importers,wholesale andretailDownstreaminspection:- waste collectors,civic amenitysites and wastetreatmentfacilitiesThe long and complex chain with many actors between collection of WEEEand final disposal makes it difficult to keep a good overview and control ofthe WEEE. Beside the actual WEEE producers, brokers and dealers have animportant impact on compliance with WEEE management. The wholedistribution chain and the whole waste collection and treatment chainshould be within the scope of enforcement. The chain approach is followedby performing upstream and downstream inspections, while:Upstream inspections concentrate on manufacturers, importers,wholesale and retail.Downstream inspections focus on waste collectors, civic amenitysites and waste treatment facilitiesFor upstream inspections the selection of companies to be inspected can bebased on:Risk assessments providing information on WEEE with high risk,complex broker, selling chains and high import/export activitiesLooking in “Yellow Pages” (including information on localbusinesses) and picking out new or not yet known EEE and/orbattery companiesInspecting the suppliers of companies that have been inspected(based on invoices)Using information of notified bodies about products and free-riders(see chapter 6.2.3).The selection of companies for downstream inspections can be based on:European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 105Information of companies working for notified bodies (see chapter6.2.3).Incident driven inspections, e.g. as follow up activities fromtransport controls (i.e. in the case WEEE is transported to a nonlicensedwaste treatment facility)Especially brokers and dealers, active outside the MS territory or evenoutside the EU, make enforcement a difficult exercise. EU-wide andinternational collaboration may be necessary.WEEE enforcementFacilities exemptedfrom permittingneed to beregistered and to beinspectedThe Best Practice from the Netherlands, included in the practical manual,describes how enforcement bodies addressing the leakages of the take-backscheme of WEEE follow the chain approach:The enforcement of the WEEE requirements in the Netherlands is anational competence and closely linked with the inspection on theimplementation of the Waste Shipment Regulation. The WEEEenforcement in the Netherlands is therefore in particular addressingthe “leakages” in the take-back scheme to prevent WEEE ending up inthe illegal export circuit. After the identification of the “leakages” inthe collection of WEEE, specific campaigns and agreements were set upwith industrial associations, retailers and municipalities.See chapter 2.3.9 of the practical manualInspection of WEEE facilities, which need to registerWEEE recovery facilities might be exempted from permit requirementsunder Article 24(b) WFD.To ensure that treatment is only performed by establishments having thenecessary knowledge and technical equipment, Article 6(2) WEEE Directivespecifies that inspections in the respective WEEE recovery facilities are aprecondition. In this regard the competent authority shall carry out aninspection before the registration, verifying:The type and quantities of waste to be treatedThe general technical requirements to be complied withThe safety precautions to be takenThe inspection shall be carried out at least once a year and the results shallbe communicated to the Commission by the Member States.To facilitate proper implementation it is one possibility to grant certificatesfor such facilities providing primary treatment of WEEE. The certificationshould then be renewed on an annual basis. Within the certificationprocedures, inspections of the facility must be performed.---------------------------Further readingBest practiceexample in practicalmanual: chapter2.3.9Best practiceexample in practicalmanual: chapter2.2.6Further readingChecklists for WEEEtreatment facilitiesin chapter 3 of thepractical manualTo perform those inspections, a helpful tool are checklists provided to theEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 106inspectors, i.e. on national level including questions based on the WEEEDirective and other additional requirements connected to the issue (i.e.Regulation on certain fluorinated greenhouse gases).The Best Practice from Germany, included in the practical manual, containssuch a checklist:The German Federal Working Group Waste (LAGA) established aguideline for WEEE, including a permitting checklist for primary EEEfacilities in its Annex 6, which is meant to be used by authorisedexperts/inspectors. Administrative staff can subsequently use thesechecklists when proceeding permits /realising inspections at relevantwaste treatment facilities or use it as a template to complete their ownchecklist. The checklist mainly focuses on questions regarding obligationsset in the WEEE Directive. However, it also includes the checking ofadditional legal requirements to reduce administrative burdens and tobundle inspection capacities.WEEE enforcementSupport of selfcontrolactivities:- Extendedproducerresponsibility iskey instrument- Assigningnotified bodiesSee chapter 2.2.6 of the practical manualNote: The general inspection checklist gives an indication what to check atWEEE treatment facilities during the permitting procedure and operationperiod. It is also included in chapter 3 of the practical manual.Connection to export inspectionsA loophole for safe WEEE management is the export of the EEE before (orpresumed before) it enters the waste phase. Second-hand EEE often ends upin non OECD-countries where it becomes waste after a short remaininglifespan and where no adequate recycling of recovery capacity is available.For inspection officers, it is sometimes difficult to distinguish between WEEEand second-hand EEE. Illegal shipments often hold WEEE that has beenfraudulently registered as second-hand EEE. This problem can only be solvedby more intense training and the provision of proper information about theissue.A link to inspection on transfrontier shipment of waste is obvious, as well asthe development and application of testable criteria for the distinctionbetween waste and second-hand EEE.Such criteria are e.g. developed within the Correspondents' Guidelinesregarding the Waste Shipment Regulation, in particular:Revised Correspondents' Guidelines No 1 on shipments of wasteelectrical and electronic equipment (WEEE) - to apply under the newRegulation No 1013/2006 from 12 July 2007---------------------------Further readingBest practiceexample in practicalmanual: chapter2.2.6Correspondents' Guidelines No 4 on classification of waste electricalEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 107and electronic equipment and fly ash from coal-fired power plantsaccording to Annex IV, part I, note (c) of Regulation (EC) No1013/2006 on shipments of waste(See: http://ec.europa.eu/environment/waste/shipments/guidance.htm)However, this will only filter out false second-hand products (waste), but itwill not solve the problem of real second-hand (non waste) products with alimited lifespan (exported to non-EU countries and disposed shortly after).Supplementary provisions on international take-back when entering thewaste phase, or on guaranteed lifespan, could be part of the solution.WEEE enforcementStatistics and datafollow up:- Providing andmaintaining ofstatisticsStatistics and data follow upThe European WEEE policy is largely based on the concept of setting andreaching targets for separate collection, recovery and recycling. In order tomeasure distance-to-target for policy reasons, and to check and enforcecompliance with the targets for individual market actors and products,robust, reliable and accurate indicators are needed.Both data collection (e.g. through complete and up-to-date waste registers)and data processing are essential on regional/national level for this purpose.Quality statistics are necessary to pinpoint the amounts of WEEE that is notcollected and treated properly.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 1086.2.3. Support of self-control activities and networksmanaged by the industryExtended producer responsibility (EPR) for industry putting EEE on themarket is a key instrument. Producers of EEE have to take care, at leastfinancially, for the collection, treatment, recovery and environmentallysound disposal of WEEE from private households. This is often realisedthrough a take-back obligation, managed by notified bodies.Producers of EEE, associated with a notified body for Extended ProducerResponsibility (EPR), have to pay a fair remuneration. Thus, they have astrong self-interest for a proper implementation of the Directive, as theysuffer from illegitimate competition from free-riders, putting EEE on themarket without contributing to its collection and treatment costs.Competent authorities and notified bodies can be objective allies in fightingfree-riders.WEEE enforcementSupport of selfcontrolactivities:- Extendedproducerresponsibility iskey instrument- Assigningnotified bodiesNotified bodies have good market knowledge and can inform authorities onpresumed free-riders.The notified bodies could take over a large part of the inspection effort,usually on their members, thus public authorities can focus on identifyingand enforcing free-riders. It will remain, however, necessary to control thecontroller, by inviting the notified bodies to inspections or by requestingthird party certification. This should not only be done at the moment ofpermitting or renewing the permit of a body, but also throughout its day-todayactivities. In the Best Practice, included in the practical manual, thecollaboration of Belgian authorities and the notified body is described in thefollowing box:In order to target inspections especially at manufacturers, importers,wholesale and retail (upstream inspection) and to identify free-riders,the Belgium Public Waste Agency of Flanders (OVAM) works in closecooperation with the Belgian collective take-back organisation(Recupel for EEE and BEBAT for batteries incl. flashlights). If new EEE isadded to the Recupel list of covered products, those products will beinspected. Also the charging of a Recupel fee might be controlled. Freeridersare signalled by Recupel and BEBAT.Authorities and take-back organisations have a mutual interest indiscovering and fighting free-riders that afterwards become acontributing member of the take-back organisation. This is especiallythe case where only one take-back organisation is active in a specifiedterritory.See chapter 2.3.7 of the practical manual---------------------------Further readingBest practiceexample in practicalmanual: chapter2.3.7European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 109An important aspect of using notified bodies for EPR schemes like reverselogistics is auto-control or third party certification, with enforcement bypublic authorities as a backstop or second line strategy. Notified bodies setup their own inspection systems, usually at national level.Further, it is important that the “polluter pays” principle is respectedthroughout the waste treatment chain. When use is made of publicinfrastructure (like civic amenity sites), a fair retribution has to be foreseen,at market prices.Cooperation with NGOs could also contribute to higher success rates indetecting free-riders.WEEE enforcementSupport of selfcontrolactivities:- Extendedproducerresponsibility iskey instrument- Assigningnotified bodies---------------------------Further readingBest practiceexample in practicalmanual: chapter2.3.7European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 1107. Annex: Summary table onrelevant informationEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 111Summary of relevant IMPEL Projects Cluster 1: Permitting, Inspections & Enforcement (http://impel.eu/category/cluster/cluster-1)Note: The titles of the studies (projects/activities) are linked to the original study (hyperlink) for easy accessibility (move cursor over title and press Ctrl+click)Relevant for:LeadCountryProjects/ActivitiesYear/PeriodExecutive Summary/Project Description Cluster 1: Participants Cluster 1: Participantsriskassessment;planning ofinspectionspermitDEDEDevelopment of an easy andflexible risk assessment tool as apart of the planning of env.inspections linked to Europeanenvironmental law and the RMCEI(easyTools), phase 2Energy efficiency in permitting andinspections, phase 2Running2011Running2011The aim of the new project is to develop a flexible and user friendlyprogramme for the risk assessment within the planning of environmentalinspections as an application from the internet.In 2002/2003 IMPEL has carried out a project on energy efficiency withFinland as lead country. A second project on that item was carried out in2010 and the evaluation of the current situation showed that during thelast years only minor changes have occurred in the consideration ofenergy efficiency issues in permitting and supervising procedures.Gisela HolzgraefeMinisterium für Landwirtschaft, Umwelt undländliche RäumeMercatorstraße 324106 KielGisela.Holzgraefe@mlur.landsh.destrategies ofenforcementDKStrategies of EnforcementRunning2011This project can be considered as a continuation of previous IMPELprojects like: Review of Compliance promotion, Inspections practices andEnforcement for IPPC installations (2007), IMPEL Better LegislationProject – Effective Enforcement Needs a Good Legal Base (2003) andDoing the right things I, II and III (2006, 2007, 2008).Ms Ulla RingbækDanish EPAStrandgade 29DK-1401 Copenhagen Kur@mst.dkevaluation ofperformanceFR&UKExploring qualitative andquantitative assessment tools toevaluate the performance ofenvironmental inspectoratesacross the EURunning2011To provide a better and more comprehensive insight into theopportunities to use various tools to assess and compare performance ofinspectorates across the EU. The findings will feed into the currentdebate on Member State and EU level on evaluating the performance ofinspectorates across the EU as part of the ongoing discussion on thefurther development of the RMCEI.Benjamin HuteauService des risquestechnologiques et del’environnement industrielDREAL Midi-Pyrénéesbenjamin.huteau@developpement-durable.gouv.frMr Will FawcettEnvironment AgencyRio House, WatersideDriveAztec West,AlmondsburyUK-BS32 4UD BristolWill.Fawcett@environment-agency.gov.ukEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 112Relevant for:inspections,monitoringinspections,monitoringriskassessment;planning ofinspectionsLeadCountryNLTBCDEProjects/ActivitiesSetting Inspection Targets andMonitoring PerformanceDoing the Right Things for WasteShipment Inspections (DTRT-TFS)Development of an easy andflexible risk assessment tool as apart of the planning ofenvironmental inspections linkedto European environmental lawand the RMCEI (easyTools), phase1reporting FI Reporting to the publicpermits andinspectionsITComparison programme on thetariffs for environmental permitsand environmental inspectionsYear/PeriodRunning2011Running201120102008-20092007-2009Executive Summary/Project Description Cluster 1: Participants Cluster 1: ParticipantsIn this IMPEL-project we will act upon the recommendation from theDTRT and Performance Indicators reports to further look into the issue ofsetting inspection targets and monitoring performance against thesetargets.Using the IMPEL project: Doing the Right Things (DTRT), this project looksat how DTRT could help authorities improve their inspections related tothe Waste Shipment Regulation.A key issue of the “Recommendation on minimum criteria forenvironmental inspections” (RMCEI) and the IMPEL “Step by stepguidance book for planning of environmental inspection” is theprioritisation of environmental inspections. An essential part of thisprioritisation is the assessment of the probability of environmentaldisruptions caused by industrial or comparable activities. These riskassessments also play a key role in inspection planning according to theSeveso II Directive and the Industrial Emissions Directive (IED).The objective of the project was to identify what core information onenvironmental inspections carried out should be provided to the publicand how this information can best be provided, especially via electronicmeans (Internet), and to give recommendations. The project wassuccessful in finding out what information is made available to the publicand in what form it is available.The objective of the project was to build a picture of existing practice inMember States on the tariffs the operators have to pay to thecompetent authorities to cover the costs for the prior verification andinspections necessary to evaluate the application of the permit, and thesuccessive environmental controls/inspections (including compliance,site visits, sampling etc.).Mr Jan TeekensInspectorate of Housing,Spatial Planning and theEnvironmentP.O.Box 16191; IPC 530NL-2500 BD The Haguejan.teekens@minvrom.nl">jan.teekens@minvrom.nlPatricia Weenink-DriessenProvince of Overijsselteam EMTVPO box 100788000 GB ZwollePA.Weenink-Driessen@overijssel.nlGisela HolzgraefeMinisterium für Landwirtschaft, Umwelt undländliche RäumeMercatorstraße 324106 KielGisela.Holzgraefe@mlur.landsh.deSirpa Salo-AsikainenMinistry of the EnvironmentPO Box 35FIN-00023 Helsinkisirpa.salo-asikainen@ymparisto.fiFrancesco BafundiARPA LombardiaViale F. No. Restelli 31 – 20124 Milanf.bafundi@arpalombardia.itEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 113Relevant for:LeadCountryProjects/ActivitiesYear/PeriodExecutive Summary/Project Description Cluster 1: Participants Cluster 1: Participantsinspectionguidelinesplanning ofinspectionspermit,inspections,monitoringplanning ofinspectionsITNLUKECINSPECT-CEM – EnvironmentalInspection Guidelines for theCement Clinker IndustryDoing the right things III:Implementation of the step-bystepguidance book for planning ofenvironmental inspectionsPractical Application of BetterRegulation Principles in Improvingthe Efficiency and Effectiveness ofEnvironmental InspectionAuthoritiesIMPEL input to the furtherdevelopment of the RMCEI2007-20092008-200920092007This report is the result of a group work involving 13 countries by theparticipation of experts in inspecting cement plants. The considerationshere reported are derived both from the compilation of a questionnairesubmitted to all the participants with the aim of understanding similarand different aspects linked to cement plants and environmentalinspections, and from four meetings involving the participants.The main objective of this project, executed in 2008 and 2009, was tofacilitate, support and promote the implementation of the Doing theright things methodology, using the step-by-step guidance book.Fifty examples of initiatives were received from 14 countries in responseto a questionnaire. These included initiatives to improve permitting,inspection, and monitoring as well as broader initiatives that spannedthe whole regulatory cycle.This project can be regarded as complementary to the project 'Doing theright thing II: developing a step-by-step guidance book for planning ofenvironmental inspections'.Mr Jan TeekensInspectorate of Housing,Spatial Planning and theEnvironmentP.O.Box 16191; IPC 530NL-2500 BD The Haguejan.teekens@minvrom.nl">jan.teekens@minvrom.nlPatricia Weenink-DriessenProvince of Overijsselteam EMTVPO box 100788000 GB ZwollePA.Weenink-Driessen@overijssel.nlMr Will FawcettEnvironment AgencyRio House, Waterside DriveAztec West, AlmondsburyUK-BS32 4UD BristolWill.Fawcett@environment-agency.gov.ukplanning ofinspections;enforcementpracticesECReview of Compliance promotion,Inspections practices, andEnforcement for IPPC installations2007This report summarizes the replies received from 25 CompetentAuthorities (CAs) in 16 different Member States (MS) to a questionnaireon the implementation of Article 14 IPPC Directive. Member States wereasked to provide practical information on their inspection planning andpractices and enforcement activities, which should ensure that IPPCinstallations are operated in compliance with the Directive'srequirements.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 114Relevant for:LeadCountryProjects/ActivitiesYear/PeriodExecutive Summary/Project Description Cluster 1: Participants Cluster 1: Participantsplanning ofinspectionsNLDoing the right things II: Step-bystepguidance book for planning ofenvironmental inspections2007In 2006 the Netherlands led an IMPEL Comparison Programme Doing theright things I. One of the main aims of this project was to explore howinspection authorities set priorities with regard to their tasks andactivities, being one of the key steps in setting up inspection plans.Mr Jan TeekensInspectorate of Housing,Spatial Planning and theEnvironmentP.O.Box 16191; IPC 530NL-2500 BD The Haguejan.teekens@minvrom.nl">jan.teekens@minvrom.nlPatricia Weenink-DriessenProvince of Overijsselteam EMTVPO box 100788000 GB ZwollePA.Weenink-Driessen@overijssel.nlplanning ofinspectionsUKIMPEL input to the furtherdevelopment of the RMCEI2007This project can be regarded as complementary to the project 'Doing theright thing II: developing a step-by-step guidance book for planning ofenvironmental inspections'. In the first phase of the project aquestionnaire was developed asking for each part of the RMCEI whetherit should be amended and if yes how. Answers to the questionnaire werereceived from 22 countries.Mr Will FawcettEnvironment AgencyRio House, Waterside DriveAztec West, AlmondsburyUK-BS32 4UD BristolWill.Fawcett@environment-agency.gov.ukprioritisinginspectionsNLDoing the right things I:Comparison Programme onprioritising environmentalinspections2006This project report presents the main outcomes of the IMPELComparison Programme on prioritising environmental inspections, alsocalled “doing the right things”. Within the project 25 European countriesparticipated by means of completing a questionnaire on prioritisingenvironmental inspections, and more in particular about inspection plansand inspection programmes, all within the framework of the“Recommendation for Minimum Criteria on Environmental Inspections”.Mr Jan TeekensInspectorate of Housing,Spatial Planning and theEnvironmentP.O.Box 16191; IPC 530NL-2500 BD The Haguejan.teekens@minvrom.nl">jan.teekens@minvrom.nlPatricia Weenink-DriessenProvince of Overijsselteam EMTVPO box 100788000 GB ZwollePA.Weenink-Driessen@overijssel.nlbenchmarking; evaluationofperformanceDKBenchmarking on QualityParameters for EnvironmentalInspectorates2005The report summarises the results of discussions at a workshop coveredgoals, targets, parameters, and indicators that reflect the quality of theinspectorate work itself. Specific focus was on practical and operationalparameters and indicators that can easily be implemented at national,regional or local level.Ms Ulla RingbækDanish EPAStrandgade 29DK-1401 Copenhagen Kur@mst.dkEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 115Relevant for:LeadCountryProjects/ActivitiesYear/PeriodExecutive Summary/Project Description Cluster 1: Participants Cluster 1: Participantspermit andenforcementinspectionguidelinesgoodexamples ofpermitconditionsbest practice:training andqualificationof inspectorsbest practice:monitoringNLITFIFRIEWaste Permitting andEnforcementINSPECTAN: EnvironmentalInspection Guidelines for theTanning IndustryWaste-related Conditions inEnvironmental PermitsBest practices concerning trainingand qualifications forenvironmental inspectorsBest Practices in ComplianceMonitoring20052004200320032001The report describes the results of a permitting and enforcement projectcarried out by twelve EU Member States, aiming at improvingcooperation and information exchange on the permitting andenforcement of environmental conditions at landfills and wasteincineration plantsThe present report originates from the results of a questionnaire,discussed in meetings held over the interval Oct2004 – June 2005. Thediscussion concentrated on the economics; the production processes;laws and regulations; inspection procedures. The report is conceived as atool for the public bodies involved in controls and in monitoring activitieson the tanning industry.The report compiles a number of good examples of permit conditionswhich address amongst others, measures to minimise waste, substitutionof raw materials, handling and disposal of waste as well as audits andassessments.This report describes the results of an IMPEL project on best practicesconcerning the training and qualifications of environmental inspectors.The objective of the project was to exchange information and developbest practice on compliance monitoring as it related to industrialinstallations (e.g. for the IPPC Directive) and sewage treatment works(e.g. for the EC Directive on Urban Waste Water Treatment).Mr Jan TeekensInspectorate of Housing,Spatial Planning and theEnvironmentP.O.Box 16191; IPC 530NL-2500 BD The Haguejan.teekens@minvrom.nl">jan.teekens@minvrom.nlFrancesco BafundiARPA LombardiaViale F. No. Restelli 31 – 20124 Milanf.bafundi@arpalombardia.itPatricia Weenink-DriessenProvince of Overijsselteam EMTVPO box 100788000 GB ZwollePA.Weenink-Driessen@overijssel.nlSirpa Salo-AsikainenMinistry of the EnvironmentPO Box 35FIN-00023 Helsinkisirpa.salo-asikainen@ymparisto.fiBenjamin HuteauService des risques technologiques et del’environnement industrielDREAL Midi-Pyrénéesbenjamin.huteau@developpementdurable.gouv.frMs Valerie DoyleEnvironmental Protection AgencyPO Box 3000Johnstown Castle EstateCounty Wexford, Irelandimpelcoordinator@epa.ieEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 116Relevant for:LeadCountryProjects/ActivitiesYear/PeriodExecutive Summary/Project Description Cluster 1: Participants Cluster 1: Participantsinspections;enforcementpermitNLIEComparison programme:Condoning – Compliancepromotion – Communication –ISO/EMAS – One page permitsWorkshop on IntegratedPermitting20012000The general objective of the Comparison Programme is to acquire a fullpicture of how different Member States carry out inspections and howthey exchange experiences between one another. Another objective isthat EU inspectors exchange information and hold discussions on wayshow to carry out inspections in order to enforce environmental laws.The aim of the project was to discuss and analyse the issuing ofenvironmental permits to industry with regard to strict newrequirements under the provisions of the IPPC Directive. The objectiveswere: To help explore differences which exist between Member States(MS) in the area of environmental permitting, and To assist in theestablishment of consistency in the approaching IPPC permitting process,as required by the IPPC Directive.Mr Jan TeekensInspectorate of Housing,Spatial Planning and theEnvironmentP.O.Box 16191; IPC 530NL-2500 BD The Haguejan.teekens@minvrom.nl">jan.teekens@minvrom.nlMs Valerie DoyleEnvironmental Protection AgencyPO Box 3000Johnstown Castle EstateCounty Wexford, Irelandimpelcoordinator@epa.iePatricia Weenink-DriessenProvince of Overijsselteam EMTVPO box 100788000 GB ZwollePA.Weenink-Driessen@overijssel.nlevaluation ofperformanceminimumcriteria:inspectionstool forenvironmental inspectorsUK IRI – IMPEL Review Initiative 2000UKDKMinimum Criteria of Inspections:Planning and ReportingIMPEL Reference book forEnvironmental Inspections1998-19991998The IRI is a voluntary scheme developed by IMPEL providing for informalreviews of environmental authorities in IMPEL Member countries. The IRIis intended to enable the environmental authority and the Review Teamto explore how the authority carries out its tasks. It aims at identifyingareas of good practice for dissemination together with opportunities todevelop existing practice within the authority and authorities in otherIMPEL Member Countries.Inspecting authorities should prepare plans for inspection programmes.These should incorporate relevant goals of the particular authority andtake account of several key elements such as industries to be inspected,resources available, time available for inspections, frequencies of routineinspections, reactive inspections and prioritisation.The purpose of the IMPEL Reference Book on Environmental Inspectionis to provide a tool to environmental inspectors in the European Union. Itis mainly meant for field inspectors but can also be useful to top andmiddle management.Mr Will FawcettEnvironment AgencyRio House, Waterside DriveAztec West, AlmondsburyUK-BS32 4UD BristolWill.Fawcett@environment-agency.gov.ukMs Ulla RingbækDanish EPAStrandgade 29DK-1401 Copenhagen Kur@mst.dkEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 117Relevant for:LeadCountryProjects/ActivitiesYear/PeriodExecutive Summary/Project Description Cluster 1: Participants Cluster 1: Participantsminimumcriteria:frequency ofinspectionsUKMinimum Criteria of Inspections:Frequency of Inspections1998The report aims to promote common principles for determining thefrequency of environmental inspection of industrial installations. Itcovers the following types of inspections: Routine inspections, Reactiveinspections and Specific inspection campaigns.minimumcriteria:operator selfmonitoringUKMinimum Criteria of Inspections:Operator Self monitoring1998The monitoring of industrial processes, their releases and their impact onthe environment, is often carried out by the competent authorities.However it may also be an obligation on the operators themselvesincluding an obligation to report the results to the competent authority.This is known as operator self-monitoring.Mr Will FawcettEnvironment AgencyRio House, Waterside DriveAztec West, AlmondsburyUK-BS32 4UD BristolWill.Fawcett@environment-agency.gov.ukminimumcriteria:generalprinciplesUKMinimum Criteria of Inspections:General Principles1997The report presents minimum criteria for environmental inspections withthe aim of promoting common principles for the inspection of industrialinstallations which arise from the obligations on industry to respect theimplementation of environmental law and to protect the environment.European Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 118Summary of relevant IMPEL Projects-Cluster 2: Transfrontier Shipment of Waste (http://impel.eu/category/cluster/cluster-2)Note: The titles of the studies (projects/activities) are linked to the original study (hyperlink) for easy accessibility (move cursor over title and press Ctrl+click)LeadRelevant for:Projects/Activities Year/Period Executive Summary/Project Description Cluster 2: TFS National Contact PointsCountryinspections DE Waste SitesRunning2011Recent discussions in IMPEL-TFS and among high-level inspectors haveaddressed, among other things, the necessity to focus on “waste sites” inEurope in connection with illegal waste exports. The High Level Inspectorsmeeting of 28 April 2009, for instance, agreed on the need to look “upstream”to recycling and other waste treatment facilities which should be inspected inview of the poor quality of some waste going for export.Mr. Harald JunkerUmweltbundesamtAnlaufstelle Basler ÜbereinkommenWörlitzer Platz 1844 Dessauharald.junker@uba.deinspections;enforcementNLEuropean WasteEnforcementActions/Jointinspections of wasteshipments, phase 2Running2011The objective of this project is to promote and improve inspections andenforcement of waste shipments through and out of the European Union and toverify the waste destination and treatment in countries of destination anddevelop tools to support a better implementation of the Regulation.Mr. Johan HuijbregtsMinistry of Housing, Spatial Planning and theEnvironmentInspectorate General, Dep. Crisis ManagementPO box 16191, ipc 5502500 BD The Haguejohan.huijbregts@minvrom.nlinspections;enforcementNLEnforcementActions IIRunning2008-2011The main objectives of this project are to work towards an adequate level ofinspections in all Member States and at all exit points of the EU, to introducecomplete measures in order to prevent and detect illegal waste shipments andto deter illegal waste exporters, to verify waste destination and the treatmentat destination within or outside Europe, to set up training and exchangeprogrammes for inspectors, and to maintain and improve the network andcollaboration of front line inspectors and other competent authorities andenforcement partners by exchange of information and knowledge.Mr. Johan HuijbregtsMinistry of Housing, Spatial Planning and theEnvironmentInspectorate General, Dep. Crisis ManagementPO box 16191, ipc 5502500 BD The Haguejohan.huijbregts@minvrom.nlcontrolstrategy;inspections;enforcementUKE-waste projectRunning2008-2011This project will require IMPEL TFS members to work together to develop astrategic threat assessment on European WEEE exports which will enable afuller understanding of the trade to be achieved. A better understanding of theEuropean WEEE export trade will provide the opportunity to develop a Europewide control strategy which will identify the most effective interventions ortactical actions each member state can employ to disrupt illegal trade. Theproject also offers the opportunity for some collaborative inspection andenforcement work to test the effectiveness of the control strategy and makeadjustments to it as required.Mr. Richard GrayEnvironment AgencyInternational Waste Shipments TeamRichard Fairclagh House Knutsford RoadWarrington, Cheshire WA4 1HTrichard.e.gray@environment-agency.gov.ukEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 119Relevant for:LeadCountryProjects/Activities Year/Period Executive Summary/Project Description Cluster 2: TFS National Contact Pointsinspections;enforcementNLEnforcementActions I2006-2008Main aim of this Enforcement Actions project is to contribute to a permanentand consistent level of enforcement of Waste Shipment Regulation withinEurope. The following objectives are derived from the projects’ aim: continueperforming inspections; improve (inter)national cooperation and exchange ofknowledge and experience and develop and improve enforcement tools.Mr. Johan HuijbregtsMinistry of Housing, Spatial Planning and theEnvironmentInspectorate General, Dep. Crisis ManagementPO box 16191, ipc 5502500 BD The Haguejohan.huijbregts@minvrom.nlinspectionsDEManual on thereturn of illegalshipments of waste2007During controls of waste shipments, cases of non-compliance are detected bythe inspectors on a regular basis. For these situations, the legislation hasincluded take-back obligations. To support the involved authorities in the actualarrangements of repatriating the waste, IMPEL TFS has developed a guidancemanual.Mr. Harald JunkerUmweltbundesamtAnlaufstelle Basler ÜbereinkommenWörlitzer Platz 1844 Dessauharald.junker@uba.decontrol;enforcementNLWasteInterpretationDatabase2007During the IMPEL TFS activities it was generally acknowledged that there areinterpretation differences and that they frustrate adequate control andenforcement of Waste Shipment Regulation. The objective of the pilot projectwas to collect WSR decisions of authorities in a database, so that decisions canbe viewed and understood and so that decisions can be compared anddifferences in interpretation can be identified.Mr. Johan HuijbregtsMinistry of Housing, Spatial Planning and theEnvironmentInspectorate General, Dep. Crisis ManagementPO box 16191, ipc 5502500 BD The Haguejohan.huijbregts@minvrom.nlminimumcriteria;inspectionsIEEnd of Live VehiclesProject2006The aim of the project is:1. To define and clarify the categories of vehicles intended for export and toagree minimum criteria for classification as waste.2. To develop a core inspection procedure for vehicle export and commonworking methods.3. To facilitate exchange programmes of inspectors to improve exchange ofexperience and information, and good communication and information sharing.Mr. Pat FentonHeritage and local government, department ofthe environment, Waste Infrastructure andregulation Section Environment DivisionCustom House DublinDublin 1pat_fenton@environ.ieEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 120Relevant for:LeadCountryProjects/Activities Year/Period Executive Summary/Project Description Cluster 2: TFS National Contact Pointsinspections:enforcementNL Seaport Project II 2004-2006Main aim of the IMPEL-TFS Seaport II project is to improve inspections and theenforcement of regulations on the transfrontier shipments of waste, and toalign enforcement actions between seaports, organisations and countriesinvolved.Mr. Johan HuijbregtsMinistry of Housing, Spatial Planning and theEnvironmentInspectorate General, Dep. Crisis ManagementPO box 16191, ipc 5502500 BD The Haguejohan.huijbregts@minvrom.nlenforcement NL Seaport Project I 2003-2004The aim of this project was the improvement of the European enforcement ofwaste shipment regulation as laid down in EU Regulation 259/93 and the Baselconvention, by improved cooperation between the enforcement authorities.Mr. Johan HuijbregtsMinistry of Housing, Spatial Planning and theEnvironmentInspectorate General, Dep. Crisis ManagementPO box 16191, ipc 5502500 BD The Haguejohan.huijbregts@minvrom.nlEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 121Summary of relevant other studies covering issues on permitting, monitoring, inspections, enforcement etc.Relevant for: Source Project/StudyYear/PeriodExecutive Summary/Project DescriptionContactmonitoring;reportingpermitting,monitoring,inspection[EERA 2010][Ökopol2010]implementation [ECO 2009a]implementation [ECO 2009b]implementation [ECO 2009c]implementation [ECO 2009d]Improving WEEEMonitoring and ReportingTransboundary shipment ofwaste electrical andelectronic equipment /electronic scrap –Optimization of materialflows and controlA Report on theImplementation ofDirective 91/689/EEC onHazardous WasteA Report on theImplementation ofDirective 1999/31/EC onthe Landfill of WasteA Report on theImplementation ofDirective 2002/96/EC onWaste Electrical andElectronic Equipment(WEEE)A Report on theImplementation ofDirective 75/442/EEC onWaste201020102009200920092009Position paper Proposal for accountable monitoring and reporting of theWEEE DirectiveThe report describes approaches, measures and regulation structures forthe export of used EEE and WEEE to non-EU countries. It aims at optimisingthe protection of the environment and resource flows. In the countries ofdestination, the equipment encounters recovery and disposal structures,which are not suitable to ensure the protection of human health and theenvironment as well as the extensive recovery of re-sources. Theelaborated measures cover short-term measures (amendment of the WEEEDirective, export controls, information of the public, obligation ofmanufacturers and re-marketing firms, return logistics) as well as mediumtermmeasures (modification of the foreign trade statistics, improvementof the situation in the countries of destination).This report is a synopsis of the responses by Member States to thequestionnaire (Commission Decision 97/622/EC) covering the period 2004-2006. The synopsis summarizes these responses article per article andcountry per country.This report is a synopsis of the responses by Member States to thequestionnaire (Commission Decision 2000/738/EC) covering the period2004-2006. The synopsis summarizes these responses article per articleand country per country.This report is a synopsis of the responses by Member States to thequestionnaire (Commission Decision 2004/249/EC) covering the period2004-2006. The synopsis summarizes these responses article per articleand country per country.This report is a synopsis of the responses by Member States to thequestionnaire (Commission Decision 94/741/EC) covering the period 2004-2006. The synopsis summarizes these responses article per article andcountry per countryThe European Electronics RecyclersAssociationsecretariat@eera-recyclers.comwww.eera-recyclers.comhttp://www.basel.int/techmatters/e_wastes/germany-report-18May2010.pdfEcologic and Institute for EuropeanEnvironmental PolicyEcologic and Institute for EuropeanEnvironmental PolicyEcologic and Institute for EuropeanEnvironmental PolicyEcologic and Institute for EuropeanEnvironmental PolicyEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 122Relevant for: Source Project/StudyYear/PeriodExecutive Summary/Project DescriptionContactenforcement;inspections;monitoring;guidance[EPA 2009]Focus on EnvironmentalEnforcement in Ireland2009The report highlights the outcomes of enforcement activities by EPA andlocal authorities with respect to waste, water, air and noise during 2006–2008. A separate section outlines the outcomes achieved by the EPA fromthe regulation of large industrial activities under the Integrated PollutionPrevention and Control Directive (IPPC).ENVIRONMENTAL PROTECTION AGENCYAn Ghníomhaireacht um ChaomhnúComhsaoil; PO Box 3000, Johnstown CastleEstate, Co. Wexford, IrelandTelephone: +353 53 916 0600 Fax: +353 53916 0699; Email: info@epa.ie Website:www.epa.ieimplementation [EU 2009]Report on Implementationof the Community WasteLegislation2009This report aims to inform the other Community institutions, the MemberStates and the public about the implementation of the EU legislation onwaste over the period 2004 – 2006. It covers Directives 2006/12/EC onwaste, 91/689/EC on hazardous waste, 75/439/EEC on waste oils,86/278/EEC on sewage sludge, 94/62/EC on packaging and packagingwaste, 1999/31/EC on the landfill of waste, 2002/96/EC on waste electricaland electronic equipment, and 2000/53/EC on end-of-life vehicles.implementationenforcement;implementation;inspections;monitoringenforcement;inspections[Milieu2009][Arcadis &RPA 2008][EPA 2007]Study on the feasibility ofthe establishment of aWaste ImplementationAgencyStudy on RoHS and WEEEDirectivesEPA Enforcement of theWEEE Regulations200920082007The European Commission is taking a series of steps to strengthen theimplementation of EU waste legislation and is exploring new initiatives forthe coming years. As part of these efforts, the Commission has launchedthis feasibility study to outline the benefits and costs of creating adedicated agency to support the implementation and enforcement of EUwaste legislation.With respect to the overall review of the WEEE Directive, this study willhelp at closing certain gaps by covering the assessment of the impacts oninnovation, competition and the assessment of the relationships withexisting Directives and broader policy objectives. The aim of the Study ofthe RoHS Directive consisted of identifying proposals to revise the Directivewith a view to improving its cost effectiveness while maintaining the samelevel of environmental protection.The Environmental Protection Agency’s Office of Licensing and <strong>Guidance</strong>,as part of the National Waste Prevention Programme, is responsible forenforcing the Waste Electrical and Electronic Equipment (WEEE)Regulations (S.I. No. 340 of 2005) in co-operation with local authorities andother regulatory bodies with related responsibilities. A programme ofunannounced inspections, complaint investigation and surveillance isongoing.Milieu Ltd. (Belgium), 15 rue Blanche, B-1050Brussels, tel: +32 2 506 1000; fax: +32 2 5143603;e-mail: zamparutti@milieu.be; web address:www.milieu.beARCADIS: Sarah Bogaert, Mike Van Acoleyen,Inge Van Tomme, Lieven De SmetRPA: Dave Fleet, Rocio SaladoAdditional information can be obtained from:http://www.epa.ieEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 123Relevant for: Source Project/StudyYear/PeriodExecutive Summary/Project DescriptionContactimplementation;inspections;monitoring[JRC 2006]Implementation of theWasteElectric and ElectronicEquipment Directivein the EU2006The report identifies and describes regulatory and managementapproaches considering WEEE at worldwide level. It outlines key trends anddescribes the main benefits and problems in the implementation of theWEEE Directive. The report identifies opportunities for harmonisation andimprovement in the way the Directive is being implemented acrossMember States.European CommissionDirectorate-General Joint Research CentreInstitute for Prospective Technological StudiesContact informationAddress: Edificio Expo. c/ Inca Garcilaso, s/n.E-41092 Seville (Spain)E-mail: jrc-ipts-secretariat@ec.europa.euTel.: +34 954488318; Fax: +34 954488300http://www.jrc.es; http://www.jrc.cec.eu.intenforcement;implementation;guidance[NMO 2006]RoHS Enforcement<strong>Guidance</strong> Document2006This document has two primary intentions:• to assist Member States with national enforcement of the RoHSDirective; and• to provide clarity to industry on how producers may demonstratecompliance with its requirements.This document is also intended to become part of a wider, voluntaryinitiative to develop administrative co-operation between those MemberState enforcement authorities that have responsibility for theimplementation of the RoHS Directive.the report describes the major procedures and inspection risks for 15priority waste streams that are being transboundary shipped, and itincludes detailed concordance tables between list of waste LoW codes,annexes III and IV codes (A and B codes and additions) from the WasteShipment Regulation and the HS/CN harmonised system/combinednomenclature used by customs services. The aim is to support customsservices in the inspection on waste shipments.Additional information can be obtained from:http://www.bis.gov.uk/nmo/enforcementinspection[Arcadis2010]support to implementationof waste shipmentregulation requirements inthe customs nomenclatureand tariff2010ARCADIS : Mike van Acoleyen, Ilse LaureysensBIO-IS : Lise Vanlong, Nejma Andrepermitting,monitoring[bio-is,2010]plastic waste in theenvironment2010This report describes trends in plastic waste generation and management,develops a baseline scenario, presents five policy options that could changethat scenario. One of them is "WEEE and automotive plastic waste targets".bio-is: Shailendra Mudgalaea energy and environment : Phil DolleyIEEP : Catherine Bowyerhttp://ec.europa.eu/environment/waste/studies/pdf/plastics.pdfEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 124Relevant for: Source Project/StudyYear/PeriodExecutive Summary/Project DescriptionContactinspection[BaselConventionsecretariat]draft Technical Guidelineson transboundarymovement of e-waste, inparticular regarding thedistinction between wasteand non-waste2010 -ongoingThis draft for consultation (Version 22 September 2010) is included in thework plan for the environmentally sound management of E-waste (WEEE)as adopted at the ninth meeting of the Conference of the Parties to theBasel Convention. It offers support on the distinction between electricaland electronic equipment destined for repair or continued use and e-waste, to enable better inspection in case of a border control. Nextrevision will be published on 31 January 2011.The report describes approaches, measures and regulation structures forthe export of used EEE and WEEE to non-EU countries. It aims at optimisingthe protection of the environment and resource flows. In the countries ofdestination, the equipment encounters recovery and disposal structures,which are not suitable to ensure the protection of human health and theenvironment as well as the extensive recovery of re-sources. Theelaborated measures cover short-term measures (amendment of the WEEEDirective, export controls, information of the public, obligation ofmanufacturers and re-marketing firms, return logistics) as well as mediumtermmeasures (modification of the foreign trade statistics, improvementof the situation in the countries of destination).http://www.basel.int/techmatters/e_wastes/guidelines/guidelines/21Sep2010.docinspection[Ökopol2010]Transboundary shipment ofwaste electrical andelectronic equipment /electronic scrap –Optimization of materialflows and control2010http://www.basel.int/techmatters/e_wastes/germany-report-18May2010.pdfmonitoring,inspection[OECD 2009]<strong>Guidance</strong> manual for thecontrol of transboundarymovements od recoverablewastes2009The <strong>Guidance</strong> Manual explains the functioning of the OECD control systemin detail. It assists national governments and competent authorities toimplement the OECD control system and also helps private companies toimport and export of recoverable wastes in an environmentally sound andeconomically efficient manner.http://www.oecd.org/dataoecd/57/1/42262259.pdfpermitting,inspection,enforcement[EC DG ENV2006]Frequently AskedQuestions on Directive2002/95/EC on theRestriction of the Use ofcertain HazardousSubstances in Electrical andElectronic Equipment(RoHS) and Directive2002/96/EC on WasteElectrical and Electronic2006These Frequently Asked Questions (FAQ) are intended to help theauthorities in the Member States to interpret both directives. They couldalso be used as a reference by economic operators, as they will have tocomply with the national laws transposing the Directives. These FAQ reflectthe views of the Commission, and as such are not legally bindinghttp://ec.europa.eu/environment/waste/pdf/faq_weee.pdfEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 125Relevant for: Source Project/StudyEquipment (WEEE)Year/PeriodExecutive Summary/Project DescriptionContactinspection,monitoring[BANnetwork,2006]The digital dump 2005Discarded electronic equipment is recognized as the fastest growing wastestream in the industrialized world for which many brokers and businesseshave sprung up to channel from North to South. Strict enforcement of theBasel Convention for the hazardous hand-me-downs must become thenorm. Thankfully, some countries have already embarked on suchmeasures of responsibility. Australia is noted, for implementing rules thatrequire full testing of electronic waste to certify compliance with the BaselConvention prior to any export.http://www.ban.org/Library/TheDigitalDump.pdfEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation

07030/2010/576173/SER/C2 126Contact details:BiPRO GmbHGrauertstr. 1281545 Munich, GermanyPhone: +49-89-18979050Fax: +49-89-18979052URL: http://www.bipro.deEuropean Commission<strong>Guidance</strong> (Final version)Services to support Member States' enforcement actions and inspections concerning the application of EU waste legislation