+ANNEX X REQUIREMENTS FOR AUDITORS AND CRITERIA FOR FACILITIES RECEIVING WASTE EXPORTED FROM THE UNION PURSUANT TO ARTICLE 46

ANNEX X REQUIREMENTS FOR AUDITORS AND CRITERIA FOR FACILITIES RECEIVING WASTE EXPORTED FROM THE UNION PURSUANT TO ARTICLE 46



ANNEX X

REQUIREMENTS FOR AUDITORS AND CRITERIA FOR FACILITIES RECEIVING WASTE EXPORTED FROM THE UNION PURSUANT TO ARTICLE 46

Part A

Detailed requirements for third parties conducting audits

1. A third party conducting audits in accordance with Article 46 shall be considered independent from the notifier or person who arranges the shipment as well as from the audited facility if it is documented that:

(a) 

it is not a part of or under control of these entities;

(b) 

it has established and operates procedures guaranteeing its impartiality, including:

(i) 

assessment of risks of its impartiality on an ongoing basis;

(ii) 

identification, elimination and mitigation of risks to impartiality resulting from financial, commercial and other types of pressure;

(iii) 

assessment of risk of its impartiality resulting from relationships of its personnel;

(c) 

it is structured and managed in a way ensuring its independence and impartially, including:

(i) 

it is clearly identifiable within the legal entity, if the legal entity conducts also activities not related to inspections;

(ii) 

it has reporting rules on the performed audit activity;

(iii) 

its personnel has clearly identifiable responsibilities with respect to conducting audits.

2. A third party conducting audits in accordance with Article 46 shall be considered to have appropriate qualifications in the area of audits and waste treatment if it has a sufficient number of qualified personnel, directly or via subcontracting, that is regularly trained and if its personnel involved in conducting such audits has documented professional experience in the following areas:

(a) 

conducting audits of facilities treating waste;

(b) 

waste treatment operations;

(c) 

environmental and occupational health and safety management systems.

3. In order to demonstrate compliance with the criteria referred to in paragraphs 1 and 2, a third party conducting audits could refer to its certification with Union or internationally recognised standards relevant for the conduct of audits as defined in Article 46, such as ISO standard 19011:2018 or ISO/IEC standard 17020:2012.

Part B

Criteria designed to demonstrate that a facility manages waste exported from the Union in an environmentally sound manner

1. The audit referred in Article 46(3) shall verify that the facility managing the waste in the country of destination in its actual operations complies with the following conditions:

(a) 

it is authorised by its competent authorities to import and treat this waste (evidence to be provided notably through production of corresponding permits or licences) and is carrying out its activities in accordance with relevant applicable domestic legislation on environmental protection;

(b) 

it is designed, constructed and operated in a safe and environmentally sound manner and, in particular, it has the required processes, appropriate waste management technology, organisation and infrastructure in place to treat the waste in question, and insurances covering potential risks and liabilities. To this end, as a minimum, information on the waste treatment methods, including how residual waste is treated, notably through downstream traceability, must be checked;

(c) 

it establishes and operates management and monitoring systems, procedures and techniques that have the purpose of preventing, reducing, minimising and to the extent practicable eliminating:

(i) 

health and safety risks to workers concerned and to the population in the vicinity of the facility; and

(ii) 

adverse effects on the environment caused by its activities (in particular through adequate measures taken to monitor and address soil, water and air pollution, and other nuisances (odour, noise));

(d) 

it ensures the traceability of all waste received and treated at the facility, including ensuring that all residual waste generated from their activities are documented and are only transferred to waste management facilities that are authorised to treat such residual waste. To this end, as a minimum, information shall be checked on:

— 
the quantity of waste that the facility is entitled to treat according to its permit/licences,
— 
the quantity of waste that the facility receives and recovers annually,
— 
the quantity of residual waste generated from their activities, as well as evidence that this residual waste is treated in an authorised waste treatment facility, including in the case of export;
(e) 

it has taken measures designed to save energy and limit the emissions of greenhouse gases linked to its activities;

(f) 

it establishes and is able to provide records of its waste management activites and import and export of waste for the last five years; if a facility has operated for less than five years, it establishes and is able to provide records of its waste management and waste shipment activities for the time it has operated;

(g) 

it has not been convicted of having carried out illegal activities linked to import and export of waste or waste management in the last five years;

(h) 

it has established internal reporting channels and procedures for internal reporting and for follow-up, which enable the facility’s workers to report information on breaches of rules relating to adverse effects on the environment if required by the legislation of the country of destination.

2. Upon verifying compliance of a facility against the above criteria, the independent third party performing the audit shall in particular take into account, as a point of reference and where relevant:

(a) 

specific requirements for the treatment of certain waste, including as referred to in Part 1 of Annex IX, and on the calculation of the quantity of waste treated, which are mandatory under Union legislation;

(b) 

the Best Available Techniques conclusions adopted for certain activities under the regime of Directive 2010/75/EU of the European Parliament and of the Council of 24 November 2010 on industrial emissions ( 79 ).

3. In addition, the guidelines referred to in Part 2 of Annex IX shall also be taken into consideration as points of reference.

1. Overview

,

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

Requirements

3. Related Standards

Standards