1. Abfallbewertung Bundesabfallwirtschaftsplan Andreas Moser Andreas.Moser@bmlfuw.gv.a t Tel: 01 51522 3521 Possible methods for calculation of the financial guarantee in the EU Andreas Moser Austrian Federal Ministry of Agriculture, Forestry, Environment and Water Management Bratislava Workshop December 9 th 2015

2. Basel Convention Article 8 – duty to re-import When a transboundary movement of wastes, subject to the provisions of the Convention, cannot be completed in accordance with the terms of the contract, the State of export shall ensure that the wastes in question are taken back into the State of export, by the exporter, if alternative arrangements cannot be made for their disposal in an environmentally sound manner, within 90 days from the time that the importing State informed the State of export and the Secretariat. Article 6/11 – financial guarantee Any transboundary movement of hazardous wastes or other wastes shall be covered by insurance, bond or other guarantee as may be required by the State of import or any State of transit which is a Party.

3. Basel Convention Protocol Article 3 – incomplete disposal operations Art. 3/2/b In relation to movements destined for the operations specified in D13, D14, D15, R12 or R13 of Annex IV to the Convention, until completion of the subsequent disposal operation specified in D1 to D12 and R1 to R11 of Annex IV to the Convention.

4. Waste Shipment Regulation Take back obligation – Article 22 to 25 Responsibility of the country of export Article 6 – financial security 1. All shipments of waste for which notification is required shall be subject to the requirement of a financial guarantee or equivalent insurance covering: (a) costs of transport; (b) costs of recovery or disposal, including any necessary interim operation; and (c) costs of storage for 90 days.

5.  Illegal shipments not covered Fund system not allowed by EU-Law (C-389/00) – distortion of the common market  Legal shipments Field of tension between -Economical feasibility and -Worst case scenario  Assessment problems -storage costs (costs in country of import – assessment by country of export) -value of recyclables -final disposal costs vs. recycling costs

6. Shipment of sorting residues from packaging recycling  Intended recovery operation R12/R1 – estimated costs € 90/t including R1 Quality not fit for RDF production – alternative recovery R1 in a MSW- incinerator € 140/t Shipment of bulky wastes for recovery R3 (R12/R1)  Estimated storage costs € 20/t (e.g. treated wood AC170) – waste contaminated with tar/creosote – storage costs € 120/t (possible emissions of PAH) Shipment of filter dusts (Y23/A4100) for recovery R4 (metal value refunded)  Estimated value € 260/t Zn (20% of metal price) assumed content 30% Zn – metal refund € 78/t – real content only 10% Zn – metal refund only € 26/t, alternative disposal R5 with costs of € 140/t Typical problems

7. Calculation methods by different MS Austria G = (trans + treat + store) x quantity G:financial guarantee trans:transport costs per ton + VAT treat:treatment costs (typically of intended treatment) per ton + VAT store:storage costs for 90 days per to + VAT quantity:total quantity of waste notified VAT:value added tax of the respective country, where the financial guarantee is laid down. Storage costs (for 90 days): The following values shall be used, or alterna- tively an individual offer may be made at a price valid for the Ministry of the Environment. Non hazardous wastes € 40/t Hazardous waste € 150/t

8. Calculation methods by different MS Austria Transport costs: (one way) in km in accordance with the notification: As a rough estimate, the figure of 0,10 €/ton/km are used. Alternatively, the transport costs can be made through a presentation of an offer. Treatment costs: In general, the costs for waste recovery or disposal depend on the specific waste stream and are calculated on the basis of price lists of Austrian waste treatment facilities. When the waste being shipped has a positive net value, meaning that it could be sold for treatment with a net profit, the treatment costs in the calculation can be set to zero. Interim operation: A supplementary guarantee could cover the final treatment costs and the transport costs from pre-treatment to the final treatment installation. If no supplementary financial guarantee is provided, the financial guarantee shall cover the costs of the alternative final treatment (including the pre-treatment costs) and the transport costs from the location of the sender of the wastes to the consignee, carrying out the final recovery or disposal operation.

9. Calculation methods by different MS Austria The guarantee can be reduced to ¼ provided that a)all notifications of transport – receive – disposal are made in electronic form b)the number of “shipments alive” (notification of transport but no notification of disposal) never exceeds 25% of the total amount. Problems in the past e.g. shipment of C/P-sludge for recovery R5; waste was not accepted for recycling (didn’t meet the acceptance criteria) – costs of alternative disposal twice as high as recovery costs (50% of the waste in only one shipment)

10. Calculation methods by different MS Belgium – Flanders and Brussels Capital Region The formula for the determination of the financial guarantee [FG]: a) For non-hazardous waste with destination in OECD zone : FG = Total amount of waste material [ton] * 2 EUR, minimum amount € 1.200 b) For hazardous waste with destination in OECD zone : FG = Total amount of waste material [ton] * 8 EUR, minimum amount € 4.800 c) For non-hazardous waste with destination out OECD zone : FG = Total amount of waste material [ton] * 4 EUR, minimum amount € 2.400 d) For non- hazardous waste with a departure out OECD zone, import EU zone : FG = Total amount of waste material [ton] * 4 EUR, minimum amount € 2.400 e) For hazardous waste with a departure out OECD zone, import EU zone : FG = Total amount of waste material [ton] * 16 EUR, minimum amount € 9.600

11. Calculation methods by different MS Belgium – Wallonia The formula for the determination of the financial guarantee [FG]: FG = (A + B + C) x D x (E/F + 1) x 1.2 A = processing costs/ton (€/ton) B = transportation costs/ton = € 0.1/(km x ton) x kilometers (km) (€/ton) C = fixed amount for the storage of waste during 90 days (€/ton) Hazardous waste indoor storage € 140/t Hazardous waste outdoor storage € 70/t Non-hazardous waste indoor storage € 70/t Non-hazardous waste outdoor storage € 35/t D = quantity of waste per single shipment (in tons) = total amount/number of shipments E = time to complete the process (in days) F = time between two shipments (in days) = timeframe of the notification/number of shipments

12. Calculation methods by different MS Italy The formula for the determination of the financial guarantee [FG]: G = T (Transport) + S (Disposal / Recovery + Storage) G = Financial Guarantee (€) T = Transport Costs in € = Km x Tonnes x 0,15 S = Disposal /Recovery /Storage = Tonnes x K2 K2: Recovery of any type of waste € 1.003/t Disposal of non hazardous waste€ 1.003/t Disposal of hazardous waste€ 2.006/t Disposal of hazardous wastes containing more than 5.000 ppm halogenated solvents€ 4.012/t

13. Calculation methods by different MS Germany The formula for the determination of the financial guarantee [FG]: FG = (CT * D * ST + CRD * SRD + CS * SS) * M Where, FG=Amount of the bank guarantee or equivalent insurance [€] CT=Return transport costs per km, per ton [€/(km * t] CRD =Recovery or disposal costs per ton [€/t] CS=Costs of storage for 90 days per ton [€/t] D=Distance [km] M=Quantity of waste [t] ST=Safety factor for return transport (1.0 to 1.3) SRD=Safety factor for recovery/disposal (1.0 to 1.3) SS=Safety factor for storage (1.0 to 1.3) CT/CRD/CS is fixed by the CA (31) on a case by case basis tacking into account i.a hazardousness of the waste. Only legally binding offers of alternative cost, covering the whole time period of the notification are accepted.

14. Calculation methods by different MS UK – England and Wales The formula for the determination of the financial guarantee [FG]: FG = [(A + B + C) x the number of active shipments] + D where, A = the cost of shipment; B = the cost of disposal or recovery; C = the cost of storage for 90 days; and D = administrative costs (including legal fees and charges = £595 ). A/B/C is filled in by the notifier on basis of his actual costs. The CA scrutinizes this amount and may request an additional security calculated on the basis of a “worst case scenario”. For example, the cost of disposal or recovery should take account of the possibility that the waste might not be described properly and could contain contaminants which the consignee (person receiving the waste) cannot deal with.

15. Calculation methods by different MS The Netherlands The financial guarantee has to cover the amount of waste that is shipped at one time and not yet processed. That means that at least one shipment has to be covered by the financial guarantee. If the notifier wants to do more shipments at one time – which implies that the waste of the shipments is not yet processed - he has to set a financial guarantee that covers the amount of waste transported with these shipments at the same time up to the moment the consignee provides the certificate of disposal/recovery for the waste. The Netherlands have prepared an excel-tool for the calculation using fixed amounts for transport (€ 0,105/km and ton for road transport, € 0,02 per mile and ton for water ways), storage (€ 15/t for solid waste and € 100/t for liquid wastes) and recovery/disposal (depending on the Basel Code, e.g. A3020 € 0/ton A3050 € 500/ton).

16. Thank you for your attention!