1. Which legal texts apply?

The financial guarantee is defined in :

• Article 6 of EC Regulation 1013/2006 of 14 June 2006 ;
• French Ministerial order of 13 July 2011 regarding the composition of financial guarantees for transboundary movement of waste : MO 13 July 2011 gf (format pdf - 110.2 ko - 22/06/2017)  ;
• Articles R541-64 to R541-64-4 of the French Environmental Code.

  2. What is it, and what is it for?

The financial guarantee is a banking document attesting to the fact that a certain amount of money will be made available to cover any costs in the event that the movement cannot be completed or has been undertaken illegally.
In this case, the PNTTD may be called upon to replace the notifier and repatriate and process the waste.

The notifier must provide a financial guarantee for all waste movements subject to the notification process.
The competent authority in the country of dispatch will examine and validate the guarantee.
For France and for export movements, this verification is carried out by the PNTTD.

The calculation of the financial guarantee takes into account the cost of waste processing, transport, and 90 days of storage, but does not take account of different hazard levels (see below).

  3. What items need to be provided to the PNTTD?

For the notification file to be properly assessed, the following items must be provided :

• the calculation sheet for the financial guarantee -> see template : guarantee calculation sheet template (format pdf - 52.3 ko - 03/03/2017)
• the 3 cost estimates used for the calculation (cost of waste processing, transport and storage), preferably indicating the cost per tonne (otherwise, explain the calculation) and with all taxes and charges included (otherwise, consider adding VAT). Attention, depuis le 01/11/17, les devis de traitement doivent respecter une forme bien précise : voir les nouveautés concernant la garantie financière
• the original banking document : this document must be provided before approval can be granted, but a copy will suffice provided the rest of the file is deemed to be duly complete (in order to allow the file to be sent to competent authorities in the destination and transport countries without depriving the notifier of their original documents). -> see template : banking document template (format pdf - 63.9 ko - 03/03/2017)

  4. What information needs to be included?

The following information must be included in the banking document for the financial guarantee :

A. Identification of the waste movement in question

• Notification number
• Contact information for the competent authority that is the beneficiary of the guarantee
• Notifier (name and address)
• Consignee (name and address)
• Dispatcher (name and address)
• Amount

B. Identification of the legal person underwriting the guarantee (name and address)

C. Legal commitment

 > see banking document template (format pdf - 63.9 ko - 03/03/2017)

  5. Calculation of the financial guarantee (and of the active quantity)

a) Calculation of the financial guarantee for French exports

 > see guarantee calculation sheet template (format pdf - 52.3 ko - 03/03/2017)

CT : Cost of Transport per tonne for the journey between the production site and the processing facility.
CTR : Cost of Treatment per tonne
CS : Cost of Storage per tonne for 90 days
AQ : Active quantity of waste being moved until such time as the treatment certificate is submitted to the competent authority (cf. example below)

Please note :

• All estimates must be calculated with all taxes and charges included, by a third party not involved in the notification process see
• Estimates for treatment and storage costs cannot be zero
• Estimates for treatment and storage costs must be drawn up by a French facility
• The active quantity must be indicated in the contract concluded between the notifier and the consignee.

b) Calculating the Active Quantity : example

Example : a movement is being planned of 18,250 tonnes of waste, and the contract states that the facility agrees to process this waste within 3 days. The AQ may be calculated as follows :
18,250 (total tonnage) / 365 (days of the year) x 3 (days required for treatment) = 150
The Active Quantity will therefore be 150 tonnes (this amount should be stated in the contract).

c) Please note : certain waste types have pre-determined treatment costs

Based on the estimates the PNTTD has gathered since its creation, flat-rate treatment costs are offered for certain waste types.
Examples :

• wood (untreated) : €100/tonne
• catalytic converters : €300/tonne

Discussions are underway with industrial federations on this issue.
Information will be published online once it has been validated.
see

In the meantime, treatment costs will be verified by the case reviewer upon receipt of the file. If the rest of the file is duly complete, the reviewer will indicate whether the financial guarantee (and therefore the cost of treatment) is valid. If this is not the case, the notifier will have until the time of approval to recalculate the guarantee.

  6. Which competent authority is the beneficiary?

The beneficiary competent authority is the :
Ministre en charge de l’Environnement (Ministry of the Environment)
2 rue Augustin Fresnel
CS 95038
FR-57071 Metz Cedex 3

NB1 : L’adresse indiquée est souvent celle de Paris-La Défense. Si elle reste valable, il est préférable d’indiquer celle du PNTTD à Metz afin d’éviter tout risque d’envoi à Paris impliquant d’importants retards dans la réception du document bancaire par le pôle.

NB2 : Although the name of the ministry has been changed, the guarantee’s beneficiary is still the Minister responsible for the Environment

  7. To whom should the banking document be submitted?

The original copy of the financial guarantee should be submitted to :
PNTTD
2 rue Augustin Fresnel
CS 95038
FR-57071 Metz Cedex 3

  8. When should the financial guarantee be sent?

Before asking the bank to issue the guarantee, it is preferable for the notifier to wait for the file reviewer’s validation of the calculation used in the guarantee.

The banking document will also be checked by the case reviewer, who will verify that all regulatory items have been properly indicated. To ensure this is the case, use this template : banking document template (format pdf - 63.9 ko - 03/03/2017) .

NB : the file may be considered to be duly complete without the banking document as of the time the calculation has been verified to be correct. However, the original copy of the banking guarantee must be submitted before approval can be given (leaving some time for this document to be compiled).

  9. Common issues / troubleshooting

Click here to expand : FG problems (format pdf - 38 ko - 12/05/2017)

  10. How is the financial guarantee lifted?

Once all waste movements have been completed, the notifier may request that the financial guarantee be lifted.

How?

• all information regarding the movement(s) must have been entered into GISTRID (transfer numbers, quantity of waste dispatched/received/treated) ;
• certificates of disposal or recovery, i.e. movement documents (or Annex 1B), with sections 18 and 19 completed and signed must be uploaded ;
• the notifier must then click the “finish notification” button.

Once these actions have been carried out, the notifier should send an email to pnttd@developpement-durable.gouv.fr to request that the guarantee be lifted, specifying the relevant notification n° (in the subject of the email). The PNTTD will then be able to review the request and checked, return the guarantee to the notifier.

NB : the guarantee will be returned to the notifier’s address (as indicated in Section 1 of Annex 1A). If the address has changed, please indicate this in the email.

  11. Templates (available here)

• guarantee calculation sheet template (format pdf - 52.3 ko - 03/03/2017)
• banking document template (format pdf - 63.9 ko - 03/03/2017)