The notifying party should complete sections 1 - 18 of the notification document (or Annex IA), with the exception of section 3 indicating the Notification N° (which is automatically generated by GISTRID for exports from France).

This document must be fully completed, as the competent authority responsible for overseeing the operation will :
– refer to it for general information regarding the case file in question ;
– use the file to indicate the official date of receipt (section 19) and approval (section 20) ;
– include this document as an attachment when issuing their approval.

Most common oversights

See Handbook 1a (format pdf - 68.2 kio - 21/04/2017) regarding sections to be completed in GISTRID.

How to complete the form?

Annex IC of Regulation 1013/2006 provides all the necessary information on how to complete notification documents. This information is summarized in the instructions given below :

Section 1

All information regarding the notifying party’s identity (name, address, etc.) must be entered here.
The registration number is the same as the party’s Siren or Siret N°.
NB : this information is pre-saved in GISTRID once a “notifier” user account is created (for exports).

Section 2

All information regarding the consignee’s identity (name, address, etc.) should be entered here.
In most cases, the consignee (Section 2) and the disposal/recovery facility (Section 10) will be the same company. However, the recipient may be another party, such as a dealer/broker or a legal person, such as the headquarters or postal address of the disposal/recovery facility to which the waste is being sent (indicated in Section 10).
NB : the consignee must be under the jurisdiction of the country of destination and have a form of legal control over the waste at the time the shipment arrives in the country of destination.

Section 3

The notification n° is indicated here.
For waste being exported from France, this number is generated automatically by the GISTRID application.

A/ “single transfer” falls under a single notification (for this option, users should indicate “1” in Section 4), while “multiple transfers” will require a general notification.

B/ indicate the type of operation by which the transferred waste will be processed (ensure that the selection is the same as that indicated in Section 11, using the “D” or “R” code).
Reminder : D = disposal / R = recovery - see list of abbreviations (format pdf - 146.5 kio - 20/04/2017)

C/ indicate whether or not the treatment facility has been pre-approved.

Sections 4 & 5

Indicate the number of movements and total quantity involved.
Indicate whether the quantity is in tonnes (in the majority of cases) or cubic metres (usually for earth).
NB : this quantity will indicate the maximum tonnage that will be authorised for transfer. It is therefore preferable to over-estimate the amount (otherwise, users may have to submit a request for a tonnage increase after approval has been granted) - see post-approval modification requests.

Section 6

In general, the time period for the movement may not exceed one year minus one day.
Example : from 15/09/17 to 14/09/18.
However, there is an exception to this rule : where the treatment facility has been pre-approved, the notification remains valid for a maximum period of three years.

Section 7

The type of packaging used should be indicated using a numbered code from 1 - 9 (users can check what each number refers to in GISTRID when completing Annex 1A, or in the list of abbreviations (format pdf - 146.5 kio - 20/04/2017) indicated on the reverse of Annex 1A).

Where special handling precautions must be taken, tick the appropriate box (additional information should then be attached to the case file as an annex).

Section 8

For each transportation agent involved, indicate : the name, address (specifying the country) and registration number where applicable. For the "contact" person responsible for overseeing the transfer, a telephone number and email address is sufficient.

Do not forget to specify the type of transport involved : R, T, S, A or W
(see the list of abbreviations (format pdf - 146.5 kio - 20/04/2017) )

If there is only one carrier involved, their details will appear here.
Otherwise, an annex will be attached to the notification document containing identifying information for all transporters covered by the notification.

See documents to be provided concerning carriers.

Section 9

Here, users should provide required information regarding the waste producer : name, address, telephone number, email address, and registration number where applicable.

If the notifying party is also the producer of the waste, enter “See section 1”.

If waste has been produced by several sources :

• the notifying party may act as a waste collector or a recycling/transport/deposit facility, and may therefore be considered as the “producer” - where this is the case, enter “See section 1” (the party’s license to collect/sort/transport/deposit waste should be attached to the file).
• otherwise, the user should enter “see attached list” and attach a list containing the required information (name, address, telephone number, email address, and registration number where applicable) for each producer.

He must also specify the procedure which produced the waste and where its production occurred.

Section 10

Enter the required information regarding the treatment facility :
– tick one of the boxes, either : “disposal facility” or “recovery facility”
– specify the registration number (where applicable) and enter all identification information
– indicate the precise location where disposal/recovery will take place

If the company overseeing the processing of the waste is also the consignee, please indicate “See Section 2” in this section.

Where the processing of waste in other countries falls under code D13, D14, D15, R12, or R13, the facility carrying out the interim operation must be indicated in Section 10, along with the location where the final operation will be carried out (“precise location where disposal/recovery will take place”).

In this case, users should attach an annex to the file containing information on the facility where interim waste processing will occur, as well as the facility where final processing will occur.

Section 11

Indicate the type of operation to be carried out (recovery or disposal) using the code R or D.
Reminder : D = disposal / R = recovery
See the list of abbreviations (format pdf - 146.5 kio - 20/04/2017)

Here you should also specify the technique to be used and the reason for the export.

Section 12

Use the name by which the materials are commonly referred to, or their commercial name, or the names of their primary components (in terms of quantity and/or level of hazard).

Where necessary, specify their relative concentrations (in percentages) if these are known.

Where the operation involves a mixture of waste types, attach an annex to the file listing the same information for the various waste types and indicate any which are intended for recovery.

NB : for certain waste items, a chemical analysis of their composition may be required : see list here.

Section 13

Indicate the physical characteristics of the waste at normal temperature and pressure. These characteristics are described by a code number from 1 to 7 : see the list of abbreviations (format pdf - 146.5 kio - 20/04/2017) .

Section 14

Enter the waste identification code in accordance with Annexes III, III A, III B, IV or IV A of Regulation 1013/2006

• i) Basel Code : 4-digit code usually prefixed by the letter A (hazardous waste) or B (non-hazardous). Please note : some waste types may not have a Basel Code (“unlisted” waste), and there can only be one Basel Code at the most.
  Exception : for mixed waste for which there is no specific section in Annexes III, III B, IV or IV A, unless mentioned in Annex III A, indicate the specific code for each type of waste in order of importance (where necessary, this information should be included in an annex).

• ii) OECD Code : enter this code only if different from the Basel Code.

• iii) EC Code : 6-figure code with or without an asterisk (with = hazardous waste).

• iv) and v) National waste identification codes enter these where applicable (if different from EC code).

• vi) "Other" : where necessary or required by relevant authorities, indicate any other code or additional information that may facilitate the identification of waste items.

• vii) Y Code(s) : provide information on the origin or composition of waste. Not mandatory for non-hazardous waste, but must be specified for hazardous waste : see “Y Code” in GISTRID.

• viii) : H / HP Codes : these specify the hazardous properties of the waste. If the waste carries :
  • H codes (example : H1 = explosive materials) : while waiting for GISTRID to be updated (as the application only includes HP codes at present), the H code should be entered manually on Annex 1A (the PNTTD will add an official stamp so the file can be sent to other authorities) ;
  • HP Codes (example : H7 = carcinogens) : this code can be ticked in GISTRID.

• ix, x, xi : UN Codes to be entered where applicable : classification, identification number and denomination.

• xii) : International Customs Codes : enter where applicable.

Section 15

a) Names of the countries of dispatch, transit (where applicable) and destination
b) Code for relevant authority in each country ("F" for France)
c) Point of entry and exit for countries involved (the local district on either side of the border, and also road numbers where possible) :

• exit point for the country of dispatch and entry point for the country of destination
• entry and exit points for the transit country

Where several transit countries are involved, an annex document will be generated by GISTRID.

Section 16

This section should only be completed for exports, imports or transit operations (for Overseas territories) outside the European Union.
This applies to Switzerland in particular.
The issue of the U.K.’s status has not yet been clarified.

Section 17

The notification document must be signed and dated here by :

• the notifier (or broker/dealer if acting as the notifier)
• the producer, if this is another company (if the persons indicated in Sections 1 and 9 are different entities).

NB : if a list of different producers has been attached to the file, the notifier may sign for them.

Please note : at least one original copy of the notification document must be submitted, so that it may be sent to the relevant authority in the destination country. There must be as many copies of Annex 1A as there are countries involved in the operation.

Section 18

Where applicable, specify the number of annexes attached to the file.

Sections 19, 20 & 21

These three sections are reserved for completion by TMW authorities.

• 19 : the TMW authority in the destination country will stamp and date the document, indicating their receipt of the file. Transit authorities will do the same, where applicable.

• 20 : where written approval has been granted*, TMW authorities in the countries involved will stamp and date this section, indicating they consent to the movement(s).

(*) TMW authorities in the country of dispatch and in the destination country must issue written approval. Only certain transit authorities may issue tacit approval.

• 21 : for France, this section indicates the presence of an attached approval document detailing the specific conditions to be respected (e.g. transfer period, active quantities, etc.)