Circular No. 12/2006/TT-BTNMT guiding conditions for practice and procedures for preparing documents, registering, and issuing permits for managing hazardous waste (HW)

CIRCULAR

Guidelines for practice conditions and procedures for filing applications and registration,

issuing permits, and managing hazardous waste codes

_________________________

The Prime Minister issues this Decision amending and supplementing certain provisions of the Regulation on Response Activities to Oil Spill Incidents issued together with Decision No. 02/2013/QĐ-TTg dated January 14, 2013 of the Prime Minister.

Pursuant to Decree No. 91/2002/NĐ-CP dated November 11, 2002 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Natural Resources and Environment;

Pursuant to Decree No. 80/2006/NĐ-CP dated August 9, 2006 of the Government detailing and guiding the implementation of certain provisions of the Law on Environmental Protection;

The Ministry of Natural Resources and Environment provides guidelines for practice conditions and procedures for filing applications and registration, issuing permits, and managing hazardous waste codes as follows:

I. GENERAL PROVISIONS

1. Scope and Applicability:

1.1. This Circular guides the conditions for practicing the transportation, treatment, and disposal of hazardous waste; procedures for filing applications and registering sources of hazardous waste generation, issuing permits for managing hazardous waste, issuing management codes for hazardous waste; responsibilities of state agencies, organizations, individuals within Vietnam, foreign organizations, and individuals (hereinafter referred to as organizations and individuals) engaged in production, business, service activities that generate hazardous waste or participate in managing hazardous waste on Vietnamese territory.

1.2. This Circular applies to solid, liquid, and sludge hazardous waste (hereinafter abbreviated as HW).

1.3. This Circular does not apply to radioactive waste; gases, exhaust fumes; treated wastewater from production, business, service facilities' wastewater systems or centralized production, business, service areas; household waste generated by households or individuals.

2. Explanation of Terms:

In this Circular, the following terms are understood as follows:

2.1. Hazardous Waste Management (hereinafter abbreviated as HWM) includes activities related to prevention, reduction, classification, collection, transportation, storage, treatment (including recycling, recovery), and disposal of HW.

2.2. Source of HW HW or source of HW is an organization or individual owning or operating a production, business, service facility generating HW.

2.3. HW Transporter or transporter is an organization or individual owning or operating a facility licensed to practice HW transportation, storage, and temporary holding.

2.4. HW Treatment and Disposal Operator or treatment and disposal operator is an organization or individual owning or operating a facility licensed to practice temporary holding, treatment (including recycling, recovery), and disposal of HW.

2.5. Permit Issuing Authority (hereinafter abbreviated as PIA) is a general term for authorities with the power to issue, extend, amend, and revoke Transportation Practice Permits and Treatment and Disposal Practice Permits according to Clause 3 Part I below.

2.6. Source Registration Book or Source Registration Book is a document issued to the source of HW, listing information about the types and quantities of registered HW and specifying the environmental protection responsibilities of the source of HW for the registered HW.

2.7. HW Management Permit is a general term for HW Management Practice Permits issued by the PIA to transporters (called HW Transportation Practice Permit) or to treatment and disposal operators (called HW Treatment and Disposal Practice Permit), detailing the scope of operation, permitted specialized equipment, types of HW managed, and environmental protection responsibilities of transporters or treatment and disposal operators.

2.8. List of HW is a list of hazardous waste issued by the Ministry of Natural Resources and Environment. HW Code is the code number assigned to each type of HW in the List of HW.

2.9. HW Management Code is the code number issued along with the Source Registration Book or HW Management Permit to facilitate the management of records and databases of sources of HW, transporters, treatment and disposal operators.

2.10. HW Certificate is an inventory form issued uniformly nationwide to provide for sources of HW. The HW Certificate is a document confirming the transfer of responsibility for HW between the source of HW and transporters, treatment and disposal operators.

2.11. Operating Area is the geographic area defined by administrative units such as provinces or centrally administered cities (hereinafter collectively referred to as provinces), within which transporters or treatment and disposal operators are permitted to provide transportation or treatment, disposal services for sources of HW within that area.

3. Competence to issue, amend the Source Registration Book for HW; issue, extend, amend, and revoke HW Management Permits:

3.1. Provincial Departments of Natural Resources and Environment issue and amend the Source Registration Book for HW for sources of HW within their province.

3.2. The Ministry of Natural Resources and Environment delegates the Environmental Protection Agency to issue, extend, amend, and revoke HW Management Permits for transporters and treatment and disposal operators with operational areas spanning two or more provinces (including transporters and treatment and disposal operators operating in one province under a HW Management Permit issued by the local PIA but wishing to expand their operational areas to other provinces).

3.3. Provincial People's Committees or Provincial Departments of Natural Resources and Environment delegated by provincial People's Committees (hereinafter collectively referred to as local PIAs) issue, extend, amend, and revoke HW Management Permits for transporters and treatment and disposal operators with operational areas within their province.

3.4. Revocation of HW Management Permits shall be carried out in accordance with the provisions of the law.

4. Calculation of time limits in this Circular:

4.1. Time limits specified in this Circular measured in months or years shall be calculated according to the Gregorian calendar month or year, including holidays as prescribed by the Labor Code.

4.2. Time limits specified in this Circular measured in days shall be calculated according to working days, excluding holidays as prescribed by the Labor Code.

II. CONDITIONS FOR PRACTICING TRANSPORTATION

AND TREATMENT, DISPOSAL OF HW

1. Conditions for Practicing HW Transportation:

Organizations and individuals registering to practice HW transportation as stipulated in Clause 2 Part III of this Circular must meet the following conditions:

1.1. Have a transportation business registration in the Business Registration Certificate.

1.2. A Commitment to Environmental Protection Agreement has been confirmed by the competent authority; or an Environmental Impact Assessment Report or an Environmental Standard Compliance Registration has been approved or confirmed by the competent authority before July 1, 2006. For facilities that were operating before July 1, 2006 without having their Environmental Impact Assessment Report approved or their Environmental Standard Compliance Registration confirmed, they must conduct surveys, measurements, and reassess environmental impacts during operations to develop appropriate procedures, plans, measures, and programs as stipulated in Point 1.6 of this Section.

1.3. Specialized equipment and vehicles for collecting, transporting, packaging, storing, and temporarily holding hazardous waste must meet the following requirements:

a) Transport vehicles have been registered for operation.

b) Transport vehicles are equipped with warning devices and emergency response systems during operation.

c) For transport vehicles carrying highly hazardous waste, a satellite positioning system (GPS) must be installed to accurately determine the vehicle's location and record its transportation route according to the requirements of the competent authority confirming the Commitment to Environmental Protection or the Competent Authority.

d) They must be designed to prevent leaks or releases of hazardous waste into the environment, ensuring that different types of hazardous waste do not mix; made from materials that do not react with hazardous waste.

đ) They must bear warning signs and preventive measures in accordance with Vietnam National Standard TCVN 6707-2000 on "Hazardous Waste - Warning Signs and Preventive Measures".

1.4. There must be systems, equipment, and technical measures to control pollution and protect the environment at the facility, particularly in areas for vehicle sanitation, vehicle parking lots, transfer zones, temporary storage areas, or sorting areas (if applicable).

1.5. There must be at least one technical staff member with a degree of at least secondary technical level in chemistry, environmental science, or equivalent to manage, operate, and provide professional and technical training; there must be a sufficient number of drivers and operators trained to ensure safe operation of vehicles and equipment.

1.6. The following procedures and plans have been established:

a) Safe operation procedures for specialized vehicles and equipment;

b) Pollution control and environmental protection plan;

c) Occupational safety and health plan for staff and drivers;

d) Emergency preparedness and response plan;

đ) Annual training plan for staff and drivers on: safe operation of specialized vehicles and equipment; environmental protection; occupational safety and health; emergency preparedness and response;

e) Plan for handling pollution and protecting the environment at the facility upon cessation of operations.

1.7. There must be a principle agreement on the transportation of hazardous waste with handlers and disposers who have a Hazardous Waste Handling and Disposal License issued by the Competent Authority in accordance with Section 3 Part I of this Circular.

2. Conditions for Engaging in Hazardous Waste Treatment and Disposal Activities:

Organizations and individuals registering to engage in hazardous waste treatment and disposal activities in accordance with Section 3 Part III of this Circular must meet the following conditions:

2.1. An Environmental Impact Assessment Report for the hazardous waste treatment and disposal project must be approved by the competent authority; or an Environmental Standard Compliance Registration must be confirmed by the competent authority before July 1, 2006. For facilities that were operating before July 1, 2006 without having their Environmental Impact Assessment Report approved or their Environmental Standard Compliance Registration confirmed, they must conduct surveys, measurements, and reassess environmental impacts during operations to develop appropriate procedures, plans, and programs as stipulated in Point 2.9 of this Section.

2.2. The hazardous waste treatment and disposal facility must comply with the conditions set forth in Article 74 of the 2005 Environmental Protection Law.

2.3. The hazardous waste landfill site (if any) must comply with the provisions of Article 75 of the 2005 Environmental Protection Law and relevant current regulations and standards.

2.4. Methods, technologies, specialized equipment for treating and disposing of hazardous waste must be suitable for the chemical, physical, and biological characteristics of each type of hazardous waste registered for treatment and disposal; equipped with warning devices and emergency response systems during operation; capable of automatically shutting down when in an unsafe operational state.

2.5. Specialized equipment and vehicles for temporary storage and internal transportation must meet the following requirements:

a) Designed to prevent leaks or releases of hazardous waste into the environment, ensuring that different types of hazardous waste do not mix; made from materials that do not react with hazardous waste.

b) Must bear warning signs and preventive measures in accordance with Vietnam National Standard TCVN 6707-2000 on "Hazardous Waste - Warning Signs and Preventive Measures".

2.6. There must be systems, equipment, and technical measures to control pollution and protect the environment.

2.7. There must be an automatic environmental monitoring system as required by the competent authority approving the Environmental Impact Assessment Report or the Competent Authority.

2.8. There must be at least two technical staff members with a degree of at least college level in chemistry, environmental science, or equivalent (in cases where the waste generator registers only for the treatment and disposal of their own hazardous waste, only one staff member is required) to manage, operate, and provide professional and technical training at the treatment and disposal facility; there must be a sufficient number of operators trained to ensure safe operation of vehicles and equipment; the team leader must have a degree of at least secondary technical level in chemistry, environmental science, or equivalent (in cases where the waste generator registers only for the treatment and disposal of their own hazardous waste, the team leader may be兼任技术翻译专家，请继续翻译剩余部分，保持专业性和准确性。不要解释或添加任何额外信息。

2.9. The following procedures, plans, and programs have been established:

a) Operating safety procedures for technology, means, and specialized equipment;

b) Pollution control and environmental protection plan;

c) Environmental monitoring program, operational monitoring, and effectiveness evaluation program for CTNH treatment and destruction;

d) Plan on labor safety and health protection for staff members;

đ) Emergency prevention and response plan;

e) Annual training plan for staff on: safe operation of technologies, means, and specialized equipment; environmental protection; occupational safety and health; prevention and response to incidents;

g) Plan for pollution control and environmental protection upon cessation of operations.

III. PROCEDURES FOR ESTABLISHING FILES, REGISTERING POLLUTION SOURCES,

OBTAINING PERMITS FOR POLLUTION CONTROL BUSINESS OPERATIONS, AND POLLUTION CONTROL BUSINESS REGISTRATION NUMBER REG_NO_CTNH

Organizations and individuals may simultaneously complete procedures for registering as pollution sources and applying for Pollution Control Business Permits if they meet the corresponding business conditions stipulated in Sections 1 and 2 of Part II of this Circular.

1. Procedures for establishing files and issuing Pollution Source Registration Books:

1.1. The pollution source entity shall prepare three (3) sets of registration files for pollution sources, including the Application Form according to Appendix 1 (A) and other documents and papers as guided in Appendix 1 (B) of this Circular to submit to the Department of Natural Resources and Environment.

1.2. Within seven (7) days from the date of receiving the file, the Department of Natural Resources and Environment must review the completeness and validity of the file and notify the pollution source entity to amend and supplement the file if it is incomplete or invalid. A complete and valid file is one that is prepared according to the prescribed model, accompanied by required documents; containing accurate, specific, and detailed information for issuing the Pollution Source Registration Book. When determining that the file is complete and valid, the Department of Natural Resources and Environment does not need to notify and automatically understands that the file has been accepted after the review period ends.

1.3. Within twelve (12) days following the end of the review period for the completeness and validity of the file, the Department of Natural Resources and Environment shall issue the Pollution Source Registration Book according to the model at Appendix 1 (C) of this Circular.

1.4. The Department of Natural Resources and Environment and the pollution source entity may use information systems or email to communicate and exchange information regarding amendments and supplements to the registration file as stipulated in Point 1.2 above, as well as related issues during the issuance of the Pollution Source Registration Book.

1.5. Upon issuance of the Pollution Source Registration Book, each pollution source entity will be assigned a Pollution Control Business Registration Number according to Appendix 6 of this Circular. The Pollution Source Registration Book attached to a complete and valid registration file will be stamped with confirmation by the Department of Natural Resources and Environment.

1.6. The Pollution Source Registration Book remains effective until it needs to be adjusted according to the provisions of Point 1.7 below or when the facility ceases operations.

1.7. The pollution source entity must submit an Application for Adjustment of the Pollution Source Registration Book according to the model at Appendix 1 (A) of this Circular and the current Pollution Source Registration Book to the Department of Natural Resources and Environment in the following cases:

a) Already having a Registration Book issued before this Circular takes effect;

b) Changes or additions in types or increases by 15% or more compared to the previously registered amount of pollutants;

c) Changes in the location of the facility but not changing the pollution source entity (owner or operator of the facility) or changes in the pollution source entity but not changing the location of the facility.

Within twelve (12) days from the date of receipt of the Application for Adjustment of the Pollution Source Registration Book, the Department of Natural Resources and Environment shall issue a new Pollution Source Registration Book (with a new appendix) and revoke the effectiveness of the old Registration Book. The registration file attached to the old Registration Book will be kept and attached to the new Registration Book after supplementing the Application for Adjustment of the Registration Book and other amended, updated documents (if any), which will be stamped with confirmation by the Department of Natural Resources and Environment.

2. Procedures for establishing files and issuing permits for pollution control business operations for transporters of pollutantsH:

2.1. Organizations and individuals applying for transportation of pollutants shall prepare three (3) sets of registration files for transportation of pollutants, including the Application Form according to Appendix 2 (A.1) and other documents and papers as guided in Appendix 2 (A.2) to submit to the competent authority according to the provisions of Section 3 of Part I of this Circular.

2.2. Within twelve (12) days from the date of receipt of the file, the competent authority must review the completeness and validity of the file and notify the organization or individual applying for business operations to amend and supplement the file if it is incomplete or invalid. Within five (5) days from the date of receipt of the amended and supplemented file, the competent authority must review its completeness and validity and request further amendments and supplements if necessary. When determining that the file is complete and valid, the competent authority does not need to notify and automatically understands that the file has been accepted after the review period ends.

2.3. Within twenty (20) days following the end of the review period for the completeness and validity of the file, the competent authority must issue the Pollution Control Business Permit for organizations and individuals applying for transportation of pollutants according to the model at Appendix 2 (A.3) of this Circular; in case of refusal, the reasons must be notified in writing. If it is found that the organization or individual applying for business operations does not meet the required business conditions stipulated in Section 1 of Part II of this Circular, the competent authority will notify in writing to require the organization or individual applying for business operations to take necessary measures to complete these conditions. The organization or individual applying for business operations shall submit a report to the competent authority after completing the required conditions. The time from when the competent authority sends the notification requesting completion of the conditions to when it receives the report from the organization or individual applying for business operations is not included in the twenty-day review period for issuing the permit.

2.4. The competent authority and the organization or individual applying for business operations may use information systems or email to communicate and exchange information regarding amendments and supplements to the registration file or completion of business conditions (as stipulated in Points 2.2 and 2.3 of this Section) as well as related issues during the permit review process.

2.5. In necessary cases, during the permit review process, the competent authority may carry out the following support activities:

a) According to the decision of the head or person in charge of the competent authority, establish an Advisory Board with the function of advising the competent authority in reviewing the business operation registration file, evaluating the conditions of organizations and individuals applying for transportation of pollutants, and some related issues to serve as the basis for issuing the permit;

b) Survey the facility and surrounding areas (survey time is not counted within the twenty-day review period for issuing the permit);

c) Organize thematic evaluation meetings;

d) Organize meetings with organizations and individuals registered for practice to directly request explanations on certain unresolved issues and to unify specific requirements for the transport subject to be added to the Permit;

đ) Solicit critical opinions from experts outside the Advisory Council, scientific and technological agencies, social and professional organizations, and non-governmental organizations related to the matter;

e) Organize meetings of the Advisory Council to unify the issuance of permits.

2.6. When granted a Hazardous Waste Transport Permit, each transport subject is assigned a Hazardous Waste Transport Permit number according to Appendix 6 of this Circular. The Hazardous Waste Transport Permit attached to a complete and valid application package is stamped and confirmed by the Competent Authority.

2.7. The validity period of the first-issued or newly-issued Hazardous Waste Transport Permit for the transport subject is three years from the date of issuance. The Hazardous Waste Transport Permit can be renewed multiple times, each renewal lasting five years. The renewal procedures follow the process from point 2.1 to 2.5 of this Section and must be initiated at least six months before the permit expires. Each renewal of the permit, the Competent Authority confirms in the Renewal Confirmation section (or issues a new permit when the Renewal Confirmation section has been fully used). The appendices of the permit are replaced with new ones if there are changes. The accompanying registration dossier is supplemented with a Hazardous Waste Transport Permit Renewal Application Form and updated documents and papers, which are stamped and confirmed by the Competent Authority.

2.8. The transport subject must register to amend the Hazardous Waste Transport Permit in the following cases:

a) Already having a permit issued prior to the effective date of this Circular;

b) Having a need to change or supplement the type, carrying capacity, design volume, quantity of specialized vehicles and equipment for transportation, packaging, storage, and temporary holding;

c) Having a need to change or supplement the types of hazardous waste registered for transportation;

d) Having a need to change or expand the operational area (only applicable in cases where the permit is issued by the Environmental Protection Agency with an operational area covering two provinces or more);

đ) Changing the transport subject (owner or operator of the facility) without changing the facility location or changing the facility location without changing the transport subject.

The amendment procedures for the permit follow the process from point 2.1 to 2.5 of this Section. When amending the permit, the Competent Authority issues a new permit (with a new appendix) bearing the same Hazardous Waste Transport Permit number, valid for five years from the date of amendment, and revokes the old permit's effectiveness. The accompanying registration dossier of the old permit is retained and supplemented with an Application for Amendment of the Hazardous Waste Transport Permit and updated documents and papers, which are stamped and confirmed by the Competent Authority.

2.9. The transport subject must establish a new Hazardous Waste Transport Permit application dossier in the following cases:

a) Simultaneously changing the transport subject and the facility location;

b) If the transport subject operates within a province under a Hazardous Waste Transport Permit issued by the local Competent Authority and requests to change or expand the operational area to another province, they must apply for a new Hazardous Waste Transport Permit with the Environmental Protection Agency.

3. Procedures for establishing the application dossier and issuing the Hazardous Waste Transport Permit for the transport and disposal of hazardous waste:

3.1. Organizations and individuals registering for the practice of hazardous waste treatment and disposal prepare three (3) sets of application dossiers for hazardous waste treatment and disposal, including the Registration Form according to Model B.1 in Appendix 2 and other documents and papers according to the guidance in Appendix 2 (B.2) to submit to the Competent Authority in accordance with the provisions of Section 3, Part I of this Circular.

3.2. Within twelve (12) days from the date of receipt of the dossier, the Competent Authority must review the completeness and validity of the dossier and notify the organization or individual to modify or supplement the dossier if it is incomplete or invalid. Within seven (7) days from the date of receipt of the modified and supplemented dossier, the Competent Authority must review its completeness and validity and request further modifications or supplements if necessary. Once the dossier is determined to be complete and valid, the Competent Authority does not need to notify and automatically understands that the dossier has been accepted upon the expiration of the review period.

3.3. After completing the review of the dossier's completeness and validity, the organization or individual registering for practice prepares a plan and registers for trial operation according to the Competent Authority's guidance. The Competent Authority collaborates with relevant agencies and the Advisory Council (if any) to monitor and evaluate the trial operation results. In case the trial operation meets environmental standards and complies with the Environmental Impact Assessment report for the hazardous waste treatment and disposal project, the Competent Authority confirms in writing within twelve (12) days from the date of receipt of the trial operation result report. This confirmation document is filed in the application dossier. In case the trial operation does not meet the requirements, adjustments, improvements, and completion of the plan are needed to conduct another trial operation. For the first permit issuance, the monitoring, evaluation, and confirmation of the trial operation mentioned above are combined with the trial operation process and the confirmation of the implementation of the contents of the Environmental Impact Assessment Report and the requirements of the Decision approving the Environmental Impact Assessment Report according to Circular No. 08/2006/TT-BTNMT dated September 8, 2006 of the Ministry of Natural Resources and Environment guiding strategic environmental assessment, environmental impact assessment, and environmental protection commitments.

3.4. In the case where the Competent Authority is the Environmental Protection Agency, the Competent Authority must seek written opinions from the Department of Natural Resources and Environment of the locality where the hazardous waste treatment and disposal facility of the organization or individual registering for practice is located.

3.5. Within thirty (30) days from the date of receipt of the confirmation document on the trial operation results or from the date of receipt of the written opinion of the Department of Natural Resources and Environment, the Competent Authority must issue the Waste Management Permit to organizations or individuals applying for waste treatment and disposal services according to the model at Appendix 2 (B.3) of this Circular. If the Competent Authority finds that the organization or individual applying for waste treatment and disposal services does not meet all the conditions for such activities as stipulated in Section 2 Part II of this Circular, it shall notify them in writing to take necessary measures to complete these conditions. The organization or individual applying for waste treatment and disposal services shall submit a report to the Competent Authority after completing the required conditions. The time period from when the Competent Authority sends the written request until receiving the report from the applicant about the completion of the conditions for such activities shall not be counted within the thirty-day period for permit issuance consideration.

3.6. The Competent Authority and organizations or individuals applying for waste treatment and disposal services may use information systems or email to notify and exchange information regarding amendments and supplements to the application dossier or completion of the conditions for such activities (as provided in Points 3.2 and 3.5 of this Section) as well as related issues during the permit issuance process.

3.7. In cases where necessary during the permit issuance process, the Competent Authority may carry out the following support activities:

a) Upon the decision of the head or person in charge of the Competent Authority, establish an Advisory Board with the function of advising the Competent Authority in reviewing the application dossier, assessing the conditions of organizations or individuals applying for waste treatment and disposal services, supervising trial operations, and other related issues as a basis for issuing permits;

b) Survey the facility and surrounding areas outside the trial operation supervision trip (the survey time shall not be counted within the thirty-day period for permit issuance consideration);

c) Organize thematic evaluation meetings;

d) Organize meetings with organizations or individuals applying for waste treatment and disposal services to directly explain some unresolved issues and agree on specific requirements for the permit holder to be added to the Waste Management Permit;

đ) Solicit critical opinions from experts outside the Advisory Council, scientific and technological agencies, social and professional organizations, and non-governmental organizations related to the matter;

e) Organize meetings of the Advisory Council to unify the issuance of permits.

3.8. When issued the Waste Management Permit, each permit holder will be assigned a unique Waste Management Permit number as prescribed in Appendix 6 of this Circular. The Waste Management Permit accompanied by a complete and valid application dossier shall be stamped by the Competent Authority.

3.9. The validity period of the first-issued or newly-issued Waste Management Permit for waste treatment and disposal service providers is three (3) years from the date of issuance. The Waste Management Permit can be renewed multiple times, with each renewal lasting five (5) years. The renewal procedure follows the same sequence as specified in Points 3.1, 3.2, 3.4, 3.5, 3.6, and 3.7 of this Section (without the need to conduct trial operations as stipulated in Point 3.3) and must be initiated at least six (6) months before the permit expires. Each renewal of the permit, the Competent Authority will confirm in the Renewal Confirmation section (or issue a new permit if the Renewal Confirmation section has been fully used). Any changes in the appendices of the permit will be replaced with new appendices. The application dossier accompanying the permit will be supplemented with the Application for Permit Renewal Form and any updated documents, which will be stamped by the Competent Authority.

3.10. The permit holder must apply for amendment of the Waste Management Permit in the following cases:

a) Already having a permit issued prior to the effective date of this Circular;

b) There is a need to change or supplement the type, technology, or increase the design capacity, quantity of specialized equipment for waste treatment and disposal and temporary storage;

c) There is a need to change or supplement the types or increase the quantity of hazardous wastes registered for treatment and disposal by more than fifteen percent (15%);

d) There is a need to expand the operational area for treatment and disposal (applicable only to permits issued by the Environmental Protection Agency for operational areas covering two or more provinces or permits issued by local Competent Authorities for self-treatment and disposal of hazardous wastes converted to permits for treating and disposing of hazardous wastes for multiple waste generators in the same province);

đ) There is a need to change the permit holder for waste treatment and disposal (owner or operator of the facility) without changing the facility location or change the facility location without changing the permit holder.

The permit amendment procedure follows the same sequence from Point 3.1 to 3.7 of this Section (without the need for trial operations as stipulated in Point 3.3 in cases of expanding the operational area as provided in Subpoint d or changing the permit holder without changing the facility location as provided in Subpoint đ of this point). When amending the permit, the Competent Authority will issue a new permit (with a new appendix) having the same Waste Management Permit number with a validity period of five (5) years from the date of amendment and revoke the old permit's effectiveness. The application dossier accompanying the old permit will be retained and supplemented with the Application for Permit Amendment Form and any updated documents, which will be stamped by the Competent Authority.

3.11. The permit holder must prepare a new permit application dossier in the following cases:

a) Simultaneously changing the permit holder and the facility location;

b) A permit holder operating within a province under a permit issued by a local Competent Authority (including permits for self-treatment and disposal of hazardous wastes) who wishes to expand their operational area to another province must apply for a new permit with the Environmental Protection Agency.

IV. DUTIES AND RESPONSIBILITIES OF WASTE GENERATORS,

 TRANSPORTERS, TREATMENT AND DISPOSAL PROVIDERS Organizations or individuals may simultaneously hold the Register of Waste Generators, Transporter Permit, and/or Treatment and Disposal Permit, and must fulfill corresponding responsibilities as prescribed in this Part. Additional responsibilities for waste generators or specific requirements for transporters and treatment and disposal providers may be recorded in the Register of Waste Generators or Treatment and Disposal Permit as prescribed by the Department of Natural Resources and Environment or the Competent Authority if necessary.

1. Responsibilities of Hazardous Waste Generators

1.1. Register as a hazardous waste generator with the Department of Natural Resources and Environment.:

1.1. Register the CTNH generating source with the Department of Natural Resources and Environment.

1.2. Implement accurately all contents of the Environmental Impact Assessment Report that has been approved or the Environmental Protection Commitment or the Environmental Standard Achievement Registration that has been confirmed (if any).

1.3. Apply measures to prevent and minimize the generation of hazardous waste; be responsible for hazardous waste until they are safely treated and disposed through selecting qualified transporters, treaters, disposers and monitoring the transfer and treatment, disposal of hazardous waste with the assistance of Hazardous Waste Documents.

1.4. Classify hazardous waste, not to mix different types of hazardous waste with each other or with other waste; arrange temporary storage locations for hazardous waste safely; package and store hazardous waste according to their types in specialized containers, tanks, packaging that meet safety and technical requirements, ensuring no leakage, spillage, or dispersion into the environment, with labels including the following information:

a) Name of hazardous waste, hazardous waste code according to the Hazardous Waste List;

b) Name and address of the waste generator;

c) Description of risks that the waste may cause;

d) Warning and preventive signs according to Vietnam National Standard TCVN 6707-2000 on "Hazardous Waste - Warning and Preventive Signs";

đ) Date of packaging and storage commencement.

Hazardous waste must be promptly transferred for treatment and disposal. In cases where temporary storage of hazardous waste exceeds six months due to the lack of safe treatment and disposal technology or suitable treaters, disposers have not yet been found,, registration with the Department of Natural Resources and Environment and periodic reporting every six months to this authority is required.

1.5. Assign at least one full-time or part-time staff member who has been trained in hazardous waste management to handle the classification, management of hazardous waste, prevention, and emergency response at the facility. If lacking the capability to classify and manage hazardous waste, then contracting with environmental consulting units for appropriate technical support is necessary.

1.6. Develop and implement plans or measures to prevent and respond to emergencies caused by hazardous waste, including: preventive and emergency response procedures for potential incidents (fires, explosions, leaks, spills, labor accidents, traffic accidents...); evacuation diagrams; procedures for notifying and requesting assistance when incidents occur (addresses, phone numbers, notification sequence to relevant authorities such as environmental protection, police, fire fighting, health...); first aid plans and locations; scenarios and plans for evacuating people within the facility and surrounding areas; pollution control measures after the incident ends; other related issues.

1.7. If the waste generator intends to operate in transporting and/or treating and disposing of hazardous waste, they must meet the conditions for operating in transporting and/or treating and disposing of hazardous waste as stipulated in Sections 1 and 2 of Part II, complete the registration procedures to obtain the Hazardous Waste Management Business License as stipulated in Sections 2 and 3 of Part III, and subsequently fulfill the responsibilities as stipulated in Sections 2 and 3 of Part IV of this Circular.

1.8. When lacking the ability to self-transport and treat and dispose of their own hazardous waste, they must enter into contracts with transporters and treaters, disposers of hazardous waste who have been issued Hazardous Waste Management Licenses with appropriate operational areas.

1.9. Use Hazardous Waste Documents provided by the Department of Natural Resources and Environment to issue to transporters and treaters, disposers each time hazardous waste is transferred. The waste generator must coordinate with transporters and treaters, disposers to fully declare on the Hazardous Waste Document according to the content of the transportation, treatment, and disposal contracts signed and the regulations in the Hazardous Waste Management Licenses of transporters and treaters, disposers.

1.10. Only transfer the quantity and type of hazardous waste as specified in the Waste Generator Registration Book, transportation contracts, treatment, and disposal contracts, and declared Hazardous Waste Documents.

1.11. Accurately follow the procedure for issuing Hazardous Waste Documents (consisting of six copies) as guided in Appendix 3 of this Circular. The waste generator is responsible for requesting and reminding to ensure receiving the last two copies of the Hazardous Waste Document, as well as checking the confirmation section of transporters and treaters, disposers after the completion of hazardous waste transfer, then transferring copy 6 to the Department of Natural Resources and Environment within fifteen days from receipt. If the waste generator is simultaneously the transporter and/or treater, disposer for certain types of hazardous waste, the waste generator will self-sign and retain the corresponding copies of the Hazardous Waste Document.

Within sixty days from the date of transferring hazardous waste to the transporter, if not receiving copies 5 and 6 of the Hazardous Waste Document from the treater, disposer, there is a responsibility to report to the Department of Natural Resources and Environment to take tracking and handling measures.

1.12. When exporting hazardous waste for treatment and disposal abroad, the waste generator also has the following responsibilities:

a) Coordinate with cross-border transporters and treaters, disposers (abroad) to comply with the provisions of the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal (hereinafter referred to as the Basel Convention) in registering the export of hazardous waste for treatment and disposal abroad by sending full information about the planned export shipment to the Environmental Protection Agency as guided in Appendix 5 (A) of this Circular;

b) Only permitted to export hazardous waste upon written approval from the Environmental Protection Agency and subject to inspection and supervision by relevant agencies in accordance with Vietnamese law;

c) Require cross-border transporters to establish a cross-border transportation file containing all necessary information as guided in Appendix 5 (B) of this Circular;

d) Bear full responsibility if cross-border transportation of hazardous waste occurs without written approval from the Environmental Protection Agency.

1.13. Periodically once every six months, prepare a report on the generation and management of hazardous waste and submit it to the Department of Natural Resources and Environment according to the model in Appendix 4 (A) of this Circular.

1.14. Be subject to inspection and examination by central or local state agencies responsible for environmental protection.

1.15. Store for a period of five (5) years all Waste Transport Documents (Part 1 and Part 5) that have been used, related files, and documents to be ready to explain and provide to competent authorities upon request.

1.16. Upon ceasing operations, must notify in writing and return the Register of Waste Source Owners to the Department of Natural Resources and Environment.

2. Responsibilities of Waste Transporters:

2.1. Only permitted to commence operations after obtaining a Waste Management Permit from the Competent Authority.

2.2. After obtaining the permit, notify the contents of the Waste Management Permit to the People's Committee of the district and commune where the transport facility is located.

2.3. Implement the contents of the Environmental Protection Commitment Form confirmed or equivalent documents as stipulated in Point 1.2, Section 1, Part II of this Circular.

2.4. Properly follow the declaration procedures and use of Waste Transport Documents as guided in Appendix 3 of this Circular. If the transporter is simultaneously the waste source owner and/or the waste treatment and disposal entity for certain types of waste, the transporter shall self-sign and retain the corresponding parts of the Waste Transport Document.

2.5. Only collect and transport the quantity and type of waste from the waste source owner or primary transporter (in case of being a secondary transporter) and transfer to the secondary transporter (in case of being a primary transporter) or the treatment and disposal entity according to the agreed content declared on the Waste Transport Document using specialized means and equipment within the operational area specified in the Waste Management Permit. Only allow maximum transfer between two transporters, strictly prohibiting transfer to a third transporter. Any transportation of waste not complying with the provisions in the Waste Management Permit or without a Waste Management Permit, inconsistent with the Waste Transport Document or without a Waste Transport Document will be considered illegal transportation of waste and subject to legal penalties.

2.6. Transport waste along the optimal route, distance, and time, ensuring traffic safety and preventing and responding to incidents, in accordance with the regulations of competent authorities regarding traffic flow.

2.7. If the transporter is simultaneously the waste source owner and/or has a need to operate in waste treatment and disposal, they must meet the conditions for operating in waste treatment and disposal as stipulated in Section 2, Part II, complete registration as a waste source owner and/or obtain a Waste Treatment and Disposal Permit according to the relevant provisions in Sections 1 and 3, Part III, and then implement responsibilities as stipulated in Sections 1 and 3, Part IV of this Circular.

2.8. When transporting waste abroad for treatment and disposal, the transporter also has the following responsibilities:

a) Coordinate with the waste source owner and the treatment and disposal entity (abroad) to comply with the Basel Convention, assist the waste source owner in registering for export of waste for treatment and disposal abroad as guided in Appendix 5(A) of this Circular;

b) Only permitted to export hazardous waste upon written approval from the Environmental Protection Agency and subject to inspection and supervision by relevant agencies in accordance with Vietnamese law;

c) Prepare a cross-border transport file containing all necessary information as guided in Appendix 5(B) of this Circular; after receiving confirmation of receipt of waste from the treatment and disposal entity (abroad), submit two copies of the transport file to the waste source owner or the exporter representing the waste source owner and the Environmental Protection Agency;

d) Be jointly liable and subject to legal penalties if they transport waste illegally across borders without written consent from the Environmental Protection Agency.

2.9. In cases of hiring sea or rail transport (including cross-border transport), coordinate with the transport provider to develop packaging and storage plans suitable for safe transport, to be submitted for approval by the Competent Authority (for cross-border transport, submit to the Environmental Protection Agency).

2.10. Annually prepare a report on the operation of waste management activities and submit it to the Competent Authority according to the form in Appendix 4(B) of this Circular.

2.11. Subject to inspection and supervision by central or local state agencies responsible for environmental protection.

2.12. Store for a period of five (5) years all Waste Transport Documents (Part 2 and/or Part 3) that have been used, related files, and documents to be ready to explain and provide to competent authorities upon request.

2.13. Annually organize training for staff and drivers according to the training plan established when registering for operations.

2.14. Implement pollution control and environmental protection plans; occupational safety and health plans; prevention and response to incident plans (established when registering for operations).

2.15. Upon ceasing operations, must notify in writing and return the Waste Management Permit to the Competent Authority, while ensuring implementation of the environmental pollution control and protection plan at the end of operations (established when registering for operations).

3. Responsibilities of Waste Treatment and Disposal Entities:

3.1. Only permitted to commence operations after obtaining a Waste Management Permit from the Competent Authority.

3.2. After obtaining the permit, must notify the contents of the Waste Management Permit to the People's Committee of the district and commune where the treatment and disposal facility is located.

3.3. Properly implement the contents of the approved Environmental Impact Assessment Report or equivalent documents as stipulated in Point 2.1, Section 2, Part II of this Circular.

3.4. Properly follow the declaration procedures and use of Waste Transport Documents as guided in Appendix 3 of this Circular. If the treatment and disposal entity is simultaneously the waste source owner and/or the transporter for certain types of waste, the treatment and disposal entity shall self-sign and retain the corresponding parts of the Waste Transport Document.

3.5. Only permitted to enter into contracts for waste treatment and disposal with waste source owners within the operational area specified in the Waste Management Permit. Only accept to treat and dispose of the quantity and type of waste using permitted technologies, means, and equipment according to the signed contract, the agreed Waste Transport Document, and the provisions in the issued Waste Management Permit. Any treatment and disposal of waste not complying with the provisions in the Waste Management Permit or without a Waste Management Permit, inconsistent with the Waste Transport Document will be considered illegal and subject to legal penalties.

3.6. If the processor and destroyer is also the source subject and/or has a need to operate a transport business, they must meet the conditions for operating a transport business as stipulated in Section 1 Part II, complete the registration procedures for the source subject and/or the Transport Business License for Hazardous Wastes (CTNH) according to the corresponding provisions in Sections 1 and 2 Part III, and subsequently fulfill their responsibilities as stipulated in Sections 1 and 2 Part IV of this Circular.

3.7. If the processor and destroyer lacks the ability to completely process and destroy CTNH (after processing and destruction, there remain components that require management), they shall be responsible for:

a) Signing a contract with a second processor and destroyer to carry out the processing and destruction of the remaining CTNH until it reaches a non-hazardous level (based on the hazardous threshold specified in the List of CTNH and current standards) as well as any other waste generated from their own processing and destruction activities. In such cases, the first processor and destroyer will be considered a source subject for the transferred CTNH and must complete the registration for CTNH source subjects as stipulated in Section 1 Part III and fulfill their responsibilities as stipulated in Section 1 Part IV of this Circular. The transfer of secondary CTNH will be carried out through a set of contracts and new CTNH certificates.

b) Transferring the processed and destroyed waste to a non-hazardous waste treatment unit when it reaches a non-hazardous level (based on the hazardous threshold specified in the List of CTNH and current standards). In such cases, the processor and destroyer will not be considered a source subject for these wastes.

3.8. Implementing environmental monitoring programs, operational monitoring, and evaluating the effectiveness of CTNH processing and destruction (either independently or by contracting with environmental consulting units); preparing reports on the operation of CTNH management every six months and submitting them to the competent authority according to the model at Appendix 4 (C) of this Circular.

3.9. Being subject to inspection and supervision by central or local state agencies responsible for environmental protection.

3.10. Retaining all CTNH certificates (copy 4) used, related files, and documents for five years to be ready for explanation and provision to authorized authorities upon request.

3.11. Organizing annual training for staff and employees in accordance with the established training plan (developed when registering for the business).

3.12. Implementing pollution control plans and environmental protection plans; occupational safety and health plans; and emergency prevention and response plans (established when registering for the business).

3.13. Notifying in writing and returning the CTNH Management License to the competent authority when ceasing operations; completing the processing and destruction of any remaining CTNH while ensuring the implementation of pollution control and environmental protection plans when ceasing operations (established when registering for the business).

V. IMPLEMENTATION

1. The Environmental Protection Agency is responsible for:

1.1. Issuing, renewing, amending, and revoking CTNH Management Licenses within its jurisdiction as stipulated in Point 3.2 Section 3 Part I of this Circular. After issuing, renewing, amending, or revoking a license, it must notify the People's Committee of the province where the transporter or processor and destroyer's facility is located.

1.2. Establishing and implementing a "one-stop" mechanism to handle matters for organizations and individuals applying for CTNH management businesses within its jurisdiction, from receiving requests and files to returning results through a single point of contact known as the "reception and result issuance department." Enhancing information notification and exchange with organizations and individuals applying for CTNH management businesses through the information system or email during file receipt, review, and licensing processes to shorten time and reduce paperwork.

1.3. Cooperating with Provincial Departments of Natural Resources and Environment to inspect environmental protection and CTNH management work of transporters and processors and destroyers who have been issued CTNH Management Licenses.

1.4. Organizing propaganda, training, and raising awareness about CTNH management and the provisions of this Circular nationwide.

1.5. Annually coordinating with Provincial Departments of Natural Resources and Environment to conduct statistics on the total amount of CTNH generated by registered source subjects and assess the situation of CTNH management nationwide to report to the Minister of Natural Resources and Environment.

1.6. Fulfilling the role of the national authority under the Basel Convention in Vietnam to handle CTNH export procedures in accordance with the Basel Convention regulations.

1.7. Building a national information system and database on CTNH; organizing and guiding the implementation of online registration of files, declaration of CTNH certificates, and reporting on CTNH management.

2. The People's Committee of the province or the Provincial Department of Natural Resources and Environment authorized by the People's Committee of the province is responsible for:

2.1. Issuing, renewing, amending, and revoking CTNH Management Licenses within its jurisdiction as stipulated in Point 3.3 Section 3 Part I of this Circular.

2.2. Urging transporters and processors and destroyers who had licenses issued before this Circular took effect to complete adjustment or new issuance procedures according to the corresponding provisions in Points 2.8 and 2.9 Section 2 or Points 3.10 and 3.11 Section 3 Part III of this Circular.

2.3. Implementing the "one-stop" mechanism as prescribed in Decision No. 181/2003/QĐ-TTg dated September 4, 2003, issued by the Prime Minister on the Implementation Regulations of the "One-Stop" Mechanism at administrative agencies at the local level. Enhancing information notification and exchange with organizations and individuals applying for CTNH management businesses through the information system or email during file receipt, review, and licensing processes to shorten time and reduce paperwork.

2.4. Notifying the Environmental Protection Agency and the People's Committee of the district where the transporter or processor and destroyer's facility is located after issuing, renewing, amending, or revoking a CTNH Management License.

3. Provincial Departments of Natural Resources and Environment are responsible for:

3.1. Issue and adjust the Hazardous Waste Emission Source Registration Book according to the authority prescribed in Point 3.1, Section 3, Part I of this Circular. Urge the hazardous waste emission sources that have been issued the Registration Book before the effective date of this Circular to complete the adjustment procedures as stipulated in Point 1.7, Section 1, Part III of this Circular.

3.2. Implement the "one-stop" mechanism as provided for in Decision No. 181/2003/QĐ-TTg dated September 4, 2003, promulgating the Regulations on the Implementation of the "One-Stop" Mechanism at local administrative agencies by the Prime Minister. Enhance the notification and exchange of information with organizations and individuals registering as hazardous waste emission sources through the information system or email during the process of receiving, examining files, issuing the Registration Book for hazardous waste emission sources to shorten time and reduce paperwork.

3.3. Organize inspections of environmental protection work and hazardous waste management of emission sources, transporters, processors, and disposers of hazardous waste within their jurisdiction. Identify and handle organizations and individuals generating hazardous waste or participating in transportation, processing, and disposal activities without registration as emission sources or without a hazardous waste management permit.

3.4. Promote training and raise awareness about hazardous waste management and the provisions of this Circular in their locality.

3.5. Annually conduct statistics on the total amount of hazardous waste generated by registered emission sources and assess the situation of hazardous waste management within their jurisdiction to report to the Provincial People's Committee and the Ministry of Natural Resources and Environment according to Form 4(D) of this Circular.

3.6. Coordinate in building information systems and databases on hazardous waste; implement online registration of emission sources, declaration of hazardous waste certificates, and reporting of hazardous waste management in their locality.

4. Specialized inspection for environmental protection shall perform the function of inspecting hazardous waste management.

5. Types of permits for collection, transportation, storage, treatment, and disposal of hazardous waste equivalent to the hazardous waste management permits issued before the effective date of this Circular shall only be valid until June 30, 2007. Permits expiring between July 1, 2006, and June 30, 2007, shall be extended until June 30, 2007. Organizations and individuals holding such permits must complete the procedures for adjusting registration or applying for new hazardous waste management permits according to this Circular to avoid disruption of operations.

6. During the implementation of this Circular, if difficulties or obstacles arise, relevant ministries, sectors, localities, organizations, and individuals shall promptly reflect them to the Ministry of Natural Resources and Environment for research and supplementation to ensure appropriateness.

7. This Circular takes effect fifteen days from the date of publication in the Official Gazette./.