Circular No. 36/2015/TT-BTNMT on Hazardous Waste Management

CIRCULAR

On the management of hazardous wastei

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Pursuant to the Environmental Protection Law on June 23, 2014;

Pursuant to Decree No. 19/2015/NĐ-CP dated February 14, 2015 of the Government detailing and guiding the implementation of certain provisions of the Environmental Protection Law;

Pursuant to Decree No. 38/2015/NĐ-CP dated April 24, 2015 of the Government on waste management;

Pursuant to Decree No. 21/2013/NĐ-CP dated March 4, 2013, promulgated by the Government, stipulating the functions, tasks, powers, and organizational structure of the Ministry of Natural Resources and Environment;

At the proposal of the General Director of the Environment Administration and the Head of the Legal Department,

The Minister of Natural Resources and Environment issues this Circular on the management of hazardous waste.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular provides detailed regulations for Clause 3, Article 90, Clause 6, Article 141 of the Environmental Protection Law; Clause 3, Article 8, Clause 11, Article 9, Clause 7, Article 10, Clause 5, Article 11, Clause 1, Article 13, Clause 6, Article 49, Clause 1, Article 65 of Decree No. 38/2015/NĐ-CP dated April 24, 2015 of the Government on the management of waste and scrap materials (hereinafter referred to as Decree No. 38/2015/NĐ-CP).

Article 2. Applicability

This Circular applies to state administrative agencies; organizations and individuals within the country or foreign organizations and individuals (hereinafter referred to as organizations and individuals) engaged in activities related to hazardous waste (hereinafter referred to as hazardous waste or HW).

Article 3. Units of measurement for quantities of hazardous waste

Quantities of hazardous waste in files, permits, reports, certificates, and other documents specified in this Circular shall uniformly use kilograms (kg) as the unit of measurement.

Article 4. Provisions on verification of files, documents and commission ON

1. Copies of documents in files, plans, and reports stipulated in this Circular do not need to be certified but must be stamped with a cross-stamp or seal on each page of the copy by the organization or individual, who shall bear responsibility for the authenticity of the copy before submitting it to the competent authority.

2. Files, plans, certificates, and reports established by organizations and individuals according to the provisions of this Circular must be stamped with a cross-stamp or seal on each page to verify their authenticity before submission to the competent authority.

3. Delegation to sign, stamp files, contracts, certificates, plans, and reports established according to the provisions of this Circular shall be carried out as follows:

a) The source generator of hazardous waste may only delegate to facilities generating hazardous waste listed in the Hazardous Waste Source Register;

b) The hazardous waste treatment operator may only delegate to facilities treating hazardous waste listed in the Hazardous Waste Treatment Permit issued according to the provisions of this Circular;

c) The hazardous waste management practitioner may only delegate to facilities treating and transporting hazardous waste listed in the Hazardous Waste Management Permit issued according to the provisions in effect prior to the implementation of this Circular;

d) The hazardous waste transporter or the hazardous waste treatment and disposal operator may only delegate to facilities listed in the Hazardous Waste Transportation Permit or the Hazardous Waste Treatment and Disposal Permit issued according to the provisions in effect prior to the implementation of this Circular.

Chapter II

LIST OF HAZARDOUS WASTE AND TECHNICAL REQUIREMENTS,

PROCEDURES FOR MANAGING HAZARDOUS WASTE

Article 5. List of hazardous waste, hazardous waste code, hazardous waste management code

1. The list of hazardous waste and hazardous waste code (code for each type of hazardous waste) is specified in Appendix 1 attached to this Circular.

2. The hazardous waste management code is the code of the Hazardous Waste Source Register, Hazardous Waste Treatment Permit, or Hazardous Waste Management Permit (a general term for Hazardous Waste Management Practice Permit, Hazardous Waste Transportation Practice Permit, Hazardous Waste Treatment and Disposal Practice Permit issued according to the provisions in effect prior to the implementation of this Circular).

Article 6. Classification and Categorization of Hazardous Waste

1. The categorization of hazardous waste shall be carried out according to the provisions set forth in Appendix 1 attached hereto and the Environmental Technical Standards (hereinafter referred to as ETS) on the threshold of hazardous waste.

2. Hazardous waste must be categorized by the waste source owner starting from the following points:

a) When placed in the storage area for hazardous waste at the place where the waste is generated;

b) When transferring hazardous waste for external treatment without placing it in the storage area for hazardous waste at the place where the waste is generated.

3. In cases where hazardous waste is reused, pre-treated, recycled, treated, co-processed, or energy recovered at the facility after generation, based on existing technology and techniques, the waste source owner may choose to categorize or not categorize the waste.

Article 7. Technical Requirements and Management Procedures for Waste Source Owners

1. Waste source owners shall fulfill their responsibilities as prescribed in Article 7 of Decree No. 38/2015/NĐ-CP with technical requirements and management procedures stipulated from Clause 2 to Clause 9 of this Article.

2. Arrange storage areas for hazardous waste; store hazardous waste in packaging or storage equipment that meets technical requirements and management procedures as prescribed in Appendix 2 (A) attached hereto.

3. Requirements when transferring hazardous waste:

a) Only enter into contracts for the transfer of hazardous waste with organizations or individuals holding a Hazardous Waste Treatment Permit or a Hazardous Waste Management Permit as appropriate;

b) When there is a need to export hazardous waste for treatment abroad, the waste source owner must comply with the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal (hereinafter referred to as the Basel Convention) as prescribed in Article 23 of this Circular.

4. Use hazardous waste certificates each time hazardous waste is transferred according to the provisions set forth in Appendix 3 attached hereto, except for the following cases:

a) Self-reuse, pre-treatment, recycling, treatment, co-processing, or energy recovery from hazardous waste within the premises of the facility;

b) Cases prescribed in Clause 4, Article 24 of this Circular.

5. Within six months from the date of transferring hazardous waste, if the last two copies of the hazardous waste certificate are not received from the organization or individual receiving the waste without a reasonable written explanation, the waste source owner shall report to the Department of Natural Resources and Environment or the General Department of Environment for inspection and handling in accordance with the law.

6. Prepare and submit reports:

a) Annual hazardous waste management report (reporting period from January 1 to December 31) according to the model prescribed in Appendix 4 (A) attached hereto and submit to the Department of Natural Resources and Environment before January 31 of the following year. In cases prescribed in Point a, Clause 3, Article 12 of this Circular, the waste source owner shall only report once within one month from the date of cessation of operations;

b) Ad hoc reports upon request of competent state agencies.

7. Retain all copies of hazardous waste certificates used, hazardous waste management reports, and related files and documents for five years to provide to competent authorities upon request.

8. Simultaneously apply the declaration of hazardous waste certificates and hazardous waste management reports online on the information system of the General Department of Environment or through email upon written request of the competent authority.

9. In cases of self-reuse, pre-treatment, recycling, treatment, co-processing, or energy recovery from hazardous waste, they must meet the technical requirements and management procedures prescribed in Appendix 2 (A) attached hereto and register in the Waste Source Owner Registration Book.

Article 8. Technical requirements and management procedures related to conditions for granting permits to handle hazardous waste

1. Means of transport, equipment for storing, transporting, and handling hazardous waste (including preliminary processing, recycling, co-processing, energy recovery from hazardous waste) must meet technical requirements and management procedures specified in Appendix 2 (B) issued together with this Circular.

2. Hazardous waste transport means must have a satellite positioning system (GPS) connected to an online information network to determine location and record the transportation route of hazardous waste.

3. A means of transport or equipment may only be registered for one Hazardous Waste Handling Permit, except for sea, rail, and air transport vehicles.

4. Environmental protection facilities at hazardous waste treatment sites and transfer stations (if any) must meet technical requirements and management procedures specified in Appendix 2 (B) issued together with this Circular.

5. Organizations and individuals applying for a Hazardous Waste Handling Permit must establish complete contents regarding safe operation procedures for systems, means of transport, and equipment; plans for pollution control and environmental protection, occupational safety and health protection, prevention and response to incidents, regular annual training, pollution treatment and environmental protection upon cessation of operations; environmental monitoring programs, operational monitoring and evaluation of hazardous waste treatment effectiveness according to corresponding provisions in Appendix 5 (B) issued together with this Circular.

6. Organizations and individuals applying for a Hazardous Waste Handling Permit must prepare simplified or diagrammatic guidance charts on safe operation procedures as stipulated in Clause 5 of this Article, with appropriate sizes and install them in convenient locations for observation on transport vehicles, within treatment facilities, and at transfer stations (if any).

Article 9. Technical requirements and management procedures for hazardous waste handlers

1. Hazardous waste handlers shall fulfill responsibilities as prescribed in Article 12 of Decree No. 38/2015/NĐ-CP with technical requirements and management procedures specified from Clause 2 to Clause 13 of this Article.

2. Implement management measures and bear full responsibility for the activities of non-owner transport vehicles during hazardous waste transportation; report to the General Department of Environment on changes in content, extension, or termination of contracts for non-owner transport vehicles within 15 (fifteen) working days from the date of implementation of such changes, extensions, or terminations.

3. When participating in domestic transportation of cross-border hazardous waste, they must cooperate with the waste-generating entity or the exporter representing the waste-generating entity to comply with the Basel Convention regulations as stipulated in Article 22 of this Circular.

4. If there is a need to use transport means that meet the technical requirements and management procedures specified in Appendix 2 (B) issued together with this Circular but not recorded in the Hazardous Waste Handling Permit, they must submit a written report to the issuing authority for consideration and approval. Within 15 (fifteen) working days, the General Department of Environment has the responsibility to reply in writing; if disapproved, the reasons must be clearly stated.

5. Prepare the following reports:

a) Annual hazardous waste management report (reporting period from January 1 to December 31) according to the model specified in Appendix 4 (B) issued together with this Circular within one month from the end of the reporting period;

b) Ad hoc reports as required by competent state authorities;

c) Report to the issuing authority about changes in physical infrastructure, technical aspects, personnel (legal representative and other subjects as specified in Point a, Clause 5, Article 9 of Decree No. 38/2015/NĐ-CP) or programs and plans in the application dossier accompanying the Hazardous Waste Handling Permit compared to when the permit was granted.

6. Establish: hazardous waste handover logs to track names, quantities, hazardous waste codes, times, units transferring or receiving hazardous waste with their own hazardous waste treatment facility, ensuring consistency with hazardous waste documents; operation logs for systems, means of transport, and equipment for hazardous waste treatment; logs tracking quantities, quality, consumption sources of recycled or recovered products from hazardous waste; online tracking files of transport vehicle routes via GPS (global positioning system) and provide access to the issuing authority; automatic continuous monitoring databases (if available).

7. In cases where the hazardous waste handler is simultaneously the handler of household solid waste or general industrial solid waste, the implementation of reports, dossiers, and documents related to solid waste management is integrated into the content of hazardous waste management reports, dossiers, documents, and logs.

8. When two organizations or individuals wish to collaborate, with one party solely responsible for transporting hazardous waste and transferring treatment responsibility to the other party (including operating trial hazardous waste treatment facilities), the transferring or receiving party must submit a written request along with the contract to the issuing authority for consideration and approval before implementation. In case of contract termination, change, supplementation, or extension, a written submission to the issuing authority for review is required. The issuing authority's response deadline in writing is 15 (fifteen) working days. The transfer can only be carried out between the two parties according to the approved contract, and third-party transfers are not permitted.

9. Apply electronic declaration of hazardous waste documents and online hazardous waste management reports through the General Department of Environment's information system or via email upon written request by the General Department of Environment.

10. Retain all used hazardous waste documents, hazardous waste management reports, and related dossiers and documents for a period of 05 (five) years.

11. In cases where the person managing, operating, or providing professional and technical guidance at the hazardous waste treatment facility changes as stipulated in Point a, Clause 5, Article 9 of Decree No. 38/2015/NĐ-CP, the replacement person must have a hazardous waste management certificate within six months from the date of replacing the manager or operator.

12. Transport hazardous waste to the treatment facility for treatment using authorized systems and equipment after receiving it from the waste-generating entity, except in cases of transferring to another hazardous waste treatment facility as specified in Clause 3 and Clause 8 of this Article.

13. Ensure that the systems, means, and equipment for transporting and processing hazardous waste (including preliminary processing, recycling, co-processing, and energy recovery from hazardous waste) which have been licensed, and environmental protection works at treatment facilities and transfer stations (if any) comply with technical requirements and management procedures stipulated in Appendix 2 (B) issued together with this Circular during operation.

Article 10. Responsibilities of the General Department of Environment

1. Manage and inspect conditions, activities, and related files, contracts, reports, and certificates of organizations and individuals holding Hazardous Waste Treatment Licenses or Hazardous Waste Management Licenses issued by the Ministry of Natural Resources and Environment.

2. Send copies of Hazardous Waste Treatment Licenses or Decisions to revoke such licenses issued by the Ministry of Natural Resources and Environment to the People's Committees of provinces and centrally governed cities (hereinafter referred to as Provincial People's Committees), Departments of Natural Resources and Environment where the licensed treatment facilities are located, and publicly disclose information on the electronic information portal managed by the General Department of Environment.

3. Organize the construction and operation of a national information system and database on hazardous waste; organize and guide the implementation of registration of waste-generating entities, declaration of hazardous waste certificates, and online hazardous waste management reports; organize the enhanced use of information systems or emails for notification, guidance, and communication with organizations and individuals during the issuance of Hazardous Waste Treatment Licenses.

Article 11. Responsibilities of the Departments of Natural Resources and Environment

1. Fulfill responsibilities as prescribed in Clause 1 and Clause 2, Article 14 of Decree No. 38/2015/NĐ-CP.

2. Manage activities and related files, contracts, reports, and certificates of organizations and individuals holding Hazardous Waste Management Licenses issued by the province.

3. Publicly disclose information about the Register of Waste-Generating Entities for hazardous waste issued by themselves on the electronic information portal (if available).

4. Prepare the following reports:

a) Regular hazardous waste management report according to the model prescribed in Appendix 4 (C) issued together with this Circular (reporting period from January 1 to December 31 each year) within three months from the end date of the corresponding reporting period, including contents on the implementation of hazardous waste collection, transportation, and treatment according to plans approved by the Provincial People's Committee in accordance with Articles 23 and 24 of this Circular (if applicable);

b) Ad hoc hazardous waste management report upon request of the Ministry of Natural Resources and Environment.

5. Provide written responses to requests for opinions on issuing hazardous waste treatment licenses as prescribed in Clause 5, Article 17, Point b, Clause 3, Article 18, and Clause 3, Article 19 of this Circular.

Chapter III

REGISTRATION OF WASTE-GENERATING ENTITIES FOR HAZARDOUS WASTE; PROCEDURES FOR ISSUANCE, RENEWAL,

AMENDMENT OF LICENSES TREATMENT OF HAZARDOUS WASTE

Section 1

REGISTRATION OF WASTE-GENERATING ENTITIES FOR HAZARDOUS WASTE

Article 12. Subjects for Registration of Waste-Generating Entities for Hazardous Waste

1. Production, business, and service establishments generating hazardous waste must register as waste-generating entities for hazardous waste with the Department of Natural Resources and Environment where the establishment generates hazardous waste.

2. Principles for determining waste-generating entities for hazardous waste:

a) The determination of waste-generating entities for hazardous waste for registration and management of hazardous waste must be based on the location where the hazardous waste is generated;

b) Production, business, and service establishments generating hazardous waste outside their premises must have a written agreement with the organization or individual managing the location of generation regarding the choice between these two subjects for registration as waste-generating entities for hazardous waste, except in cases of accidents or force majeure;

c) A waste-generating entity for hazardous waste may be registered jointly for multiple establishments generating hazardous waste owned or operated by them within the same province, or a single point of contact may be selected to represent joint registration for establishments generating hazardous waste along a linear stretch within the same province.

3. Subjects not required to submit applications for registration to obtain a Register of Waste-Generating Entities for Hazardous Waste but only need to register through regular hazardous waste management reports:

a) Establishments generating hazardous waste operating for no more than one year;

b) Establishments generating hazardous waste regularly or annually with a total amount not exceeding six hundred kilograms per year, except for hazardous waste listed under the Stockholm Convention on Persistent Organic Pollutants (POPs);

c) Offshore oil and gas facilities.

Article 13. Registration dossier for hazardous waste generating entities

1. The registration dossier to be granted the Hazardous Waste Generating Entity Registration Book:

a) Application form according to the model prescribed in Appendix 6 (A) issued together with this Circular;

b) One (1) copy of the Enterprise Registration Certificate or equivalent document;

c) Documents and papers for cases of self-reuse, recycling, pre-processing, treatment, co-treatment, energy recovery from hazardous waste as guided at Point 5.2 of the application form according to the model prescribed in Appendix 6 (A) issued together with this Circular.

2. The dossier for cases of registering hazardous waste generating entities as prescribed in Clause 3, Article 12 of this Circular shall be replaced by a report according to the model prescribed in Appendix 4 (A) issued together with this Circular.

Article 14. Procedure and formalities for registering hazardous waste generating entities

1. Preparing the registration dossier to be granted the Hazardous Waste Generating Entity Registration Book:

a) The hazardous waste generating entity (excluding entities prescribed in Clause 3, Article 12 of this Circular) prepares one (1) registration dossier for hazardous waste generating entities and submits it directly or sends it by post to the Department of Natural Resources and Environment where the facility generating hazardous waste is located;

b) The Department of Natural Resources and Environment checks the completeness and validity of the dossier. In case the dossier is incomplete or invalid, within five (5) working days, the Department of Natural Resources and Environment will notify the hazardous waste generating entity to complete the dossier;

c) After submitting the registration dossier in accordance with Point a of this Clause, the hazardous waste generating entity is considered to have completed the registration obligation with the Department of Natural Resources and Environment when receiving a receipt from the Department of Natural Resources and Environment or a confirmation letter from the postal service unit (in case sent by post), except in cases where the Department of Natural Resources and Environment notifies the completion of the dossier as prescribed in Point b of this Clause. The receipt or confirmation letter mentioned herein has temporary legal effect to replace the Hazardous Waste Generating Entity Registration Book during the process of issuing the Hazardous Waste Generating Entity Registration Book.

2. Within fifteen (15) working days from the date of receiving a complete and valid dossier, the Department of Natural Resources and Environment examines and issues the Hazardous Waste Generating Entity Registration Book, except in cases prescribed in Clause 3 of this Article.

3. For cases of registering hazardous waste generating entities that are self-reusing, pre-processing, recycling, treating, co-treating, and recovering energy from hazardous waste within the premises of the facility generating hazardous waste, the examination and issuance period of the Hazardous Waste Generating Entity Registration Book is thirty (30) working days from the date of receiving a complete and valid dossier, specifically as follows:

a) The Department of Natural Resources and Environment conducts an inspection of the facility within fifteen (15) working days from the date of receiving a complete and valid hazardous waste generating entity registration dossier. The inspection time for one facility does not exceed two (2) working days;

b) Within fifteen (15) working days from the end of the facility inspection, the Department of Natural Resources and Environment is responsible for issuing the Hazardous Waste Generating Entity Registration Book according to the model prescribed in Appendix 6 (B) issued together with this Circular with one (1) management code for hazardous waste according to the model prescribed in Appendix 7 issued together with this Circular. If the conditions for issuing the Hazardous Waste Generating Entity Registration Book are not met, the Department of Natural Resources and Environment will notify in writing and specify the reasons. The hazardous waste generating entity modifies, supplements, and resubmits the dossier according to the notification of the Department of Natural Resources and Environment. The modification and supplementation time of the dossier is not included in the examination and issuance period of the Hazardous Waste Generating Entity Registration Book.

4. In cases where there is no need to follow the procedure for preparing the registration dossier to be granted the Hazardous Waste Generating Entity Registration Book as prescribed in Clause 3, Article 12 of this Circular:

a) The hazardous waste generating entity prepares the first hazardous waste management report according to the model prescribed in Appendix 4 (A) issued together with this Circular and submits it directly or sends it by post to the Department of Natural Resources and Environment;

b) The Department of Natural Resources and Environment immediately issues a receipt upon receiving the hazardous waste management report. This receipt or a confirmation letter from the postal service unit attached with a copy of the first hazardous waste management report mentioned above has the same value as the Hazardous Waste Generating Entity Registration Book.

Article 15. Reissuing the Hazardous Waste Producer Registration Book

1. The hazardous waste producer specified in Clause 2, Article 6 of Decree No. 38/2015/NĐ-CP must register to be reissued the Hazardous Waste Producer Registration Book.

2. Documents for reissuing the Hazardous Waste Producer Registration Book include:

a) Application form according to the model prescribed in Appendix 6 (A) issued together with this Circular;

b) Relevant papers and documents related to changes and supplements compared to the initial registration documents.

3. The procedures and formalities for reissuing the Hazardous Waste Producer Registration Book shall be carried out according to the provisions from Clause 1 to Clause 3 of Article 14 of this Circular.

4. The serial number of each issuance of the Hazardous Waste Producer Registration Book in cases of reissuance shall be counted sequentially starting from the first issuance and subsequent reissuances.

Section 2

PROCEDURES FOR ISSUING, REISSUING, AMENDING PERMITS FOR THE HANDLING OF HAZARDOUS WASTE; DISPOSAL OF PERMITS FOR THE HANDLING OF HAZARDOUS WASTE;

DISPOSAL OF PERMITS FOR THE MANAGEMENT OF HAZARDOUS WASTE WASTE HAZARDOUS OR PERMIT FOR MANAGING HAZARDOUS WASTE

Article 16. Documents for Applying for a Permit for Handling Hazardous Waste

1. An application form in accordance with Appendix 5 (A.1) issued together with this Circular.

2. One (1) copy of the environmental impact assessment report (hereinafter referred to as EIA report) approved by the Ministry of Natural Resources and Environment for investment projects of hazardous waste treatment facilities or other relevant documents stipulated in Appendix 5 (B.1) issued together with this Circular.

3. One (1) copy of the planning document containing management and handling of hazardous waste approved by competent authorities at provincial level or higher.

4. Legal documents for hazardous waste transfer stations (if any) as prescribed in Appendix 5 (B.1) issued together with this Circular.

5. Descriptions and documents in accordance with the model prescribed in Appendix 5 (B.1) issued together with this Circular.

6. A trial operation plan for handling hazardous waste in accordance with the model prescribed in Appendix 5 (C) issued together with this Circular. The trial operation plan is bound separately with the application documents.

Article 17. Procedures and Formalities for Issuing a Permit for Handling Hazardous Waste

1. Organizations and individuals submit two (2) sets of documents in accordance with Article 16 of this Circular to the issuing authority for consideration and issuance of a Permit for Handling Hazardous Waste. Organizations and individuals may choose to submit two (2) copies of the trial operation plan for handling hazardous waste simultaneously or after submitting the permit application documents. In case the documents are incomplete or invalid, the issuing authority will notify in writing within ten (10) working days for organizations and individuals to complete the documents.

2. Within twenty (20) working days from the date of receiving complete and valid documents, the issuing authority will examine and issue a written approval for the trial operation plan for handling hazardous waste in the following manner:

a) Within ten (10) working days from the end of the examination of the content of the application documents as prescribed in Clause 1 of this Article (or from the date of receipt of the trial operation plan in case it is submitted after the examination period), the issuing authority will examine the trial operation plan for handling hazardous waste and notify organizations and individuals to amend and supplement if the content is incomplete or not suitable for the hazardous waste treatment facility;

b) Within ten (10) working days from the end of the examination of the trial operation plan for handling hazardous waste, the issuing authority will issue a written approval in accordance with the model prescribed in Appendix 5 (D) issued together with this Circular, with a trial period not exceeding six (6) months (accompanied by one (1) copy of the trial operation plan for handling hazardous waste stamped by the issuing authority);

3. After receiving the written approval from the issuing authority, organizations and individuals applying for a Permit for Handling Hazardous Waste shall conduct trial operations for handling hazardous waste as follows:

a) Temporarily permitted to collect, transport, or receive hazardous waste for trial operation handling;

b) Conduct environmental monitoring sampling at least three (3) times at different time points. Sampling should only be conducted when the treatment systems and equipment are operating at maximum capacity. If necessary, the issuing authority may conduct unannounced inspections and take samples during the trial operation period;

c) If there is a need to extend the trial operation period for handling hazardous waste, a written explanation must be sent to the issuing authority at least fifteen (15) working days before the expiration date stated in the approval letter; the trial operation period cannot be extended more than once except in cases of force majeure;

d) If a risk of environmental pollution exceeding the national technical regulation standards is discovered without immediate measures to address it, all treatment systems and equipment must be temporarily shut down until a solution is found and reported to the issuing authority before resuming operations according to the approved plan.

4. After completing the trial operation for handling hazardous waste, organizations and individuals must submit a report on the results of the trial operation as follows:

a) Submit two (2) copies of the trial operation result report for handling hazardous waste in accordance with the model prescribed in Appendix 5 (Đ) issued together with this Circular to the issuing authority. If no report or extension request is received within six (6) months from the date of the approval letter, a new trial operation must be registered;

b) If the trial operation result report does not meet the national technical regulation standards, is incomplete, or is not fully completed, the issuing authority will notify organizations and individuals to adjust, complete, or conduct another trial operation within ten (10) days from the date of receipt of the report.

5. Solicit opinions from the Department of Natural Resources and Environment where the hazardous waste treatment facility is located:

a) The issuing authority will solicit written opinions from the Department of Natural Resources and Environment where the hazardous waste treatment facility is located; the opinion solicitation date must not be later than the date of the issuing authority's approval letter for the trial operation;

b) The Department of Natural Resources and Environment is responsible for replying in writing within thirty (30) days from the date of receipt of the issuing authority's letter, providing reasons if they disagree.

6. Within twenty-five (25) working days from the date of receiving the report on the results of trial operation of CTNH treatment and having the document of the Department of Natural Resources and Environment, the licensing authority shall organize an on-site inspection at the CTNH treatment facility and/or CTNH transfer station (if any), simultaneously selecting to carry out one of the following activities to assess conditions and issue the CTNH Treatment Permit:

a) Establish a technical advisory group for issuing the CTNH Treatment Permit, consisting of environmental experts and specialists in related fields;

b) Organize opinions from experts or relevant organizations and individuals.

7. In cases where organizations or individuals have not met all the required technical conditions and management procedures as prescribed, the licensing authority shall notify them in writing or include such notification in the inspection record specified in Clause 6 of this Article to comply with, implement, or provide explanations.

8. Within twenty (20) working days from the date of receiving the amended and supplemented registration dossier in accordance with regulations, the licensing authority shall examine and issue the CTNH Treatment Permit.

9. The CTNH Treatment Permit is stipulated as follows:

a) The CTNH Treatment Permit has two (2) original copies according to the model prescribed in Appendix 5 (E) issued together with this Circular: one (1) copy sent directly or via post to the CTNH treatment entity and one (1) copy retained by the licensing authority;

b) The CTNH Treatment Permit has a validity period of three (3) years from the date of issuance along with the registration dossier stamped with the licensing authority's confirmation seal;

c) The CTNH Treatment Permit has one (1) management code for CTNH as prescribed in Appendix 7 issued together with this Circular.

10. During the process of handling the procedure, if more than six (6) months elapse without submission of the dossier or without a reasonable explanation as prescribed, the registration dossier will be reviewed from the beginning.

Article 18. Reissuing the CTNH Treatment Permit

1. The reissuing of the CTNH Treatment Permit is regulated in Clause 1 of Article 11 of Decree No. 38/2015/NĐ-CP.

2. Dossier for applying for reissuing the CTNH Treatment Permit:

a) Application form as prescribed in Appendix 5 (A.2) issued together with this Circular;

b) Reports, copies of inspection records, and conclusions as prescribed in Appendix 5 (B.2) issued together with this Circular.

3. Procedure and formalities for reissuing the CTNH Treatment Permit:

a) The deadline for submitting the application dossier for reissuing the CTNH Treatment Permit is no later than three (3) months before the expiry date of the permit or within one (1) month from the date of discovering the loss or damage of the permit;

b) Within twenty (20) working days from the date of receiving a complete and valid dossier as prescribed in Clause 2 of this Article, the licensing authority shall reissue the CTNH Treatment Permit. If necessary, the licensing authority may seek opinions from the Department of Natural Resources and Environment where the CTNH treatment facility is located as prescribed in Clause 5 of Article 18 of this Circular and conduct an on-site inspection.

4. In cases of changes or supplements, the dossier, procedures, and formalities shall be implemented in accordance with the regulations on amending permits as stipulated in Article 19 of this Circular; in cases of reissuing as prescribed in Point b of Clause 1 of Article 13 of Decree No. 38/2015/NĐ-CP when there are changes or supplements, the dossier, procedures, and formalities shall be carried out in accordance with the provisions of Article 17 of this Circular.

Article 19. Amendment of Hazardous Waste Treatment Permit

1. The case of amending the Hazardous Waste Treatment Permit as stipulated in Clause 2, Article 11 of Decree No. 38/2015/NĐ-CP.

2. Documents for registering to amend the Hazardous Waste Treatment Permit:

a) Application form according to the model prescribed in Appendix 5 (A.1) issued together with this Circular;

b) Documents and papers on changes and supplements compared to the initial permit application documents (if any);

c) Summary of explanations on changed and supplemented contents, reports, copies of inspection conclusions and inspection records as prescribed in Appendix 5 (B.3) issued together with this Circular;

d) Trial operation plan for hazardous waste treatment as prescribed in Appendix 5 (C) issued together with this Circular in cases where there are additional systems and equipment for hazardous waste treatment that must undergo trial operations.

3. The procedures and formalities for amending the Hazardous Waste Treatment Permit shall be carried out in accordance with the provisions of Article 17 of this Circular. In necessary cases, the issuing authority may seek opinions from the Department of Natural Resources and Environment as prescribed in Clause 5, Article 17 of this Circular.

4. Cases not requiring trial operations:

a) Changes and supplements to the operating area (excluding changes to the location of the treatment facility);

b) Changes to the number and locations of intermediate transfer stations for hazardous waste;

c) Changes and supplements to systems, means, and equipment for packaging, storage, retention, transportation, intermediate transfer, and preliminary processing of hazardous waste; systems and equipment for hazardous waste treatment that do not directly cause adverse environmental impacts;

d) Supplementing types of hazardous waste with similar characteristics and treatment methods to those already tested and permitted;

e) Increasing the quantity and volume of types of hazardous waste already permitted.

5. The issuance of an amended Hazardous Waste Treatment Permit shall be carried out in one of the following two forms:

a) Issuing a new Hazardous Waste Treatment Permit to replace the previous permit with a validity period of three years from the date of issuance;

b) Supplementing an appendix to the previously issued Hazardous Waste Treatment Permit, clearly stating the amended contents compared to the previously issued permit. The validity period of the previously issued permit will remain unchanged when amended through the supplementary appendix method.

Article 20. Integration and Replacement of Certain Procedures Related to Hazardous Waste Treatment Permit Issuance

1. The following procedures are integrated and replaced by the procedure for issuing the Hazardous Waste Treatment Permit:

a) Inspection and confirmation of completion of environmental protection works as reported in the Environmental Impact Assessment report, inspection of implementation of environmental protection works according to the detailed environmental protection plan (or equivalent documents and papers) of projects including hazardous waste treatment components;

b) Confirmation of compliance with environmental protection requirements for facilities treating household solid waste and general industrial solid waste in cases where hazardous waste treatment facilities also treat household solid waste and general industrial solid waste (including combined treatment using hazardous waste treatment systems and equipment or separate systems and equipment).

2. Facilities treating hazardous waste that also treat household solid waste and general industrial solid waste, which have been licensed under regulations prior to the effective date of this Circular and have completed the inspection and confirmation procedures for environmental protection works serving the treatment of household solid waste and general industrial solid waste before June 15, 2015 but require confirmation of compliance with environmental protection requirements for household solid waste and general industrial solid waste facilities integrated into the Hazardous Waste Treatment Permit shall follow the procedures prescribed in Clause 4, Article 18 of this Circular.

Article 21. Revocation of Hazardous Waste Treatment Permit or Hazardous Waste Management Permit

1. The revocation of the Hazardous Waste Treatment Permit or Hazardous Waste Management Permit shall be carried out in the following cases:

a) Violation of regulations on hazardous waste management or provisions in the Hazardous Waste Treatment Permit or Hazardous Waste Management Permit to the extent that revocation is required under the law;

b) The hazardous waste treatment entity does not operate within one year from the date of issuance of the Hazardous Waste Treatment Permit, except in cases of force majeure;

c) The hazardous waste transporter, the hazardous waste treatment entity, the hazardous waste disposal entity, the hazardous waste management practitioner, or the hazardous waste treatment entity ceases operations related to hazardous waste or goes bankrupt and is dissolved.

2. The issuing authority shall issue a decision to revoke the permit it has issued, specifying the name of the organization or individual whose permit is revoked, the hazardous waste management code, the date of issuance, the basis, and the reason for revocation.

Chapter IV

SOME SPECIAL CASES

Article 22. Cross-border Transport of Hazardous Waste

1. Documents for registering cross-border transport of hazardous waste:

a) Application form for cross-border transport of hazardous waste according to the model prescribed in Appendix 8 (A) attached hereto;

b) One copy of the hazardous waste treatment contract with the treatment unit in the importing country;

c) One notification of transport in English according to the model prescribed by the Basel Convention (http://www.basel.int/techmatters/forms-notif-mov/vCOP8.pdf).

2. Procedure and formalities for registering cross-border transport of hazardous waste:

a) Organizations and individuals applying for cross-border transport of hazardous waste submit two sets of documents as stipulated in Clause 1 of this Article to the General Department of Environment, which is the competent authority of the Basel Convention in Vietnam (or the National Single Window Portal as prescribed);

b) Within ten working days, the General Department of Environment examines the completeness and validity of the documents and notifies the organization or individual to complete them if they are incomplete or invalid as prescribed;

c) Within ten working days from the date of receiving complete and valid documents, the General Department of Environment sends a notification letter along with one notification of transport in English to the competent authority of the Basel Convention in the importing and transit countries (if any) as prescribed by the Basel Convention;

d) Within twenty working days from the date of receipt of replies from the competent authorities of the Basel Convention in the importing and transit countries (if any), the General Department of Environment issues a consent letter according to the model prescribed in Appendix 8 (B) attached hereto. In case of non-consent, the General Department of Environment issues a reply letter stating the reasons.

3. The transport of hazardous waste within the domestic territory to the border gate must be carried out by organizations and individuals holding a Hazardous Waste Treatment Permit or Hazardous Waste Management Permit.

4. After obtaining the approval letter from the General Department of Environment regarding the export of hazardous waste, organizations and individuals must prepare at least two sets of transport documents in English for each shipment of hazardous waste permitted for export according to the model prescribed by the Basel Convention (www.basel.int/pub/move.pdf).

5. After the completion of hazardous waste treatment, organizations and individuals approved by the General Department of Environment for the export of hazardous waste must retain one set of transport documents and send one set of transport documents with confirmation from the overseas treatment unit to the General Department of Environment.

Article 23. Collection, Transport, and Treatment of Hazardous Medical Waste

1. Packaging, equipment, storage areas, transfer zones, transportation means, systems, and treatment equipment for hazardous medical waste must comply with technical requirements and management procedures prescribed in Appendices 2 (A) and 2 (B) attached hereto.

2. The Department of Natural Resources and Environment shall establish and submit plans for the collection, transport, and treatment of hazardous medical waste in the locality to the People's Committee of the province for approval, ensuring compliance with local conditions and environmental protection laws; the People's Committee of the province shall report to the Ministry of Natural Resources and Environment and the Ministry of Health about the approved plan.

3. The plan for the collection, transport, and treatment of hazardous medical waste as stipulated in Clause 2 of this Article shall include the following main contents:

a) Locations and models of hazardous medical waste treatment;

b) Scope and methods of collecting and transporting hazardous medical waste;

c) Information on organizations and individuals participating in the collection, transport, and treatment of hazardous medical waste;

d) Other related matters.

4. A hazardous medical waste handover logbook may replace hazardous waste documentation where so directed in the plan for the collection, transport, and treatment of hazardous medical waste approved by the People's Committee of the province.

5. In cases where the hazardous waste treatment entity or the hazardous waste management practitioner participates in implementing the plan as stipulated in Clause 2 of this Article beyond the scope of the permit issued, they must report to the issuing authority before implementation.

Article 24. Collection, Transportation, Storage, and Transfer of Hazardous Wastes Using Means and Equipment Not Listed on the Hazardous Waste Treatment Permit

1. The Department of Natural Resources and Environment shall establish and submit to the People's Committee of the province for approval plans for the collection, transportation, storage, and transfer of hazardous wastes from hazardous waste sources generating less than 600 (six hundred) kilograms per year or from hazardous waste sources located in remote areas where the conditions for direct transportation, storage, and transfer by the hazardous waste treatment permit holder are not sufficient. Such plans must be consistent with local conditions and environmental protection laws. The handling of hazardous wastes from these sources must be carried out by organizations and individuals holding appropriate hazardous waste treatment permits.

2. The People's Committee of the province shall send the approved plan under Clause 1 of this Article to the Ministry of Natural Resources and Environment.

3. The use of means and equipment not listed on the hazardous waste treatment permit for transporting and storing hazardous wastes that cannot be treated domestically or are specified in international treaties to which the Socialist Republic of Vietnam is a party must be reported in writing to the issuing authority for consideration and approval on a case-by-case basis. Within 15 (fifteen) working days, the issuing authority shall respond in writing; if disapproved, the reasons must be clearly stated.

Article 25. Reuse of Hazardous Wastes

Organizations and individuals may only reuse hazardous wastes generated within their own premises and must register in the Hazardous Waste Source Register.

Article 26. Collection and Transportation of Hazardous Wastes from Offshore Oil and Gas Facilities to Land

1. Organizations and individuals collecting and transporting hazardous wastes from offshore oil and gas facilities to land using transport means not listed in the hazardous waste treatment permit as stipulated in Clause 3 of Article 8 of Decree No. 38/2015/NĐ-CP must meet the following requirements:

a) Packaging, storage equipment, storage or transfer areas, and transport means for hazardous wastes must comply with the requirements set forth in Appendix 2 (B) issued together with this Circular;

b) Must have a transfer agreement for hazardous wastes with organizations and individuals holding appropriate hazardous waste treatment permits or hazardous waste management permits;

c) Must have a plan for collection, storage, transportation, and a list of transport means.

2. Organizations and individuals as stipulated in Clause 1 of this Article must report to the issuing authority in writing for review and approval before implementation or when there are changes as specified in Points b and c of Clause 1 of this Article. Within 15 (fifteen) working days, the issuing authority shall respond in writing; if disapproved, the reasons must be clearly stated.

Article 27. Research and Development of Hazardous Waste Treatment Technologies in Experimental Environments

1. Organizations and individuals conducting research and development of technologies requiring the acceptance of hazardous wastes for testing and evaluating technology in experimental environments must submit an explanatory document along with an operational test plan according to the model similar to Appendix 5 (C) issued together with this Circular to the Ministry of Natural Resources and Environment for written approval before implementation.

2. Organizations and individuals may only accept hazardous wastes suitable for testing from hazardous waste treatment holders or hazardous waste management professionals. If they transport the hazardous wastes themselves using their own transport means, such means must comply with the requirements set forth in Appendix 2 (B) issued together with this Circular and be listed in the approval document for the operational test plan issued by the Ministry of Natural Resources and Environment. Within 15 (fifteen) working days, the Ministry of Natural Resources and Environment shall respond in writing; if disapproved, the reasons must be clearly stated.

3. The operational test period for treating hazardous wastes shall not exceed 06 (six) months. If an extension is required, it must be reported to the Ministry of Natural Resources and Environment for approval, with each extension not exceeding 06 (six) months and not more than 03 (three) extensions in total. After the completion of the test, a report must be submitted to the Ministry of Natural Resources and Environment.

Article 28. Other cases

The following activities are not considered to be transportation or handling of hazardous waste and therefore do not require a permit for handling hazardous waste:

1. Transportation, maintenance, and repair of means of transport, equipment, and products (which have not expired, still have value for their original purpose, and have not been identified by the waste generator as waste) for continued use according to their original purpose.

2. Transporting samples of hazardous waste for analysis.

Chapter V

HAZARDOUS WASTE MANAGEMENT CERTIFICATE

Article 29. Recipients of Training and Issuance of Hazardous Waste Management Certificate

Persons specified in Point a Clause 5 Article 9 Decree No. 38/2015/NĐ-CP (mandatory) and those who voluntarily wish to be trained and issued a certificate on hazardous waste management.

Article 30. Requirements for Institutions Providing Hazardous Waste Management Training

1. Institutions providing hazardous waste management training for persons eligible to receive the Hazardous Waste Management Certificate must meet the following requirements:

a) They must have appropriate training functions related to the environment or relevant fields as prescribed by law;

b) Individuals conducting main topics on hazardous waste management must hold at least a bachelor's degree and have at least three years of experience in the field of hazardous waste management.

2. Training shall be conducted either centrally or locally based on the training program framework as stipulated in Appendix 9 (A) attached hereto. At least ten working days before the training date, the training institution must submit a notification of the training plan to the General Department of Environment. In necessary cases, the General Department of Environment may organize inspections of the training process.

Article 31. Authority and Responsibility for Training, Issuing, Reissuing, and Revoking the Hazardous Waste Management Certificate

1. The General Department of Environment issues, reissues, and revokes the Hazardous Waste Management Certificate.

2. The General Department of Environment is responsible for developing and approving the training program on hazardous waste management; when organizing centralized or local training sessions, issuing the Hazardous Waste Management Certificate does not require the documentation as prescribed in Article 32 of this Circular.

Article 32Procedure for Issuing the Hazardous Waste Management Certificate

1. The training institution prepares the application dossier for the Hazardous Waste Management Certificate as stipulated in Clause 3 of this Article and submits it directly or via postal service to the General Department of Environment for review and issuance of the Hazardous Waste Management Certificate.

2. Within fifteen working days from the date of receipt of a complete and valid dossier, the General Department of Environment reviews and issues the Hazardous Waste Management Certificate according to the model prescribed in Appendix 9 (B) attached hereto. If the certificate is not issued, the reasons must be clearly stated.

3. Application Dossier for Issuance of the Hazardous Waste Management Certificate:

a) An application form for the Hazardous Waste Management Certificate according to the model prescribed in Appendix 9 (C) attached hereto;

b) A summary table of training results according to the model prescribed in Appendix 9 (D) attached hereto;

c) Copies of identity cards of the certificate recipients;

d) Copies of relevant documents and papers concerning the provisions of Article 30 of this Circular.

4. The Hazardous Waste Management Certificate has a validity period of three years and cannot be extended. Upon expiration, the certificate holder must undergo retraining to obtain a new certificate according to this Circular, except as provided in Clause 5 of this Article.

5. Those holding a Hazardous Waste Management Certificate that has expired but have continuously worked in the field of hazardous waste management for at least two years up to the expiration date may submit one application form according to the model prescribed in Appendix 9 (Đ) attached hereto and a confirmation letter from their workplace to the General Department of Environment. Within seven working days, the General Department of Environment will review and issue the Hazardous Waste Management Certificate. If the certificate is not issued, the reasons must be clearly stated.

Article 33. Reissuing, Revoking Hazardous Waste Management Certificates

1. Reissuing Hazardous Waste Management Certificates:

a) A person holding a Hazardous Waste Management Certificate that is damaged or lost shall submit one (1) application form according to the model prescribed in Appendix 9(E) to the General Department of Environment for review and reissue;

b) Within seven (7) working days, the General Department of Environment shall reissue the Hazardous Waste Management Certificate;

c) The reissued Hazardous Waste Management Certificate shall have a validity period equal to the remaining validity period of the certificate that was damaged or lost.

2. The Hazardous Waste Management Certificate shall be revoked in cases where it has been erased, altered, or used for purposes not permitted by law.

Article 34. Retaining Training Records

For at least three (3) years from the date of completion of each training course, the training institution shall retain records of each training course including:

1. Student records (including information: name, date of birth, national identity card number, occupation, address) and training results.

2. List of trainers (including information: name, year of birth, occupation, professional qualifications, name and workplace address).

3. Textbooks, presentation materials, examination questions, and student answers.

Chapter VI

IMPLEMENTING PROVISIONS

Article 35. Transitional Provisions

1. Registers of hazardous waste generating entities issued according to regulations prior to the effective date of this Circular shall continue to be used, except in cases requiring reissuance as stipulated in Clause 2, Article 6 of Decree No. 38/2015/NĐ-CP.

2. Hazardous waste management permits issued according to regulations prior to the effective date of this Circular shall continue to be valid until their expiration date as indicated on the permit. Organizations and individuals who have been granted permits for hazardous waste treatment or disposal activities or hazardous waste management permits shall be considered to have completed environmental protection facility inspection procedures as required for related operations.

3. Registration files for hazardous waste generating entities, registration files for issuance, extension, and modification of hazardous waste management permits submitted before the effective date of this Circular shall be processed according to the laws in effect at the time of submission.

4. Organizations and individuals who have been granted hazardous waste management permits must comply with the provisions of Article 9 of this Circular (except Clause 11) and technical requirements and management procedures as follows:

a) Implement the National Standard on Environmental Management Systems (ISO 14001) no later than June 15, 2017;

b) Fully implement comprehensive and synchronized environmental management measures as detailed in the registration files stamped and confirmed by the issuing authority attached to the hazardous waste management permits. These files serve as specific bases for management, inspection, supervision, and monitoring of the environment for hazardous waste management practitioners;

c) Supervise the activities of hazardous waste transportation agents and bear overall responsibility for environmental protection and hazardous waste management violations committed by these agents. Must report to the issuing authority about changes in content, extensions, or terminations of agency contracts within fifteen (15) days from the date of such actions.

5. Organizations and individuals granted hazardous waste transportation permits must comply with the provisions of Article 9 of this Circular (except Clause 11 and technical requirements and management procedures related to treatment activities) and fully implement the contents of the hazardous waste transportation business registration files stamped and confirmed by the issuing authority attached to the hazardous waste transportation permits. These files serve as specific bases for management, inspection, supervision, and monitoring of the environment for hazardous waste transportation practitioners.

a) Enter into a tripartite agreement with hazardous waste generators, hazardous waste processors (or hazardous waste management practitioners or hazardous waste treatment and disposal practitioners) regarding the transfer of hazardous waste or sign a contract with the generator witnessed and confirmed by the processor (or hazardous waste management practitioner or hazardous waste treatment and disposal practitioner);

b) Fully implement the contents of the hazardous waste transportation business registration file stamped and confirmed by the issuing authority attached to the hazardous waste transportation permit. This file serves as a specific basis for management, inspection, supervision, and monitoring of the environment for hazardous waste transportation practitioners.

6. Organizations and individuals granted hazardous waste treatment and disposal permits must comply with the provisions of Article 9 of this Circular (except Clause 11 and technical requirements and management procedures related to transportation activities if they do not simultaneously hold hazardous waste transportation permits) and fully implement the contents of the hazardous waste treatment and disposal business registration file stamped and confirmed by the issuing authority attached to the hazardous waste treatment and disposal permit. This file serves as a specific basis for management, inspection, supervision, and monitoring of the environment for hazardous waste treatment and disposal practitioners.

Article 36Effectiveness, Responsibility for Implementation

1. This Circular takes effect from September 1, 2015. Circular No. 12/2011/TT-BTNMT dated April 14, 2011, of the Minister of Natural Resources and Environment on the management of hazardous waste ceases to be effective from the date this Circular takes effect.

2. The Minister, Heads of Ministries equivalent to Ministries, Provincial People's Committees, Directors of Departments of Natural Resources and Environment, and other relevant organizations and individuals are responsible for implementing this Circular.

3. The Director of the General Department of Environment is responsible for guiding, inspecting, supervising, and urging the implementation of this Circular.

4. During the implementation of this Circular, if difficulties or obstacles arise, ministries, sectors, localities, organizations, and individuals shall promptly reflect them to the Ministry of Natural Resources and Environment for research and appropriate amendments and supplements./.