EU Regulation on Preventing Plastic Pellet Loss: OCS Certification Path towards Compliance

The Regulation on Preventing Plastic Pellet Loss in Context

The primary goal of the EU's proposed regulation is to reduce the leakage of plastic pellets into the environment, primarily due to accidental spillage or inadequate handling practices. These incidents typically occur during the production, transportation, processing and recycling stages of the supply chain. While some businesses have already adopted voluntary guidelines, the EU proposal aims to make consistent, legally enforced standards the norm across all member states.

The proposed regulation on the prevention of plastic pellet loss would complement Commission Regulation (EU) 2023/2055: whereas the Commission Regulation (EU) 2023/2055 focuses on microplastics that are intentionally added to products, such as cosmetics and detergents, the regulation on plastic pellet loss focuses on the prevention of accidental spills and losses.

Who is affected by the Regulation on preventing plastic pellet losses?

The proposed EU regulation to prevent plastic pellet loss targets specific companies and activities across the plastics supply chain that handle, transport, or process plastic pellets. The scope is defined broadly to capture all stages where pellet leakage may occur, from production to disposal.

The proposed regulation would apply to all economic operators involved in handling plastic pellets in the EU in quantities above 5 tonnes per year, as well as EU and non-EU carriers transporting plastic pellets in the EU.

In summary, the proposal applies as follows:

• Carriers transporting plastic pellets in the European Union: always affected, even if handling less than 5 tonnes per year, and regardless of whether they are registered in the EU or outside of the EU
• Companies handling less than 5 tonnes per year: out of scope of the regulation, with the exception of carriers
• Companies handling more than 5 tonnes, but less than 1000 tonnes per year: in scope of the regulation, but with lighter requirements
• Companies handling more than 1000 tonnes per year: fully in scope of the regulation.
  

However, to reduce the burden for micro, small and medium-sized companies, reduced requirements apply:

• For micro and small-sized enterprises, lighter requirements are applicable. Even if they exceed the threshold of 1000 tonnes per year, the same requirements apply as for those handling between 5 and 1000 tonnes per year.
• For medium-sized enterprises exceeding the threshold of 1000 tonnes per year, there will be a longer transitional period to achieve the first certification and a longer validity of the certificate.

These thresholds may change during the course of the legislative process and we recommend reviewing the regulation carefully to determine whether your operations are in scope.

At the time of writing, the discussion of whether the regulation should only cover plastic pellets, or also other physical forms of plastic, such as flakes and powders, and even plastic dust, was still ongoing.

Here’s a breakdown of the entities and activities likely to fall within the regulation’s scope:

1. Pellet production, masterbatching and compounding

Companies involved in the production of plastic pellets are a primary focus of the regulation. This includes polymer manufacturers and other facilities that create pellets as raw materials for further processing. Production sites are critical points for pellet loss due to the high volume of pellets produced and transferred within these facilities, necessitating stringent containment measures.

2. Plastic Processors and Manufacturers

Facilities that use plastic pellets to manufacture plastic goods, such as packaging, automotive parts, construction materials, and consumer goods, would also fall under the regulation. These companies handle large quantities of pellets, which are shaped into finished products. Pellet loss often occurs during transfer from storage to processing equipment, so these companies would be required to implement spill prevention and containment measures.

3. Storage and Handling Facilities

Any facility where plastic pellets are stored before being used or transported—such as warehousing sites, distribution centers, and other intermediary locations— are covered. These facilities must adhere to storage protocols that prevent pellets from spilling and escaping, especially when handling bulk transfers.

4. Transport and Logistics Companies

Logistics providers involved in transporting plastic pellets would also be in scope. Transportation is one of the most common points of pellet loss, especially during loading and unloading. This also includes activities such as tank cleaning. The current proposal includes transport by road, rail and waterways, but excludes maritime transport.

5. Waste Management and Recycling Facilities

Facilities that handle, process, or dispose of plastic pellets or plastic waste are also included. Waste facilities will need to adopt containment practices and enhanced filtration systems to prevent pellets from escaping into the environment.

6. Subcontractors and Third-Party Service Providers

Companies that provide services related to pellet handling, transport, or processing on behalf of other firms may also fall under the scope of the regulation. This includes third-party logistics providers, subcontracted storage facilities, and any other entities that handle plastic pellets as part of their service provision. Subcontractors will be responsible for adhering to the same containment, training, and spill response requirements as the primary entities in the plastics supply chain.

Key Provisions of the Proposal on Prevention of Pellet Loss

Companies affected by the regulation would have to meet certain requirements to reduce the risk of pellet loss. These are described in Articles 4 and 5.

• Risk assessment: companies will need to establish a risk assessment plan for each affected installation, taking into the nature and size of the installation as well as the scale of its operations. They will need to take the corresponding preventive measures following from the risk assessment, and provide the relevant authorities with the risk assessment plan, together with a self-declaration of conformity. The requirements for the risk assessment plan are listed in Annex I of the Commission Proposal.
• Staff training: companies in scope of the regulation will need to ensure their staff is trained on the relevant procedures to prevent pellet loss, or to handle any spills when they occur.
• Record keeping: companies will need to keep records of the risk assessment, the actions taken, the estimated quantities of losses and the total volume of pellets handled.
• Corrective actions: take corrective actions for any incidents where the measures to prevent, contain or clean up a loss of pellets turn out to be ineffective.
• Conduct a yearly internal review of the state of compliance with the risk assessment plan.
• Certification: companies in scope of the regulation would have to obtain third-party certification from an accredited certification body to demonstrate compliance with the requirements. Companies participating in the EMAS scheme would be exempt from this requirement, if the EMAS verifier verifies compliance with the pellet loss prevention requirements.
  

Relationship with Operation Clean Sweep (OCS) Certification

The EU’s proposal builds on the principles established by Operation Clean Sweep (OCS) and the OCS Europe Standard, a voluntary certification standard developed by industry associations Plastics Europe and EuPC to minimize pellet loss. The Commission proposal contains multiple direct references to the OCS principles.

OCS provides a set of guidelines, training resources, and tools to help companies manage and contain plastic pellets effectively. The new EU regulation would make these principles legally binding, extending beyond voluntary efforts by making standards uniform across the industry. Many elements of the OCS framework are directly reflected in the proposed regulation. This integration of OCS principles indicates a strong alignment between industry-led efforts and regulatory measures, underscoring the EU’s commitment to reducing pellet pollution.

Because of the strong alignment between the regulation and the OCS Europe standard, it is expected that obtaining certification to the OCS Europe Standard would be an appropriate measure for obtaining the certification referenced in Article 5 of the proposal.

The OCS Europe standard and the corresponding certification are not to be confused with the OCS Pledge: whereas the pledge is a voluntary commitment without external validation, the OCS Europe certification is based on an independent third-party audit to verify compliance with the requirements of the OCS Europe Standard.

Timeline of the Legislative Process

The proposal from the European Commission was published on October 16, 2023. The European Parliament adopted its position on April 23, 2024. This is the basis for the negotiations between the Commission, Parliament and the Council. Once the trilogue negotations have been completed, the proposed regulation would start applying 18 months after its entry into force. However, for the implementation of certain requirements, such as the completion of third-party certification, the proposal specifies a different timeline.

Expected Impact on the Environment and Industry

The EU estimates that the loss of plastic pellets into the environment ranges between 52,000 and 184,000 metric tons annually in the EU, contributing significantly to plastic pollution in European waters and beyond. By reducing this loss, the EU aims to decrease overall microplastic pollution, protect marine biodiversity, and reduce contamination in food sources.

The regulation is likely to require companies in the plastics supply chain to invest in containment equipment, transportation upgrades, and staff training, which could raise operational costs. However, the EU argues that these costs will be offset by long-term environmental and health benefits, as well as by potential savings on cleanup expenses. Companies that adopt these measures may also see benefits from an enhanced reputation, potential subsidies, or other incentives aimed at reducing pollution.

Pellet Loss Prevention with DQS Certification

The EU’s proposal represents a vital step toward reducing plastic pollution at its source, strengthening the voluntary standards of Operation Clean Sweep into enforceable regulations that set uniform standards across the industry.

As one of the first global certification bodies to be approved for Operation Clean Sweep (OCS) certification, DQS has the knowhow to help you meet compliance with the pellet loss prevention certification requirement. In addition to certification audits, we can help you with gap assessments and training