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Implementing the Basel Convention



This section provides information on the important components of implementing the Basel Convention. Each of the components is described and access is provided to appropriate reference materials and the documentation required for easy and effective implementation.


GoTo   Steps to Implementation:
GoTo   Identifying Basel Convention Wastes:
GoTo   Identifying Transboundary Movement:
GoTo   The Control System:
GoTo   Documentation Required:
GoTo   Environmental Sound Hazardous Waste Management:
GoTo   Basel Protocol on Liability and Compensation:
GoTo   Example Scenario: - Lead Acid Batteries in the South Pacific:

The most relevant Annexes are included here for convenience

GoTo   Annex I Categories of Wastes to be Controlled:
GoTo   Annex 11 Categories of Wastes requiring Special Consideration:
GoTo   Annex 111 List of Hazardous Characteristics:
GoTo   Annex VIII LIST A:
GoTo   Annex IX LIST B:


Note
To find a particular chemical or category of waste, use the find/search function provided.




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Steps to Implementation:

The main components of implementation consist of the identification of Basel Convention wastes, the establishment of the Control System and the accommodation of the Basel Ban Amendment and other restrictions on Transboundary Movements of waste including environmental sound management of hazardous waste.

To implement the Convention a country needs to identify a Focal Point and the Competent Authority and formally notify the Secretariat. It may be necessary to seek training and other capacity building support from the Basel Secretariat, for example, in implementing capacity building programs to familiarise the Customs Services with the obligations of the Convention.

It may also be necessary for a country to make changes to existing legislation or develop new legislation. Copies of the model legislation developed for the implementation of the Basel Convention are available in the Basel Convention Reference section

Detailed information is available in the "Manual for the Implementation of the Basel Convention" available in the Basel Convention Reference section.



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Identifying Basel Convention Wastes:

While developing Countries are unlikely to be major producers of hazardous wastes, countries with economies in transition are increasingly generating such wastes. Even for those countries who are not big producers of hazardous waste it is likely that some wastes will be lying around (e.g. PCBs, pesticides, paints, solvents etc.) from historical uses. The following provides a guide to determining what waste is covered under the Basel Convention.

What is Waste?

The Basel Convention defines wastes as "substances or objects which are disposed of or are intended to be disposed of or are required to be disposed of by the provisions of national law" (Article 2, paragraph 1).

What are Hazardous Wastes?

Determining what is a hazardous waste under the Basel Convention is quite complicated. A series of steps have to be completed to determine whether or not a waste is hazardous under the Convention.

Step 1:

  • Determine whether the wastes will be or are currently being transported between two countries.

    Step 2

  • Determine whether the wastes are included in Annex 1 to the Convention. This is known as the Y List (see below).

    Step 3

  • Determine whether the wastes are classified as hazardous by domestic legislation within the Party of export, import or transit.

    Step 4

  • Determine whether the wastes are included in Annex VIII (known as the A List) of the Convention, but not in Annex IX (known as the B List).

    Step 5

  • Determine if the wastes that they have been found to be on Annex I or Annex VIII, also exhibits one or more of hazardous characteristics contained in Annex III of the Convention. This is known as the H List (see below).

    Step 6

  • Determine whether the wastes are domestic or burnt domestic waste and are intended to be transported or are currently being transported between two countries. If this is the case then they are classified as "other waste".

    The following flow diagram explains the process of determining whether a waste is covered by the Basel Convention.



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    What is "Transboundary Movement?"

    "Transboundary movement" means any movement of hazardous wastes or other wastes from an area under the national jurisdiction of one State to or through an area under the national jurisdiction of another State or to or through an area not under the national jurisdiction of any State, provided at least two States are involved in the movement (Article 2, paragraph 3).

    Are there Exceptions?

    Yes. The provisions of this Convention does not affect transboundary movements which take place pursuant to bilateral, multilateral or regional agreements, provided that such agreements are compatible with the environmentally sound management of hazardous wastes and other wastes as required by this Convention (Article 11, paragraph 2). Foe example a Party to the Bamako Convention may export hazardous waste to another African nation that is a Party to the Bamako Convention if that country agrees to accept the waste and has technology and capacity to treat or dispose of the waste in an environmentally sound manner. The country of export must demonstrate that it does not have such capacity to treat the waste.

    Other Restrictions on Transboundary Movements

    There are a range of other restrictions on transboundary movements. For example, transboundary movements must be restricted to parties to the Convention and only to countries where environmental sound management is evident. Where a state of import has an import ban and not given its consent then the state of export must prohibit the export.



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    The Control System:

    The control system for the Basel Convention is simply a procedure for the notification of transboundary movements of hazardous waste or other waste, based on prior written consent. Each shipment of hazardous waste or other waste needs to be accompanied by a movement document from the point at which transboundary movement begins to of the point of disposal.

    The control procedure in general is made up of:

  • a responsibility to notify,
  • documentation and general notification,
  • contact between the exporter and disposer,
  • insurers/financial guarantees,
  • international transport rules and regulations,and
  • environmentally sound management.

    In any transboundary movement of waste, the state of import's written consent and confirmation of the sound management of waste is required, as is the written consent of the state of transit.



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    Documentation Required:

    The type of information that needs to be transmitted includes:

    Export Notification: The Convention requires that an Exporting Party notify all countries concerned (i.e., any exporting, transiting or importing country) of any proposed transboundary movement of hazardous waste. The information needed for this notification is found in Annex V (A). It includes the reasons for the waste export, expected countries of transit, means of transport, type of packaging and method of disposal.

    Movement Document: Each transboundary movement of hazardous waste must be accompanied by a Movement Document. The required information for this document is found in Annex V (B) and includes certification by the disposer of receipt at a designated disposal facility and an indication of the method of disposal and the approximate date of disposal.

    Information to Secretariat: Countries are also required to inform the Secretariat if they change their national definitions of hazardous waste. They must also report any illegal hazardous waste activity, any hazardous wastes generated in their territory, any changes to the nominated focal point, competent authority, and any bilateral, regional or multilateral agreements or arrangements with Non-Parties.

    Information on Sound Management of Wastes: Countries are required to provide information on request that relates to the promotion of environmentally sound management of hazardous wastes, including cleaner production methods.

    Documentation Assistance: The Basel Convention Secretariat has drafted two standard documents for documenting the movement of wastes.

    These documents are:

  • Transboundary Movement of Waste - Notification
  • Transboundary Movement of Waste - Movement document

    These are both available in the Basel Convention Reference section.



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    Environmental Sound Hazardous Waste Management:

    Environmental sound management of hazardous waste underpins the rational and implementation of the Basel Convention. Guidance Documents (available in the Basel Convention Reference section) provide direction for the environmentally sound management of hazardous wastes to countries considering or controlling transboundary movements of such wastes destined for recovery operations, or for those practising recycling or recovery of materials. They also provide information to assist countries in their efforts to ensure, as far as practicable, the environmentally sound management of wastes subject to the Basel Convention within their national territory.

    More detailed information on the implementation of the Basel Convention is available in the Basel Convention Reference section



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    Basel Protocol on Liability and Compensation:

    The Basel Protocol on Liability and Compensation was adopted at the Fifth Conference of Parties (COP-5) in December 1999. It was in response to the concerns of developing countries about their lack of funds and technologies for coping with illegal dumping or accidental spills. The objective of the Protocol is to provide for a comprehensive regime for liability as well as adequate compensation for any damage resulting from the transboundary movement of hazardous wastes.

    The Protocol addresses who is financially responsible in the event of an incident. Each phase of a transboundary movement, from the point at which the wastes are loaded on the means of transport to their export, international transit, import, and final disposal, is considered.

    The Basel Protocol on Liability and Compensation is available in the Basel Reference section.



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    Example Scenario:

    The following table runs through a hypothetical scenario for the export of materials that are eventually identified as hazardous waste and describes the actions taken by various responsible parties and other stakeholders under the Waigani and Basel Conventions. The same scenario would apply to other developing countries and countries with economies in transition who are parties to Regional Conventions such as the Waigani and Bamako Conventions and who have acceded to the Basel Convention.

    Lead Acid Batteries in the South Pacific.

    Buggerup Brothers Pty Ltd is a hypothetical used car dealer in a Pacific Island Developing Country. Buggerup Bros discovers that they have accumulated a large number of used lead-acid car batteries. They are lying around all over the place and are likely to constitute a public health hazard because of the battery acid and the lead. Alfred Buggerup wants to export the batteries overseas (and make a bit of money out of the lead). He contacts the environment department and asks them what he needs to do to export them. He is put in contact with Ms Eli, who is the Focal Point for the Waigani Convention.

    The following are the possible steps Ms Eli may take in ensuring that the wastes are properly and safely exported out of her country.

    Step Scenario Response Comment
    Check to see if car batteries constitute hazardous waste under the government's environment legislation She finds that there is no list for hazardous wastes under their environment legislation It would be a good idea to start building a list of hazardous wastes and to legislate this list
    Check to see if the batteries can be classified as controlled wastes under the Waigani Convention She finds that they contain lead Lead is classified as controlled waste: Y31 - {Lead, compounds}
    Check to see if the batteries exhibit hazardous characteristics She finds that they contain corrosive substances because of the acid As the batteries contain acid they are classified as H8 Corrosives {Substances or wastes which, by chemical action, will cause severe damage when in contact with living tissue, or, in the case of leakage, will materially damage, or even destroy, other goods or the means of transport; they may also cause other hazards.}
    Notify the exporter that the batteries constitute hazardous waste She notifies Mr Buggerup and tell him that he will need approval to export them  
    Notify the exporter to place the batteries in safe storage until they are exported She notifies Mr Buggerup This is part of the requirements for environmentally sound management of wastes
    Provide the exporter with a Waigani Notification Form She sends Mr Buggerup a Notification Form and assists him in filling out this form. The Competent Authority i.e., the Environment Department in this case, has the ultimate responsibility for ensuring that the Notification form is filled out correctly. The Competent Authority can delegate this responsibility to the exporter, but it is wise to check that this has been done properly.
    Ensure that the exporter fills out the form properly She checks that he has filled out all the sections Key aspects of the Notification
    Form include:
  • the reason for the export,
  • the exporter,
  • the generator,
  • the site of generation and the process by which the wastes are generated,
  • the nature of the wastes and their packaging
  • the intended itinerary,
  • the site of disposal,
  • the disposer,
    • the method of disposal as per Annex IV
    Check carefully proposed route of the waste shipment as indicated in the Notification Form as see whether the waste shipment transits through the Economic Exclusive Zones of any country. She checks the Notification Form and finds that the waste shipment will pass through the EEZ of:
    i) another Pacific Island Developing Country (Vanuatu)
    ii) a Non Party EEZ (New Caledonia)    		 All transit countries need to be notified of the waste shipment and their approval sought.
    Determine whether the country of import is:
    i. An "Other Party" under the Basel & Waigani Conventions
    ii. A Non-Party under the Basel & Waigani Conventionsn    		 She checks her list of Parties to the Basel & Waigani Conventions, on the SPREP website. She finds that the country of import (Australia) has ratified the Waigani Convention. "Other Parties" are the only countries Pacific Forum countries which are allowed to accept waste from Pacific Island Developing Countries under the Waigani Convention. Currently, the only two "Other Parties" are Australia and New Zealand. If it is found that the proposed country of export is a Non-Party, the focal point has the option of:
    i. refusing the export to that country
    ii. entering into a bilateral agreement with that country, so long as this agreement is consistent with the objectives of the Waigani Convention
    Check that the "Other Party" has adequate treatment and disposal facilities for the environmentally sound management of the batteries She contacts the environment department in Australia and checks whether there are appropriate facilities for the appropriate treatment of batteries. The onus is on the country of export to ensure that the waste will be treated in an environmentally sound manner in the country of import.
    Check that Notification documents are sent to the importing country (Australia) and the two transit countries, Vanuatu and New Caledonia. She checks that Mr Buggerup has sent Notification documents to all countries. Even though New Caledonia is a Non-Party it must be sent a Notification document.
    Check that all countries concerned:
    i) Importing Party (Australia)
    ii) Transit Non-Party (New Caledonia)
    iii) The Transit Party (Vanuatu) have acknowledged receipt of the Notification.     		Ms Eli checks with Mr Buggerup after the appropriate period of time that each of these countries has acknowledged receipt of the Notification. The Importing Party, (Australia) and the Transit Party (Vanuatu) have fourteen days to acknowledge receipt of the Notification. The Non-Party Transit country (New Caledonia) does not have a time limit on responding.
    Check that all countries concerned have given written consent to the transport of the waste. Ms Eli checks with Mr Buggerup to see if they have given consent and whether there are any conditions on this consent. The Importing Party and the Transit Party have sixty days after issuing their acknowledgement of receipt of the Notification to consent with or without conditions or deny permission for the movement of the waste.
    Check that there is a contract between the exporter and disposer specifying that wastes will be managed in an environmentally sound manner. Ms Eli checks with Mr Buggerup that he has a contract with the company that is receiving the waste in Australia and that contract specifies that the wastes will be managed in an environmentally sound manner. The Convention states that environmentally sound management means taking all practical steps to ensure that the hazardous wastes are managed in a manner that will protect human health and the environment against the adverse effects that may result from such wastes.
    Check whether the Importing Party of the Transit Party requires that the waste shipment be covered by insurance Ms Eli checks the written consents to see if insurance is required. In this case Vanuatu requires insurance The shipment must be covered by insurance if so required by any Transit Party or importing Party.
    Check whether insurance has been taken out for the waste shipment. Ms Eli asks Mr Buggerup for written confirmation that he has taken out appropriate insurance for the waste shipment The Waigani Convention says that the Transit or Importing Party shall determine what sort of insurance they require from the exporter.
    Check that all wastes are appropriately packaged and labelled before they are exported. Ms Eli checks with Customs to see whether the batteries are appropriately packaged and labelled. The labelling should include the Y number and UN number and its composition and information on any special handling requirements including emergency provisions in case of accidents.
    Check that the wastes are accompanied by a Movement Document Ms Eli checks that Mr Buggerup has filled out the appropriate Movement Document The Movement Document has similar information to the Notification Document. Each person that takes charge of the transboundary movement of the hazardous waste must sign it, upon delivery or receipt.
    Check that the waste has arrived safely and that there has been not accident on the way. Ms Eli checks with Mr Buggerup to ensure that the waste has arrived safely and without incident. If there has been an accident, the focal point should notify the Secretariat of the Waigani Convention (SPREP).
    Check that the wastes have been disposed of in the appropriate manner. Ms Eli should receive from the disposer of the batteries in Australia, notification that the wastes have been disposed of in the appropriate manner. If she doesn't receive this information she should inform the Importing Party i.e. the environment department in Australia. The disposer must notify both the exporter (Mr Buggerup) and the Competent Authority (Ms Eli) that the wastes have been disposed of in the appropriate manner as indicated in the original Notification Document.





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    Annex I

    Annex I
    CATEGORIES OF WASTES TO BE CONTROLLED


    Waste Streams:

    Y1 Clinical wastes from medical care in hospitals, medical centers and clinics

    Y2 Wastes from the production and preparation of pharmaceutical products

    Y3 Waste pharmaceuticals, drugs and medicines

    Y4 Wastes from the production, formulation and use of biocides and phytopharmaceuticals

    Y5 Wastes from the manufacture, formulation and use of wood preserving chemicals

    Y6 Wastes from the production, formulation and use of organic solvents

    Y7 Wastes from heat treatment and tempering operations containing cyanides

    Y8 Waste mineral oils unfit for their originally intended use

    Y9 Waste oils/water, hydrocarbons/water mixtures, emulsions

    Y10 Waste substances and articles containing or contaminated with polychlorinated biphenyls (PCBs) and/or polychlorinated terphenyls (PCTs) and/or polybrominated biphenyls (PBBs)

    Y11 Waste tarry residues arising from refining, distillation and any pyrolytic treatment

    Y12 Wastes from production, formulation and use of inks, dyes, pigments, paints, lacquers, varnish

    Y13 Wastes from production, formulation and use of resins, latex, plasticizers, glues/adhesives

    Y14 Waste chemical substances arising from research and development or teaching activities which are not identified and/or are new and whose effects on man and/or the environment are not known

    Y15 Wastes of an explosive nature not subject to other legislation

    Y16 Wastes from production, formulation and use of photographic chemicals and processing materials

    Y17 Wastes resulting from surface treatment of metals and plastics

    Y18 Residues arising from industrial waste disposal operations

    Wastes having as constituents:

    Y19 Metal carbonyls

    Y20 Beryllium; beryllium compounds

    Y21 Hexavalent chromium compounds

    Y22 Copper compounds

    Y23 Zinc compounds

    Y24 Arsenic; arsenic compounds

    Y25 Selenium; selenium compounds

    Y26 Cadmium; cadmium compounds

    Y27 Antimony; antimony compounds

    Y28 Tellurium; tellurium compounds

    Y29 Mercury; mercury compounds

    Y30 Thallium; thallium compounds

    Y31 Lead; lead compounds

    Y32 Inorganic fluorine compounds excluding calcium fluoride

    Y33 Inorganic cyanides

    Y34 Acidic solutions or acids in solid form

    Y35 Basic solutions or bases in solid form

    Y36 Asbestos (dust and fibres)

    Y37 Organic phosphorus compounds

    Y38 Organic cyanides

    Y39 Phenols; phenol compounds including chlorophenols

    Y40 Ethers

    Y41 Halogenated organic solvents

    Y42 Organic solvents excluding halogenated solvents

    Y43 Any congenor of polychlorinated dibenzo-furan

    Y44 Any congenor of polychlorinated dibenzo-p-dioxin

    Y45 Organohalogen compounds other than substances referred to in this Annex (e.g. Y39, Y41, Y42, Y43, Y44)

    (a) To facilitate the application of this Convention, and subject to paragraphs (b), (c) and (d), wastes listed in Annex VIII are characterized as hazardous pursuant to Article 1, paragraph 1 (a), of this Convention, and wastes listed in Annex IX are not covered by Article 1, paragraph 1 (a), of this Convention.

    (b) Designation of a waste on Annex VIII does not preclude, in a particular case, the use of Annex III to demonstrate that a waste is not hazardous pursuant to Article 1, paragraph 1 (a), of this Convention.

    (c) Designation of a waste on Annex IX does not preclude, in a particular case, characterization of such a waste as hazardous pursuant to Article 1, paragraph 1 (a), of this Convention if it contains Annex I material to an extent causing it to exhibit an Annex III characteristic.

    (d) Annexes VIII and IX do not affect the application of Article 1, paragraph 1 (a), of this Convention for the purpose of characterization of wastes.(1)





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    Annex II

    Annex II
    CATEGORIES OF WASTES REQUIRING SPECIAL CONSIDERATION


    Y46 - Wastes collected from households

    Y47 - Residues arising from the incineration of household wastes





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    Annex III

    Annex III
    LIST OF HAZARDOUS CHARACTERISTICS


    UN Class(2) Code Characteristics

    1 H1 Explosive

    An explosive substance or waste is a solid or liquid substance or waste (or mixture of substances or wastes) which is in itself capable by chemical reaction of producing gas at such a temperature and pressure and at such speed as to cause damage to the surroundings.

    3 H3 Flammable liquids

    The word "flammable" has the same meaning as "inflammable." Flammable liquids are liquids, or mixtures of liquids, or liquids containing solids in solution or suspension (for example, paints, varnishes, lacquers, etc., but not including substances or wastes otherwise classified on account of their dangerous characteristics) which give off a flammable vapour at temperatures of not more than 60.5 C, closed-cup test, or not more than 65.6C, open-cup test. (Since the results of open-cup tests and of closed-cup tests are not strictly comparable and even individual results by the same test are often variable, regulations varying from the above figures to make allowance for such differences would be within the spirit of this definition.)

    4.1 H4.1 Flammable solids

    Solids, or waste solids, other than those classed as explosives, which under conditions encountered in transport are readily combustible, or may cause or contribute to fire through friction.

    4.2 H4.2 Substances or wastes liable to spontaneous combustion

    Substances or wastes which are liable to spontaneous heating under normal conditions encountered in transport, or to heating up on contact with air, and being then liable to catch fire.

    4.3 H4.3 Substances or wastes which, in contact with water emit flammable gases

    Substances or wastes which, by interaction with water, are liable to become spontaneously flammable or to give off flammable gases in dangerous quantities.

    5.1 H5.1 Oxidizing

    Substances or wastes which, while in themselves not necessarily combustible, may, generally by yielding oxygen cause, or contribute to, the combustion of other materials.

    5.2 H5.2 Organic Peroxides

    Organic substances or wastes which contain the bivalent-O-O- structure are thermally unstable substances which may undergo exothermic self-accelerating decomposition.

    6.1 H6.1 Poisonous (Acute)

    Substances or wastes liable either to cause death or serious injury or to harm health if swallowed or inhaled or by skin contact.

    6.2 H6.2 Infectious substances

    Substances or wastes containing viable micro organisms or their toxins which are known or suspected to cause disease in animals or humans.

    8 H8 Corrosives

    Substances or wastes which, by chemical action, will cause severe damage when in contact with living tissue, or, in the case of leakage, will materially damage, or even destroy, other goods or the means of transport; they may also cause other hazards.

    9 H10 Liberation of toxic gases in contact with air or water

    Substances or wastes which, by interaction with air or water, are liable to give off toxic gases in dangerous quantities.

    9 H11 Toxic (Delayed or chronic)

    Substances or wastes which, if they are inhaled or ingested or if they penetrate the skin, may involve delayed or chronic effects, including carcinogenicity.

    9 H12 Ecotoxic

    Substances or wastes which if released present or may present immediate or delayed adverse impacts to the environment by means of bioaccumulation and/or toxic effects upon biotic systems.

    9 H13 Capable, by any means, after disposal, of yielding another material, e.g., leachate, which possesses any of the characteristics listed above.

    Tests

    The potential hazards posed by certain types of wastes are not yet fully documented; tests to define quantitatively these hazards do not exist. Further research is necessary in order to develop means to characterize potential hazards posed to man and/or the environment by these wastes. Standardized tests have been derived with respect to pure substances and materials. Many countries have developed national tests which can be applied to materials listed in Annex I, in order to decide if these materials exhibit any of the characteristics listed in this Annex





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    Annex VIII

    Annex VIII
    LIST A


    Wastes contained in this Annex are characterized as hazardous under Article 1, paragraph 1 (a), of this Convention, and their designation on this Annex does not preclude the use of Annex III to demonstrate that a waste is not hazardous.

    A1 Metal and metal-bearing wastes

    A1010 Metal wastes and waste consisting of alloys of any of the following:

  • Antimony
  • Arsenic
  • Beryllium
  • Cadmium
  • Lead
  • Mercury
  • Selenium
  • Tellurium
  • Thallium
    but excluding such wastes specifically listed on list B.

    A1020 Waste having as constituents or contaminants, excluding metal waste in massive form, any of the following:

  • Antimony; antimony compounds
  • Beryllium; beryllium compounds
  • Cadmium; cadmium compounds
  • Lead; lead compounds
  • Selenium; selenium compounds
  • Tellurium; tellurium compounds

    A1030 Wastes having as constituents or contaminants any of the following:

  • Arsenic; arsenic compounds
  • Mercury; mercury compounds.
  • Thallium; thallium compounds

    A1040 Wastes having as constituents any of the following:

  • Metal carbonyls
  • Hexavalent chromium compounds

    A1050 Galvanic sludges

    A1060 Waste liquors from the pickling of metals

    A1070 Leaching residues from zinc processing, dust and sludges such as jarosite, hematite, etc.

    A1080 Waste zinc residues not included on list B, containing lead and cadmium in concentrations sufficient to exhibit Annex III characteristics

    A1090 Ashes from the incineration of insulated copper wire

    A1100 Dusts and residues from gas cleaning systems of copper smelters

    A1110 Spent electrolytic solutions from copper electrorefining and electrowinning operations

    A1120 Waste sludges, excluding anode slimes, from electrolyte purification systems in copper electrorefining and electrowinning operations

    A1130 Spent etching solutions containing dissolved copper

    A1140 Waste cupric chloride and copper cyanide catalysts

    A1150 Precious metal ash from incineration of printed circuit boards not included on list B(4)

    A1160 Waste lead-acid batteries, whole or crushed

    A1170 Unsorted waste batteries excluding mixtures of only list B batteries. Waste batteries not specified on list B containing Annex I constituents to an extent to render them hazardous.

    A1180 Waste electrical and electronic assemblies or scrap(5) containing components such as accumulators and other batteries included on list A, mercury-switches, glass from cathode-ray tubes and other activated glass and PCB-capacitors, or contaminated with Annex I constituents (e.g., cadmium, mercury, lead, polychlorinated biphenyl) to an extent that they possess any of the characteristics contained in Annex III (note the related entry on list B B1110)(6)

    A2 Wastes containing principally inorganic constituents, which may contain metals and organic materials

    A2010 Glass waste from cathode-ray tubes and other activated glasses

    A2020 Waste inorganic fluorine compounds in the form of liquids or sludges but excluding such wastes specified on list B

    A2030 Waste catalysts but excluding such wastes specified on list B

    A2040 Waste gypsum arising from chemical industry processes, when containing Annex I constituents to the extent that it exhibits an Annex III hazardous characteristic (note the related entry on list B B2080)

    A2050 Waste asbestos (dusts and fibres)

    A2060 Coal-fired power plant fly-ash containing Annex I substances in concentrations sufficient to exhibit Annex III characteristics (note the related entry on list B B2050)

    A3 Wastes containing principally organic constituents, which may contain metals and inorganic materials

    A3010 Waste from the production or processing of petroleum coke and bitumen

    A3020 Waste mineral oils unfit for their originally intended use

    A3030 Wastes that contain, consist of or are contaminated with leaded anti-knock compound sludges

    A3040 Waste thermal (heat transfer) fluids

    A3050 Wastes from production, formulation and use of resins, latex, plasticizers, glues/adhesives excluding such wastes specified on list B (note the related entry on list B B4020)

    A3060 Waste nitrocellulose

    A3070 Waste phenols, phenol compounds including chlorophenol in the form of liquids or sludges

    A3080 Waste ethers not including those specified on list B

    A3090 Waste leather dust, ash, sludges and flours when containing hexavalent chromium compounds or biocides (note the related entry on list B B3100)

    A3100 Waste paring and other waste of leather or of composition leather not suitable for the manufacture of leather articles containing hexavalent chromium compounds or biocides (note the related entry on list B B3090)

    A3110 Fellmongery wastes containing hexavalent chromium compounds or biocides or infectious substances (note the related entry on list B B3110)

    A3120 Fluff - light fraction from shredding

    A3130 Waste organic phosphorous compounds

    A3140 Waste non-halogenated organic solvents but excluding such wastes specified on list B

    A3150 Waste halogenated organic solvents

    A3160 Waste halogenated or unhalogenated non-aqueous distillation residues arising from organic solvent recovery operations

    A3170 Wastes arising from the production of aliphatic halogenated hydrocarbons (such as chloromethane, dichloro-ethane, vinyl chloride, vinylidene chloride, allyl chloride and epichlorhydrin)

    A3180 Wastes, substances and articles containing, consisting of or contaminated with polychlorinated biphenyl (PCB), polychlorinated terphenyl (PCT), polychlorinated naphthalene (PCN) or polybrominated biphenyl (PBB), or any other polybrominated analogues of these compounds, at a concentration level of 50 mg/kg or more(7)

    A3190 Waste tarry residues (excluding asphalt cements) arising from refining, distillation and any pyrolitic treatment of organic materials

    A4 Wastes which may contain either inorganic or organic constituents

    A4010 Wastes from the production, preparation and use of pharmaceutical products but excluding such wastes specified on list B

    A4020 Clinical and related wastes; that is wastes arising from medical, nursing, dental, veterinary, or similar practices, and wastes generated in hospitals or other facilities during the investigation or treatment of patients, or research projects

    A4030 Wastes from the production, formulation and use of biocides and phytopharmaceuticals, including waste pesticides and herbicides which are off-specification, outdated,(8) or unfit for their originally intended use

    A4040 Wastes from the manufacture, formulation and use of wood-preserving chemicals(9)

    A4050 Wastes that contain, consist of or are contaminated with any of the following:

  • Inorganic cyanides, excepting precious-metal-bearing residues in solid form containing traces of inorganic cyanides
  • Organic cyanides

    A4060 Waste oils/water, hydrocarbons/water mixtures, emulsions

    A4070 Wastes from the production, formulation and use of inks, dyes, pigments, paints, lacquers, varnish excluding any such waste specified on list B (note the related entry on list B B4010)

    A4080 Wastes of an explosive nature (but excluding such wastes specified on list B)

    A4090 Waste acidic or basic solutions, other than those specified in the corresponding entry on list B (note the related entry on list B B2120)

    A4100 Wastes from industrial pollution control devices for cleaning of industrial off-gases but excluding such wastes specified on list B

    A4110 Wastes that contain, consist of or are contaminated with any of the following:

  • Any congenor of polychlorinated dibenzo-furan
  • Any congenor of polychlorinated dibenzo-dioxin

    A4120 Wastes that contain, consist of or are contaminated with peroxides

    A4130 Waste packages and containers containing Annex I substances in concentrations sufficient to exhibit Annex III hazard characteristics

    A4140 Waste consisting of or containing off specification or outdated(10) chemicals corresponding to Annex I categories and exhibiting Annex III hazard characteristics

    A4150 Waste chemical substances arising from research and development or teaching activities which are not identified and/or are new and whose effects on human health and/or the environment are not known

    A4160 Spent activated carbon not included on list B (note the related entry on list B B2060)





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    Annex IX

    Annex IX
    LIST B


    Wastes contained in the Annex will not be wastes covered by Article 1, paragraph 1 (a), of this Convention unless they contain Annex I material to an extent causing them to exhibit an Annex III characteristic.

    B1 Metal and metal-bearing wastes

    B1010 Metal and metal-alloy wastes in metallic, non-dispersible form:


    Precious metals (gold, silver, the platinum group, but not mercury)

  • Iron and steel scrap

  • Copper scrap

  • Nickel scrap

  • Aluminium scrap

  • Zinc scrap

  • Tin scrap

  • Tungsten scrap

  • Molybdenum scrap

  • Tantalum scrap

  • Magnesium scrap

  • Cobalt scrap

  • Bismuth scrap

  • Titanium scrap

  • Zirconium scrap

  • Manganese scrap

  • Germanium scrap

  • Vanadium scrap

  • Scrap of hafnium, indium, niobium, rhenium and gallium

  • Thorium scrap

  • Rare earths scrap

    B1020 Clean, uncontaminated metal scrap, including alloys, in bulk finished form (sheet, plate, beams, rods, etc), of:

  • Antimony scrap

  • Beryllium scrap

  • Cadmium scrap

  • Lead scrap (but excluding lead-acid batteries)

  • Selenium scrap

  • Tellurium scrap

    B1030 Refractory metals containing residues

    B1040 Scrap assemblies from electrical power generation not contaminated with lubricating oil, PCB or PCT to an extent to render them hazardous

    B1050 Mixed non-ferrous metal, heavy fraction scrap, not containing Annex I materials in concentrations sufficient to exhibit Annex III characteristics(11)

    B1060 Waste selenium and tellurium in metallic elemental form including powder

    B1070 Waste of copper and copper alloys in dispersible form, unless they contain Annex I constituents to an extent that they exhibit Annex III characteristics

    B1080 Zinc ash and residues including zinc alloys residues in dispersible form unless containing Annex I constituents in concentration such as to exhibit Annex III characteristics or exhibiting hazard characteristic H4.3(12)

    B1090 Waste batteries conforming to a specification, excluding those made with lead, cadmium or mercury

    B1100 Metal-bearing wastes arising from melting, smelting and refining of metals:

  • Hard zinc spelter

  • Zinc-containing drosses:

    - Galvanizing slab zinc top dross (>90% Zn)

    - Galvanizing slab zinc bottom dross (>92% Zn)

    - Zinc die casting dross (>85% Zn)

    - Hot dip galvanizers slab zinc dross (batch)(>92% Zn)

    - Zinc skimmings

  • Aluminium skimmings (or skims) excluding salt slag

  • Slags from copper processing for further processing or refining not containing arsenic, lead or cadmium to an extend that they exhibit Annex III hazard characteristics

  • Wastes of refractory linings, including crucibles, originating from copper smelting

  • Slags from precious metals processing for further refining

  • Tantalum-bearing tin slags with less than 0.5% tin

    B1110 Electrical and electronic assemblies:

  • Electronic assemblies consisting only of metals or alloys

  • Waste electrical and electronic assemblies or scrap(13) (including printed circuit boards) not containing components such as accumulators and other batteries included on list A, mercury-switches, glass from cathode-ray tubes and other activated glass and PCB-capacitors, or not contaminated with Annex I constituents (e.g., cadmium, mercury, lead, polychlorinated biphenyl) or from which these have been removed, to an extent that they do not possess any of the characteristics contained in Annex III (note the related entry on list A A1180)

  • Electrical and electronic assemblies (including printed circuit boards, electronic components and wires) destined for direct reuse,(14) and not for recycling or final disposal(15)

    B1120 Spent catalysts excluding liquids used as catalysts, containing any of:

    Transition metals, excluding waste catalysts (spent catalysts, liquid used catalysts or other catalysts) on list A:

    Scandium
    Vanadium
    Manganese
    Cobalt
    Copper
    Yttrium
    Niobium
    Hafnium
    Tungsten
    Titanium
    Chromium
    Iron
    Nickel
    Zinc
    Zirconium
    Molybdenum
    Tantalum
    Rhenium

    Lanthanides (rare earth metals):

    Lanthanum
    Praseodymium
    Samarium
    Gadolinium
    Dysprosium
    Erbium
    Ytterbium
    Cerium
    Neody
    Europium
    Terbium
    Holmium
    Thulium
    Lutetium

    B1130 Cleaned spent precious-metal-bearing catalysts

    B1140 Precious-metal-bearing residues in solid form which contain traces of inorganic cyanides

    B1150 Precious metals and alloy wastes (gold, silver, the platinum group, but not mercury) in a dispersible, non-liquid form with appropriate packaging and labelling

    B1160 Precious-metal ash from the incineration of printed circuit boards (note the related entry on list A A1150)

    B1170 Precious-metal ash from the incineration of photographic film

    B1180 Waste photographic film containing silver halides and metallic silver

    B1190 Waste photographic paper containing silver halides and metallic silver

    B1200 Granulated slag arising from the manufacture of iron and steel

    B1210 Slag arising from the manufacture of iron and steel including slags as a source of TiO2 and vanadium

    B1220 Slag from zinc production, chemically stabilized, having a high iron content (above 20%) and processed according to industrial specifications (e.g., DIN 4301) mainly for construction

    B1230 Mill scaling arising from the manufacture of iron and steel

    B1240 Copper oxide mill-scale

    B2 Wastes containing principally inorganic constituents, which may contain metals and organic materials

    B2010 Wastes from mining operations in non-dispersible form:

  • Natural graphite waste
  • Slate waste, whether or not roughly trimmed or merely cut, by sawing or otherwise
  • Mica waste
  • Leucite, nepheline and nepheline syenite waste
  • Feldspar waste
  • Fluorspar waste
  • Silica wastes in solid form excluding those used in foundry operations

    B2020 Glass waste in non-dispersible form:

  • Cullet and other waste and scrap of glass except for glass from cathode-ray tubes and other activated glasses

    B2030 Ceramic wastes in non-dispersible form:

  • Cermet wastes and scrap (metal ceramic composites)
  • Ceramic based fibres not elsewhere specified or included

    B2040 Other wastes containing principally inorganic constituents:

  • Partially refined calcium sulphate produced from flue-gas desulphurization (FGD)
  • Waste gypsum wallboard or plasterboard arising from the demolition of buildings
  • Slag from copper production, chemically stabilized, having a high iron content (above 20%) and processed according to industrial specifications (e.g., DIN 4301 and DIN 8201) mainly for construction and abrasive applications
  • Sulphur in solid form
  • Limestone from the production of calcium cyanamide (having a pH less than 9)
  • Sodium, potassium, calcium chlorides
  • Carborundum (silicon carbide)
  • Broken concrete
  • Lithium-tantalum and lithium-niobium containing glass scraps

    B2050 Coal-fired power plant fly-ash, not included on list A (note the related entry on list A A2060)

    B2060 Spent activated carbon resulting from the treatment of potable water and processes of the food industry and vitamin production (note the related entry on list A A4160)

    B2070 Calcium fluoride sludge

    B2080 Waste gypsum arising from chemical industry processes not included on list A (note the related entry on list A A2040)

    B2090 Waste anode butts from steel or aluminium production made of petroleum coke or bitumen and cleaned to normal industry specifications (excluding anode butts from chlor alkali electrolyses and from metallurgical industry)

    B2100 Waste hydrates of aluminium and waste alumina and residues from alumina production excluding such materials used for gas cleaning, flocculation or filtration processes

    B2110 Bauxite residue ("red mud") (pH moderated to less than 11.5)

    B2120 Waste acidic or basic solutions with a pH greater than 2 and less than 11.5, which are not corrosive or otherwise hazardous (note the related entry on list A A4090)

    B3 Wastes containing principally organic constituents, which may contain metals and inorganic materials

    B3010 Solid plastic waste:

    The following plastic or mixed plastic materials, provided they are not mixed with other wastes and are prepared to a specification:

  • Scrap plastic of non-halogenated polymers and co-polymers, including but not limited to the following(16):
    - ethylene
    - styrene
    - polypropylene
    - polyethylene terephthalate
    - acrylonitrile
    - butadiene
    - polyacetals
    - polyamides
    - polybutylene terephthalate
    - polycarbonates
    - polyethers
    - polyphenylene sulphides
    - acrylic polymers
    - alkanes C10-C13 (plasticiser)
    - polyurethane (not containing CFCs)
    - polysiloxanes
    - polymethyl methacrylate
    - polyvinyl alcohol
    - polyvinyl butyral
    - polyvinyl acetate
  • Cured waste resins or condensation products including the following:
    - urea formaldehyde resins
    - phenol formaldehyde resins
    - melamine formaldehyde resins
    - epoxy resins
    - alkyd resins
    - polyamides
  • The following fluorinated polymer wastes(17)
    - perfluoroethylene/propylene (FEP)
    - perfluoroalkoxy alkane (PFA)
    - perfluoroalkoxy alkane (MFA)
    - polyvinylfluoride (PVF)
    - polyvinylidenefluoride (PVDF)

    B3020 Paper, paperboard and paper product wastes

    The following materials, provided they are not mixed with hazardous wastes:

    Waste and scrap of paper or paperboard of:

  • unbleached paper or paperboard or of corrugated paper or paperboard
  • other paper or paperboard, made mainly of bleached chemical pulp, not coloured in the mass
  • paper or paperboard made mainly of mechanical pulp (for example, newspapers, journals and similar printed matter)
  • other, including but not limited to 1) laminated paperboard 2) unsorted scrap.

    B3030 Textile wastes

    The following materials, provided they are not mixed with other wastes and are prepared to a specification:

  • Silk waste (including cocoons unsuitable for reeling, yarn waste and garnetted stock)
    - not carded or combed
    - other
  • Waste of wool or of fine or coarse animal hair, including yarn waste but excluding garnetted stock
    - noils of wool or of fine animal hair
    - other waste of wool or of fine animal hair
    - waste of coarse animal hair
  • Cotton waste (including yarn waste and garnetted stock)
    - yarn waste (including thread waste)
    - garnetted stock
    - other
  • Flax tow and waste
  • Tow and waste (including yarn waste and garnetted stock) of true hemp (Cannabis sativa L.)
  • Tow and waste (including yarn waste and garnetted stock) of jute and other textile bast fibres (excluding flax, true hemp and ramie)
  • Tow and waste (including yarn waste and garnetted stock) of sisal and other textile fibres of the genus Agave
  • Tow, noils and waste (including yarn waste and garnetted stock) of coconut
  • Tow, noils and waste (including yarn waste and garnetted stock) of abaca (Manila hemp or Musa textilis Nee)
  • Tow, noils and waste (including yarn waste and garnetted stock) of ramie and other vegetable textile fibres, not elsewhere specified or included
  • Waste (including noils, yarn waste and garnetted stock) of man-made fibres
    - of synthetic fibres
    - of artificial fibres
  • Worn clothing and other worn textile articles
  • Used rags, scrap twine, cordage, rope and cables and worn out articles of twine, cordage, rope or cables of textile materials
    - sorted
    - other

    B3040 Rubber wastes

    The following materials, provided they are not mixed with other wastes:

  • Waste and scrap of hard rubber (e.g., ebonite)
  • Other rubber wastes (excluding such wastes specified elsewhere)

    B3050 Untreated cork and wood waste:

  • Wood waste and scrap, whether or not agglomerated in logs, briquettes, pellets or similar forms
  • Cork waste: crushed, granulated or ground cork

    B3060 Wastes arising from agro-food industries provided it is not infectious:

  • Wine lees
  • Dried and sterilized vegetable waste, residues and byproducts, whether or not in the form of pellets, of a kind used in animal feeding, not elsewhere specified or included
  • Degras: residues resulting from the treatment of fatty substances or animal or vegetable waxes
  • Waste of bones and horn-cores, unworked, defatted, simply prepared (but not cut to shape), treated with acid or degelatinised
  • Fish waste
  • Cocoa shells, husks, skins and other cocoa waste
  • Other wastes from the agro-food industry excluding by-products which meet national and international requirements and standards for human or animal consumption

    B3070 The following wastes:

  • Waste of human hair
  • Waste straw
  • Deactivated fungus mycelium from penicillin production to be used as animal feed

    B3080 Waste parings and scrap of rubber

    B3090 Paring and other wastes of leather or of composition leather not suitable for the manufacture of leather articles, excluding leather sludges, not containing hexavalent chromium compounds and biocides (note the related entry on list A A3100)

    B3100 Leather dust, ash, sludges or flours not containing hexavalent chromium compounds or biocides (note the related entry on list A A3090)

    B3110 Fellmongery wastes not containing hexavalent chromium compounds or biocides or infectious substances (note the related entry on list A A3110)

    B3120 Wastes consisting of food dyes

    B3130 Waste polymer ethers and waste non-hazardous monomer ethers incapable of forming peroxides

    B3140 Waste pneumatic tyres, excluding those destined for Annex IVA operations

    B4 Wastes which may contain either inorganic or organic constituents

    B4010 Wastes consisting mainly of water-based/latex paints, inks and hardened varnishes not containing organic solvents, heavy metals or biocides to an extent to render them hazardous (note the related entry on list A A4070)

    B4020 Wastes from production, formulation and use of resins, latex, plasticizers, glues/adhesives, not listed on list A, free of solvents and other contaminants to an extent that they do not exhibit Annex III characteristics, e.g., water-based, or glues based on casein starch, dextrin, cellulose ethers, polyvinyl alcohols (note the related entry on list A A3050)

    B4030 Used single-use cameras, with batteries not included on list A





    Footnotes

    1. Characterization of wastes:

    2. Corresponds to the hazard classification system included in the United Nations Recommendations on the Transport of Dangerous Goods (ST/SG/AC.10/1Rev.5, United Nations, New York, 1988)

    3. Decision III/1 (AMENDMENT TO THE BASEL CONVENTION)
    The Conference,
    Decides to adopt the following amendment to the Convention:

  • Insert new preambular paragraph 7 bis: Recognizing that transboundary movements of hazardous wastes, especially to developing countries, have a high risk of not constituting an environmentally sound management of hazardous wastes as required by this Convention;
    Insert new Article 4A:
  • 1. Each Party listed in Annex VII shall prohibit all transboundary movements of hazardous wastes which are destined for operations according to Annex IV A, to States not listed in Annex VII.
  • 2. Each Party listed in Annex VII shall phase out by 31 December 1997, and prohibit as of that date, all transboundary movements of hazardous wastes under Article 1(I)(a) of the Convention which are destined for operations according to Annex IV B to States not listed in Annex VII. Such transboundary movement shall not be prohibited unless the wastes in question are characterised as hazardous under the Convention. Annex VII .... Parties and other States which are members of OECD, EC, Liechtenstein"

    4. Note that mirror entry on List B (B1160) does not specify exceptions.

    5. This entry does not include scrap assemblies from electric power generation.

    6. PCBs are at a concentration level of 50 mg/kg or more.

    7. The 50 mg/kg level is considered to be an internationally practical level for all wastes. However, many individual countries have established lower regulatory levels (e.g., 20 mg/kg) for specific wastes.

    8. "Outdated" means unused within the period recommended by the manufacturer.

    9. This entry does not include wood treated with wood preserving chemicals.

    10. "Outdated" means unused within the period recommended by the manufacturer.

    11. Note that even where low level contamination with Annex I materials initially exists, subsequent processes, including recycling processes, may result in separated fractions containing significantly enhanced concentrations of those Annex I materials.

    12. The status of zinc ash is currently under review and there is a recommendation with the United Nations Conference on Trade and Development (UNCTAD) that zinc ashes should not be dangerous goods.

    13. This entry does not include scrap from electrical power generation.

    14. Reuse can include repair, refurbishment or upgrading, but not major reassembly.

    15. In some countries these materials destined for direct re-use are not considered wastes.

    16. It is understood that such scraps are completely polymerized.

    17. - Post-consumer wastes are excluded from this entry
    - Wastes shall not be mixed
    - Problems arising from open-burning practices to be considered.





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