Commonwealth Numbered Regulations - Explanatory Statements

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HAZARDOUS WASTE (REGULATION OF EXPORTS AND IMPORTS) (OECD DECISION) AMENDMENT REGULATIONS 2004 (NO. 1) 2004 NO. 73

Section 62 of the Hazardous Waste (Regulation of Exports and Imports) Act 1989 (the Act) provides that the Governor-General may make regulations, not inconsistent with the Act, prescribing matters required or permitted by the Act to be prescribed, or necessary or convenient to be prescribed for carrying out or giving effect to the Act.

The purpose of the Regulations is to update Australia's regulatory scheme for the control of transboundary movements of hazardous wastes, by giving effect to changes in the relevant multilateral arrangements.

Subsection 3(2) of the Act states that the Act aims to give effect to the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal (the Basel Convention); and to give effect to agreements and arrangements of the kind mentioned in Article 11 of the Basel Convention.

Section 4C of the Act provides that the Minister must declare in writing that such an agreement or arrangement is an Article 11 arrangement for the purposes of the Act, and arrange for the declaration to be published in the Gazette.

Section 13C of the Act provides that regulations may give effect to an Article 11 arrangement (as declared, pursuant to section 4C of the Act). Subsection 13C(2) provides that Regulations made to give effect to an Article 11 arrangement must not be expressed to take effect before the day on which an arrangement comes into effect for Australia.

The Hazardous Waste (Regulation of Exports and Imports) (OECD Decision) Regulations 1996 (the Principal Regulations), among other things, implement the OECD's control system (set out in OECD Decision C(92)39/FINAL) for transfrontier movements between OECD countries of hazardous wastes destined for recovery operations. The OECD Decision operates on a system of prior notification by the country of export to the country of import, and written or tacit consent from the latter. Imports and exports of hazardous wastes under the Principal Regulations require permit approval, with applicants required to meet specified requirements relating to, for example, insurance and contractual arrangements.

In April 2000, Australia entered into multilateral negotiations to amend OECD Council Decision C(92)39/FINAL concerning the control of transfrontier movements of wastes destined for recovery operations. The Government's objectives in participating in the negotiations were to secure a control system for transboundary movements of wastes, destined for recovery within the OECD, that is consistent with the global system established in the Basel Convention, provides certainty and simplicity to industry and minimises administrative costs to the Commonwealth. Leading up to OECD Council Decision C(2001)107/FINAL, Australia argued in favour of the OECD adopting Annexes VIII and IX of the Basel Convention in place of the existing red, amber and green lists. Australia's preferred option was not agreed to but our fall-back position was adopted. This was partial adoption of Annexes VIII and IX, which retains some of the disadvantages of the status quo, but provided a means of securing a consensus decision.

The Regulations give effect to OECD Council Decision C(2001)107/FINAL, which was adopted by OECD Council on 14 June 2001 and came into effect for Australia on the same day. It was declared to be an Article 11 arrangement for the purposes of the Act on 19 December 2003. Section 13D of the Act prescribes the contents of a set of Article 11 Regulations. The Decision improves the existing control system for movements of hazardous wastes from one OECD country for recycling operations in another OECD country. The Decision harmonises the OECD lists of wastes with Annexes VIII and IX to the Basel Convention and amendments to Annexes VIII and IX will be automatically incorporated into the Decision from time to time.

Decision C(2001)107/FINAL continues an arrangement made under Article 11.2 of the Basel Convention, which exempts pre-existing control systems from the provisions of the Convention provided they are compatible with the Convention.

The Regulations were developed in consultation with the Hazardous Waste Act Policy Reference Group, on which various industry and community groups, and relevant Commonwealth, State and Territory Departments are represented.

The Act specifies no conditions that had to be met before the power to make the Regulations was exercised.

Details of the Regulations are attached. A Regulation Impact Statement is at Attachment A. A copy of the Declaration pursuant to section 4C of the Act is at Attachment B.

The Regulations commenced on the date of their notification in the Gazette.

ATTACHMENT

Details of the Hazardous Waste (Regulation of Exports and Imports) (OECD Decision) Amendment Regulations 2004 (No. 1)

Regulation 1 provides that the Regulations are the Hazardous Waste (Regulation of Exports and Imports) (OECD Decision) Amendment Regulations 2004 (No. 1).

Regulation 2 provides that the Regulations commenced on the date of their notification in the Gazette.

Regulation 3 provides for the Schedule to the amending Regulations to amend the principal regulations, the Hazardous Waste (Regulation of Exports and Imports) (OECD Decision) Regulations 1996.

Unless otherwise indicated, the amendments would revise references and terminology to align the Principal Regulations with OECD Decision C(2001)107/FINAL, to be inserted as Schedule 1, under Schedule 1 and 2, below:

Subregulation 4(1) includes a number of amendments:

Item 1 substitutes the existing definition of "amber control procedure".

Item 2 omits the definition of an approved recovery facility.

Item 3 substitutes the existing definition of "EPIP Act" with a definition of "EPBC Act", to reflect recent legislative amendments.

Item 4 inserts definitions of "green control procedure" and "hazardous wastes".

Item 5 substitutes the existing definitions of "OECD Decision" and "pre-consented recovery facility".

Item 6 substitutes the existing definition of "recovery operation".

Item 7 omits the definition of "red list hazardous waste".

Item 8 inserts a definition of "transboundary movement".

Item 9 inserts a definition of "wastes".

Regulation 6 substitutes a new regulation, which prescribes control procedures of wastes that require transboundary movement.

Regulation 7 substitutes a new regulation, which prescribes procedures for other wastes including wastes not listed in Appendix 3 or Appendix 4 of the OECD Decision.

Regulation 8 substitutes a new regulation, which prescribes procedures for mixtures of wastes.

Regulation 8A substitutes a new regulation, which prescribes procedures for transboundary movement of wastes for laboratory analysis.

Subregulation 9(1) substitutes a new regulation, which defines wastes for which a person may apply for a special export permit.

Subregulation 15(1) omit "If, within the period mentioned in subregulation 14(1)", (which is within 40 days of receiving an application), and inserts "If, within 35 days of receiving an application", in subregulation 15(1). Under the previous subregulation 15(1), if the final consent was received on the 40^th day, the Minister must grant or refuse the permit on the same day. Under the amendments, if the final consent is received on or after the 35^th day, the Minister must grant or refuse the permit within 5 working days.

Subregulation 15(1)(b) omits the word "special" because it is superfluous and is not used in other relevant subregulations.

Subregulation 16(1)(e) substitutes a new paragraph which references the clause in Chapter II of Section D(1)(a) of OECD Decision C(2001)107/FINAL which refers to contracts.

Subregulation 16(5) and 16(b) substitutes existing regulations with new subregulations which prescribes the circumstances under which consent is taken to have been given by an importing country.

Subregulation 17(2) substitutes a new subregulation which prescribes the period for which special export permits have effect, that is not longer than three years for a pre-consented recovery facility, or not longer than one year in any other case.

Subregulation 21(5) substitutes a new subregulation which prescribes the procedures that apply to the granting of a special import permit and delete the existing reference to "hazardous waste other than amber list hazardous waste".

Subregulation 22(1)(a) substitutes a new paragraph which references the terms "waste subject to the amber control procedure" and "pre-consented recovery facility".

Subregulation 23(3)(d) substitutes a new paragraph which references the clause in Chapter II of Section D(1)(a) of OECD Decision C(2001)107/FINAL which refers to contracts.

Subregulation 24(2) substitutes a new subregulation which prescribes the period for which special import permits may have effect, that is not longer than three years for a pre-consented recovery facility, or not longer than one year in any other case.

Subregulation 28(5) substitutes a new subregulation which prescribes the procedures that apply to the granting of a special transit permit and delete the existing reference to "hazardous waste other than amber list hazardous waste".

Subregulation 30(2) substitutes a new subregulation which prescribes the period for which special transit permits may have effect, that is not longer than three years for a pre-consented recovery facility, or not longer than one year in any other case.

Regulation 42 substitutes a new regulation which references the terms "waste subject to the amber control procedure" and "pre-consented recovery facility", and provide that the Minister may give a pre-consent for a specified period of time and revoke a pre-consent at any time.

Subregulations 43(a), 43(b), and 43(c) substitutes new paragraphs which omit references to red list hazardous waste and inserts references to revoking a pre-consent.

Schedules 1 and 2 substitutes existing Schedules 1 and 2 to the Principal Regulations with a new Schedule 1 which provides the full text of the revision of the decision of the Council C(92)39/FINAL on the control of transboundary movements of wastes destined for recovery operations.

Subregulations 15(5A), 15(5A) note, 21(3), 21(3) note, 22(2) and (3), 22(3) note, 28(3), 28(3) note, 40(4A), and 40(4A) note are amended by omitting each mention of the EPIP Act (the Environment Protection (Impact of Proposals) Act 1974) and inserting EPBC Act (the Environment Protection and Biodiversity Conservation Act 1999).

ATTACHMENT A

PROBLEM

1.       In April 2000, Australia entered into multilateral negotiations to amend OECD Council Decision C(92)39/FINAL concerning the control of transfrontier movements of wastes destined for recovery operations. Prior to pursuing the negotiations, a Regulation Impact Statement (RIS) was prepared in accordance with the Government's requirements. A copy is at Annex 1.

OBJECTIVES

2.       The Government's objectives in participating in the negotiations were to secure a control system for transboundary movements of wastes, destined for recovery within the OECD, that is consistent with the global system established in the Basel Convention, provides certainty and simplicity to industry and minimises administrative costs to the Commonwealth.

OPTIONS

3.       The two options canvassed in the negotiations were full adoption of Annexes VIII and IX of the Basel Convention as they stood, or partial adoption of the Annexes.

IMPACT ANALYSIS

4.       A detailed impact analysis of the options was undertaken (see Annex 1).

5.       Australia argued in favour of the OECD adopting Annexes VIII and IX of the Convention in place of the existing red, amber and green lists. This option would provide certainty and simplicity to industry and minimise administrative costs to the Commonwealth. There would also be some benefits to importers of aluminium ashes and residues from OECD countries, who would no longer require a permit for such imports.

6.       Negotiations were concluded at the 51^st meeting of the Working Group on Waste Management Policy (WGWMP), in October 2000, which agreed and adopted amendments to Council Act C(92)39/FINAL. Australia's recommended option, that the OECD adopt Annexes VIII and IX of the Basel Convention as they stood, was not agreed but our fall-back position was adopted. This was partial adoption of Annexes VIII and IX, which retains some of the disadvantages of the status quo, but provided a means of securing a consensus decision. The main consequence of this in practice is that movements of electronic scrap destined for recovery operations will continue to be subject to Green tier controls within the OECD.

7.       The amended Decision was adopted by OECD Council on 14 June 2001 as Decision C(2001)107, but without a technical appendix that included the forms for the notification of movement documents. The technical appendix was subsequently adopted by Council on 28 February 2002 and the full Decision was finally adopted by Council 21 May 2002, as OECD Council Decision C(2001)107/FINAL. It was on that date that a full legal text of the Decision became available and a copy is at Annex 2.

8.       Implementing the requirements of OECD Council Decision C(2001)107/FINAL in amended regulations requires a number of consequent changes to the Hazardous Waste (Regulation of Exports and Imports) (OECD Decision) Regulations 1996. Table 1 describes each amendment.

Table 1.       Explanatory Table - Hazardous Waste (Regulation of Exports and Imports) (OECD Decision) Amendment Regulations.

Existing Regulation	Change and description	Rationale for change
4(1)	Substitutes amber control procedure in place of amber list waste	The new Decision contains a list of wastes subject to the amber control procedure, not an amber list of waste
4(1)	Omits the definition of an approved recovery facility in Australia	To replace approved with pre-consented
4(1)	Omits the definition of an approved recovery facility outside Australia	To replace approved with pre-consented
4(1)	Substitutes the Environment Protection and Biodiversity Conservation Act 1999	Replaces the reference to the old Environment Protection (Impact of Proposals) Act 1974
4(1)	Inserts definitions of green control procedure and hazardous wastes	The new Decision contains a list of wastes subject to the green control procedure, not a green list of waste. The definition of hazardous waste is new because we no longer cite the OECD Decision of 1988.
4(1)	Substitutes definitions of the OECD Decision and a pre-consented recovery facilities	Updates the definition of the OECD Decision and replaces approved with pre-consented
4(1)	Substitutes definition of recovery operation	The definition of a recovery operation is new because we no longer cite the OECD Decision of 1988.
4(1)	Omits definition of red list hazardous waste	A separate red list has been deleted and all wastes are now subject to either amber or green control procedures
4(1)	Inserts definition of transboundary movement	Definition not included in old regulations
4(1)	Inserts definition of wastes	The definition of wastes is new because we no longer cite the OECD Decision of 1988.
6	Substitutes control procedures to allow transboundary movement	The new Decision contains a list of wastes subject to the amber control procedure, not an amber list of waste
7	Wastes not listed in the OECD Decision and having a hazardous characteristic are subject to the amber control procedure	Unlisted wastes were subject to red tier controls in the old Decision
8	Substitutes mixtures of wastes	The new Decision clarifies the status of mixtures of wastes subject to the amber and green control procedures. More than a trivial amount of amber means amber control procedure.
8A	Exempts transboundary movement of wastes for laboratory analysis provided the Minister confirms exemption within 30 days	Countries may exempt up to 25 kilograms of waste for laboratory analysis to assess physical or chemical characteristics, or to determine suitability for recovery operations
9(1)	Substitutes amber control procedure in place of amber list waste	The new Decision contains a list of wastes subject to the amber control procedure, not an amber list of waste
15(1)	Automatic extension begins after 35 days, not 40	At present the Minister may have to make a decision within hours if a consent is received on the 40th day
15(1)(b)	Omits the word 'special'	Inclusion of the word 'special' is superfluous
16(1)(e)	Substitutes the requirements of OECD Decision C(2001)107/FINAL	References the new Decision in place of the old one
16(5)	Omits 'amber list hazardous waste' by inserting 'waste subject to the amber control procedure'	The new Decision contains a list of wastes subject to the amber control procedure, not an amber list of waste
16(5)(b)	Omits 'an approved recovery facility' by inserting 'a pre-consented recovery facility'	To replace approved with pre-consented
17(2)	Substitutes the commencement and duration of special export permits for one and three years	Permits to pre-consented facilities may be granted for up to three years. All others for up to one year.
21(5)	Substitutes amber control procedure in place of amber list waste	The new Decision contains a list of wastes subject to the amber control procedure, not an amber list of waste
22(1)(a)	Substitutes amber control procedure in place of amber list waste	The new Decision contains a list of wastes subject to the amber control procedure, not an amber list of waste
22(1)(a)	Omits 'an approved recovery facility' by inserting 'a pre-consented recovery facility'	To replace approved with pre-consented
23(3)(d)	Substitutes the requirements of OECD Decision C(2001)107/FINAL	References the new Decision in place of the old one
24(2)	Substitutes the commencement and duration of special import permits for one and three years	Permits to pre-consented facilities may be granted for up to three years. All others for up to one year.
28(5)	Substitutes by removing reference to 'hazardous waste other than amber list hazardous waste'	Removes a reference to red list waste
30(2)	Substitutes the commencement and duration of special transit permits for one and three years	Permits to pre-consented facilities may be granted for up to three years. All others for up to one year.
42	Omits 'an approved recovery facility' by inserting 'a pre-consented recovery facility'	To replace approved with pre-consented, introduce a specified period of time and provide for revocation
43(a), (b) & (c)	Substitutes provisions for review of decisions to include pre-consented recovery facility and 3 year permits	To replace approved with pre-consented
15(5A), 21(3), 22(2) and (3), 28(3), and 40(4A)	Omits each mention of EPIP Act by inserting EPBC Act	Replaces references to the old Environment Protection (Impact of Proposals) Act 1974
Schedules 1 and 2	Substitutes C(2001)107/FINAL	Replaces C(92)39/FINAL

CONSULTATION

9.       The Commonwealth undertakes consultation with Australian industry, environment groups and State and Territory governments through the Hazardous Waste Act Policy Reference Group, which is convened once or twice each year by the Department of the Environment and Heritage ("DEH").

10.       After the OECD meeting in April 2000, stakeholders' views were sought on the draft revision of C(92)39/FINAL at the 27^th meeting of the PRG, on Thursday 22 June 2000. Stakeholders made no comment apart from noting the new waste lists in Appendix 3 and Appendix 4 of the draft amended decision.

11.       After the WGWMP adopted the text of the new Council Decision in October 2000, stakeholders' views were sought at the 29^th meeting of the PRG, on Thursday 23 November 2000. The minutes record that:

"Paragraph 3 of the agenda paper summarised the instructions agreed by the OECD Environment Policy Committee (EPOC) for amendment of Decision C(92)39/FINAL. On page 4, the Preamble records the desire of Member countries to continue C(92)39/FINAL as an arrangement under Article 11.2 of the Basel Convention. Page 7 contains the new definition of wastes, which for the first time separates wastes destined for (final) disposal from those destined for recovery.

"A number of amendments were agreed to the Amber tier control procedures. For example, up to 25 kg of material explicitly destined for laboratory analysis to assess its physical or chemical characteristics or to determine its suitability for recovery operations may be exempted from controls. Members of the Group noted the importance of having an effective procedure in place for testing materials and the need for arrangements to facilitate the testing. Many samples of varying sizes and weights were sent overseas for testing by Australian industry and in some instances, considerable problems had been encountered, particularly to the United States. Group members requested an additional two weeks to make comments on this issue.

"Under a draft of the amended Decision, competent authorities who issued written consents would have had to do so within thirty days. This would have been difficult for Australia because we usually have to wait more than thirty days for consent from countries of import or transit. We resolved this by inserting the words 'do not object', so that issuing an objection can effectively stop the clock until the necessary consents are received. Written consent will continue to remain valid for up to one year from the date of issuance, but shipments to pre-consented recovery facilities may be granted consent for up to three years.

"A significant amendment was made to the OECD Amber List when aluminium ashes and residues were deleted from it. This will have a significant impact for Australia when it comes into force because imports and exports of aluminium dross and residues will no longer require a permit when shipped within the OECD. This change will align the OECD controls with the Basel Convention. The amended Amber List also contains an Australian footnote that clarifies the hazard status of spent potlinings from aluminium smelting.

"The amended Council Decision is expected to be adopted by the OECD Council early in 2001 and to be implemented by amendments to the Australian OECD Regulations soon afterwards."

12.       At the 31^st meeting of the PRG, on Friday 9 November 2001, the minutes record that: "A new OECD Council Decision had been adopted on 14 June 2001 and Environment Australia was working on new Regulations to implement it."

13.       At the 32^nd meeting of the PRG, on Thursday 21 February 2002, the minutes record that "Environment Australia was resolving a number of issues with the Office of Legal Drafting."

14.       At the 33^rd meeting of the PRG, on Friday 25 October 2002, Members were advised that DEH was still working on amendments to the Australian OECD Decision Regulations.

15.       Throughout this consultation process, stakeholders did not raise any substantive concerns.

16.       In August 2003, DEH consulted directly with stakeholders including current applicants for permits and permit holders. The following comments were received:

§       New South Wales Environment Protection Authority. "The EPA confirms its support for the proposed implementation of the requirements of the OECD Council Decision C(2001)107/FINAL and endorses the RIS of the amendment regulations to enact the decision. The EPA would also encourage EA to specifically seek feedback from the aluminium and electronic industry sectors during the Hazardous Waste Act Policy Reference Group meeting on 19 September 2003".

§       Weston Aluminium Pty Limited. "We understand that many countries, such as New Zealand, have removed control and the need for licences for movement of Waste between OECD countries (from OECD to OECD). Why has this not occurred as yet in Australia? We have been promised it and yet we have been waiting for more than a year with no action. If this is done, then there would be no need for a permit for waste from NZ or any OECD counties to Australia. (Currently, you do not need a permit from Developing countries to OECD). That only leaves the need from OECD to Developing countries, which is understandable because that is what the Basel Convention intended - To protect developing countries from waste being "dumped" on them as exports by developing countries."

"We look forward to hearing the results of feedback about this proposal and hope that the need for special import permits for imports from OECD countries into Australia, NZ in particular, may in fact be removed."

17.       At the 34^th meeting of the PRG, on Friday 19 September 2003, the minutes record that: "Peter Netchaef asked whether there were any moves to amend the Customs Codes relevant to the OECD Decision Regulations. Mark Hyman replied that there were not: amendments to the Customs Codes had been proposed through the Basel Secretariat but this process took several years. At the request of several members, the Secretariat agreed to provide an additional opportunity to comment on the Statement."

18.       After the 34^th meeting of the PRG the following comment was received:

Mr David Sinclair. "I have some reservations about the regulation impact statement. My views are as follows: The statement provides an accurate description of the process including Australia's position and why it was necessary to adopt the fall back position to achieve consensus. It also provides a good description of the consultation process with the PRG, some of the states and individual industries. I do not think the paper provides enough detail on the impacts. I would have liked to have seen a table giving detail of the areas where the proposed regulation differed from the existing regulation and an assessment of the impact (positive and negative) of those differences. This would inform the view of key stakeholders on what changes are proposed and the impact on their business activities. An example which is in the text is the exemption which applies to laboratory samples, which from my perspective is a positive impact. Harmonising with Basel may be a positive or negative impact depending on your view on Basel and on the avoidance of duplication. I am sure that there are other examples where the impacts should be assessed."

19.       At the 35^th meeting of the PRG, on Friday 13 February 2003, the explanatory table requested by Mr Sinclair, was given to the Group and the draft minutes record that "Mr Sinclair noted that the table goes a fair way to what was asked for and assesses impacts". No other comments were received. (The table has been reproduced under the heading Impact Analysis.)

CONCLUSION

20.       Implementing the requirements of OECD Council Decision C(2001)107/FINAL in amended regulations would ensure that Australia meets its international obligations. It would improve the harmonisation between the OECD and Basel lists of wastes and introduce potentially useful options such as the power to exempt small transboundary boundary movements of wastes from the Amber control procedure if they are explicitly destined for laboratory analysis, and to grant permits for up to three years for waste movements that are destined for pre-consented recovery facilities.

IMPLEMENTATION

21.       OECD Council Decision C(2001)107/FINAL will be adopted by an amendment to the Hazardous Waste (Regulation of Exports and Imports) (OECD Decision) Regulations. DEH and the Department of Foreign Affairs and Trade will monitor the impact of the amendments to the OECD Decision and the Act on an ongoing basis. In addition, DEH has in place consultative arrangements to obtain regular feedback from industry and environment group stakeholders on the effectiveness of the Convention, the OECD Decision and the Act.

REVIEW

22.       Section 61 of the Act requires the Minister to, as soon as practicable after the end of each financial year, prepare a report on the operation of the Act during that year; and cause a copy of the report to be laid before each House of the Parliament within 15 sitting days of that House after completion of the report. Consequently, the operation of the OECD Decision Regulations would form part of the annual report to the Commonwealth Parliament.

Problem

1.       In February 1998 the Parties to the Basel Convention adopted two new Annexes to the Convention (Annexes VIII and IX). The new Annexes contain detailed lists of wastes that are explicitly subject (Annex VIII) or not subject (Annex IX) to the Convention. The new Annexes were based on the red, amber and green lists of wastes that were originally adopted by the OECD in 1992 and the Basel and OECD lists, whilst not identical, are very similar.

2.       In October 1998 the OECD Working Group on Waste Management Policy (WGWMP), recognising that duplication of the two sets of lists was largely unnecessary, decided to amend OECD Decision C(92)39/FINAL by attaching Annexes VIII and IX as they stood, followed by further harmonisation of the OECD lists and Basel lists through applications to amend Annexes I, VIII and IX of the Basel Convention. The amber procedure would be used for Annex VIII wastes and the green procedure for Annex IX wastes. In exceptional cases the amber procedure for could be used for Annex IX wastes and the green procedure for Annex VIII wastes.

3.       In February 1999 the OECD Environment Policy Committee (EPOC) endorsed the proposal that Basel Annexes VIII and IX would replace the OECD red, amber and green lists. The green procedure would be applied to Annex IX wastes and the amber procedure to Annex VIII wastes. The present Review Mechanism would be eliminated but it would be possible to re-assign wastes to the other list in exceptional cases.

4.       At the next WGWMP meeting, in November 1999, it became obvious that there were difficulties concerning the relations between the Basel and OECD lists. All European Union Member States and the Commission supported the direct adoption of the Basel lists into the OECD control system, unless there were a consensus of Member countries to apply a different level of control in exceptional cases. If no consensus could be reached in these exceptional cases, Member countries could "opt out" of direct adoption of the Basel lists on a case-by-case basis. Other countries, however, led by the United States, supported the direct adoption of the Basel lists only in those cases where no Member country objected. Where such an objection is made, the Basel listing would not apply until Council so decided, and in these cases decisions on the level of control to be applied would be based on the existing OECD risk-based criteria.

5.       Debate on these issues will resume at the 50^th meeting of the WGWMP to be held in April 2000. The OECD Secretariat has proposed a way forward that consists of replacing the OECD red, amber and green lists with Annexes VIII and IX to the Basel Convention in future drafts of OECD Decision C(92)39. While the amendment of C(92)39 is under preparation, OECD Member countries would continue submitting applications to the Basel Review Mechanism to reduce the number of differences between the Basel lists and the green/amber/red lists. Exceptional cases might entail OECD Member countries using the adjustment procedure to apply a different level of control within the OECD Control System only. It has been noted, however, that the OECD System still provides the possibility for a Member country to individually control a waste differently from the other Member countries. Decision C(92)39/FINAL will remain in force and valid until the amended Decision has formally been adopted by the Council and the present one repealed.

6.       Australia is likely to align with European Union Member States and the Commission in supporting the direct adoption of the Basel lists into the OECD control system. There are several reasons for this. One is that different lists mean that we treat different countries in different ways and we wish to keep such differences to a minimum. Another is that different lists introduce complexity into a control system that we want to keep simple, particularly when wastes destined for OECD countries transit through non-OECD countries. A third reason is that we wish to avoid the costs associated with maintaining different sets of lists.

7.       Adoption of the Basel lists into the OECD control system will directly affect business because the existing lists are different. The OECD amber and red lists of wastes currently consist of 88 entries in eight categories. Two entries have been added since 1992 and one has been modified. Some 17 out of the existing 80 entries are not included in Annexes I or VIII of the Basel Convention, and 11 of the 16 are not even included in the OECD's lists of potentially hazardous waste types or constituents (which implies that they are not controlled in any OECD country's national list of wastes). If the amber list were replaced by Annex VIII of the Basel Convention, these 17 wastes would no longer be controlled inside the OECD. They are not controlled outside the OECD. Annex VIII contains five entries which are not on the amber list: these are all hazardous wastes under the Basel Convention and OECD member countries are legally bound to control them through OECD Decision C(88)90 (see Attachment A "Harmonising the OECD green, amber and red lists of wastes with Annexes VIII and IX of the Basel Convention: an Australian perspective").

8.       The OECD green list currently consists of 141 entries in 15 categories. Thirteen entries have been deleted since 1992, four have been modified and four have been added. If the green list were replaced by Annex IX of the Basel Convention, the only significant implication is that fluorinated polymer wastes and chlorinated polymer and copolymer wastes would be removed to list C, the list of wastes whose status is yet to be decided. This is unlikely to result in any changes in practice: wastes on list C are subject to the decisions of national competent authorities and OECD countries are unlikely to change their current national positions.

Objectives

9.       The objectives are to secure a control system for transboundary movements of wastes, destined for recovery within the OECD, that is consistent with the global system established in the Basel Convention, provides certainty and simplicity to industry and minimises administrative costs to the Commonwealth.

10.       Adoption of Annexes VIII and IX to the Basel Convention would eliminate the need for countries that are both Parties to the Basel Convention and members of the OECD to subscribe to two sets of lists. The current use of Annexes VIII and IX and the OECD amber and green lists create some confusion amongst industry as to what waste is and is not controlled. Adoption would reduce the need for time-consuming consultation by industry with Environment Australia and the Hazardous Waste Technical Group. It would also reduce the risk that certain wastes, controlled under Basel but not under OECD, would illegally transit non-OECD countries.

11.       Adoption of Annexes VIII and IX in place of the existing OECD amber and green lists would remove the need for the Review Mechanism of the OECD, and all functions of that body could be carried out by the Review Mechanism of the Basel Convention. Funding for the OECD Review Mechanism has already been removed from the OECD's main budget and the work is currently funded only on a voluntary basis.

Options

12.       The OECD has three options: the status quo, partial adoption of Annexes VIII and IX, and full adoption of the Annexes. Maintaining the status quo means that some wastes would be controlled differently inside and outside the OECD, the control system would be more complex than it need be, and resources would have to be found to continue to support a Review Mechanism for adjusting the lists.

13.       Partial adoption of Annexes VIII and IX would retain some of the disadvantages of the status quo, but may provide a means of securing a consensus decision.

14.       Full adoption of Annexes VIII and IX would realise the objectives of consistency with the global system established in the Basel Convention, certainty and simplicity to industry and minimal administrative costs to the Commonwealth.

Impact analysis

15.       A detailed analysis of the combined red and amber lists is at Attachment A. The various entries may be assigned to three categories: significant differences between the Basel and OECD lists are in Appendix 1 of the Attachment A, non-significant differences (the largest category) are in Appendix 2, and no differences are in Appendix 3. Detailed analysis of the green list appears to be unnecessary because no significant differences have been identified.

16.       Only two waste streams listed in Appendix 1 are known to be exported from or imported to Australia. These waste streams are aluminium ashes and residues and waste electrical and electronic assemblies or scrap.

17.       Aluminium wastes in the form of ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake is currently regulated under the OECD control system and is assigned to amber list entry AA050. Adoption of Annexes VIII and IX to the Basel Convention would mean that these aluminium wastes would not appear on any list and there would be no requirement to control transboundary movements between OECD member countries.

18.       Since the amended Hazardous Waste Act entered into force in December 1996, four applications have been received to import aluminium ashes and residues (Table 1). Three permits were granted and one was refused. If the amber list were replaced by Annex VIII, these imports would not have been subject to controls. In considering the impact of removing these controls, the following factors are relevant:

(a)       Aluminium ashes and residues can be imported, free of controls, from any country except an OECD member country;

(b)       The recovery facilities that process the waste are permitted under New South Wales and Victorian law to carry out recovery operations on waste of that type; and

(c)       One application was refused because processing of imported dross at the particular facility would have been contrary to a condition imposed under New South Wales planning law. There was no other reason for the refusal and removal of controls under the Hazardous Waste Act would not have any effect on the planning condition.

19.       Exports and imports of waste electrical and electronic assemblies or scrap require a permit under the Hazardous Waste Act unless they do not contain hazardous components such as nickel-cadmium batteries, mercury switches and glass from cathode-ray tubes. They must not be contaminated with constituents listed in Annex I of the Basel Convention such as cadmium, mercury, lead, or polychlorinated biphenyl. Waste or scrap consisting of printed circuit boards (even if accompanied by other waste or scrap) requires a permit unless:

(a)       the boards contain less than 1% (w/w) of lead and leach less than 1 mg/L of lead in a TCLP leachate test (and are free of other hazardous constituents); or

(b)       the material is destined for recovery operations in an OECD country.

Table 1. Permits granted and applications refused for the export or import of aluminium dross since December 1996

Applicant	Quantity (tonnes)	Period of Permit	Type of Waste, Disposal Operation & Destination
Permits granted
Simsmetal Ltd	1,500	18.11.97 - 17.11.98	Aluminium ashes and residues from New Zealand for recycling/reclamation of metals and metal compounds at Sims Aluminium RSF Technology, 80 Buckley Grove, Moolap, Victoria.
Simsmetal Limited	80	18.12.98 - 17.12.99	Aluminium ashes and residues from New Zealand for recycling/reclamation of metals and metal compounds at Sims Aluminium RSF Technology, 80 Buckley Grove, Moolap, Victoria.
Sims Aluminium Pty Limited	1,200	31.05.99 - 30.05.00	Aluminium ashes and residues from New Zealand for recycling/reclamation of metals and metal compounds at Sims Aluminium Pty Limited, St Mary's, New South Wales.
Applications refused
Weston Aluminium Pty Ltd	100	Refused on 27.10.99	Aluminium dross from Japan for recycling/reclamation of metals and metal compounds and uses of residual materials obtained from the recycling/reclamation of metals and metal compounds to Weston Aluminium Pty Ltd, Mitchell Avenue, Weston, NSW, 2326.

20.       Note that boards containing lead solder will usually leach more than 1 mg/L lead and fail the TCLP test.

21.       Waste electrical and electronic assemblies or scrap do not require a permit when exported to or imported from OECD countries because they have been assigned to OECD green list entry GC020: "Electronic scrap (eg printed circuit boards, electronic components, wire, etc) and reclaimed electronic components suitable for base and precious metal recovery". There are no relevant entries on the OECD red or amber lists.

22.       Currently, some waste electrical and electronic assemblies or scrap are exported from Australia to OECD countries free of controls. In considering the impact of imposing controls under the Hazardous Waste Act, the following factors are relevant:

(a)       Waste electrical and electronic assemblies or scrap must not be exported to or imported from any country, except an OECD member country, without a permit;

(b)       Figures on the quantities exported or imported are not available because there is no specific customs code for this material. However, there are so few facilities equipped to process these wastes in Australia that the quantities proposed for export to OECD countries are likely to be very small;

(c)       Exports to environmentally sound recovery facilities in OECD countries would normally be permitted under the Act; and

(d)       Requiring that exports to OECD countries be controlled would greatly reduce the risk of illegal transits of non-OECD countries on the way to the country of import.

Consultation

23.       The Commonwealth undertakes consultation with State and Territory governments as well as hazardous waste stakeholder groups through the Hazardous Waste Act Policy Reference Group (PRG), which is convened three to four times each year by Environment Australia.

24.       State and Territory governments are represented by a senior official of the Environment Protection Authority of Victoria, who was nominated by State and Territory environment agencies to attend meetings on their behalf and report back to them on any issues of interest or relevance. Representatives from Australian industry and environment groups are also represented on the PRG, as are officers of interested Commonwealth government departments and agencies.

25.       The PRG acts as a forum for the Commonwealth to raise issues of policy development with stakeholders, and to receive their direct feedback. It also provides a conduit for interested parties to report on any issues they consider to be of importance to the implementation of the Hazardous Waste Act, and the development of briefing positions for Australian delegations to Basel Convention meetings.

26.       The views of affected stakeholders were discussed at the 26^th meeting of the PRG, on Thursday 16 March 2000. Members agreed with the position as proposed. Industry representatives supported harmonisation of the lists because it would increase clarity and certainty, as long as it was not intended to abolish the OECD control system by stealth. They commented that they had placed some value on the separate OECD lists as a check against unacceptable positions that might be reached in the Basel Convention. They were more confident now and in any event, the meeting noted that provision for separate listing in the OECD would still be possible under the amended Council Decision. Environment groups said that they had always favoured one list only.

Conclusion and recommended option

27.       The recommended option is that Australia argue in favour of the OECD adopting Annexes VIII and IX of the Basel Convention as they stand, in place of the existing red, amber and green lists. This is the best way to realise the objectives, which are to secure a control system for transboundary movements of wastes, destined for recovery within the OECD, that is consistent with the global system established in the Basel Convention, provides certainty and simplicity to industry and minimises administrative costs to the Commonwealth. There would also be some benefits to importers of aluminium ashes and residues from OECD countries, who would no longer require a permit for such imports, but these would be matched by some costs to exporters of waste electrical and electronic assemblies or scrap to OECD countries, who would require a permit for such exports.

28.       Maintenance of the status quo is not a recommended option because it means that some wastes would be controlled differently inside and outside the OECD, the control system would be more complex than it need be, and resources would have to be found to continue to support a Review Mechanism for adjusting the lists.

29.       Partial adoption of Annexes VIII and IX would retain some of the disadvantages of the status quo, but could be accepted if it provided a means of securing a consensus decision

Implementation and review

30.       If consensus is reached on this and other issues relating to amendment of OECD Council Decision C(92)39/FINAL, an amended Decision would then need to be adopted through the normal OECD processes. When these processes were completed, the OECD Decision Regulations, made under the Hazardous Waste Act, would require amendment in turn. Environment Australia and the Department of Foreign Affairs and Trade will monitor the impact of the amendments to the OECD Decision and the Hazardous Waste Act on an ongoing basis. In addition Environment Australia has in place consultative arrangements to obtain regular feedback from industry and environment group stakeholders on the effectiveness of the Basel Convention, the OECD Decision and the Act.

Attachment A

Executive Summary

As a result of the adoption of two new lists of wastes as Annexes VIII and IX to the Basel Convention, countries that are both Parties to the Basel Convention and members of the OECD now subscribe to two detailed sets of lists: the new Annexes to the Basel Convention and the old green, amber and red lists adopted by the OECD in March 1992. Red list wastes are subject to controls similar to those of the Basel Convention, amber list wastes are subject to a somewhat simplified control procedure and green list wastes are subject only to controls normally applied in commercial transactions.

This development raises the question of whether it is necessary to maintain two sets of lists complete with review mechanisms that meet regularly to review and revise those lists. The OECD and its member countries are currently operating under severe budgetary restraints and the OECD Waste Management Policy Group (WMPG) has been required to identify areas where it would be feasible and appropriate to harmonise procedures and requirements of the OECD with those of the Basel Convention. The WMPG has agreed that the five OECD Council Decisions and three Resolutions should be consolidated and, as part of this process, is working towards the laudable goal of harmonising its lists of wastes with those of the Basel Convention.

One option to achieve harmonisation is to retain the OECD control system but to replace the OECD's own lists of wastes with the global lists adopted by the Basel Convention. That is, the control system would continue in its present form but review and revision of the lists would be transferred to the review mechanism of the Basel Convention. Detailed analysis of the implications of this leads to the following conclusions:

(a)       The OECD red list of wastes consists of 8 entries in 4 categories. Seven of these entries are listed in Annex VIII: the eighth, ceramic based fibres similar to asbestos, does not belong to any category contained in Annex I of the Basel Convention. Replacement of the red list by Annex VIII is not compatible with the existing control system, which prescribes specific procedures for red-listed wastes. However, the red list is also very stable and it has not been amended since entering into force in 1992. It could be retained in its present form with no formal provision made for review or revision.

(b)       The OECD amber list of wastes currently consists of 80 entries in four categories. Two entries have been added since 1992 and one has been modified. Some 16 out of the existing 80 entries are not included in Annexes I or VIII of the Basel Convention, and 11 of the 16 are not even included in the OECD's lists of potentially hazardous waste types or constituents (which implies that they are not controlled in any OECD country's national list of wastes). If the amber list were replaced by Annex VIII of the Basel Convention, these 16 wastes would no longer be controlled inside the OECD. (They are not controlled outside the OECD and in fact, the implications of the present system may merit further examination. If trade in certain wastes is controlled in the pursuit of environmental protection under certain circumstances, it may be inconsistent with Article XX of the GATT to limit those controls to OECD countries only.) Annex VIII contains five entries which are not on the amber list: these are all hazardous wastes under the Basel Convention and OECD member countries are legally bound to control them through OECD Decision C(88)90.

(c)       The OECD green list currently consists of 141 entries in 15 categories. Thirteen entries have been deleted since 1992, four have been modified and four have been added. If the green list were replaced by Annex IX of the Basel Convention, the only significant implication is that fluorinated polymer wastes and chlorinated polymer and copolymer wastes would be removed to list C, the list of wastes whose status is yet to be decided. This is unlikely to result in any changes in practice: wastes on list C are subject to the decisions of national competent authorities and OECD countries are unlikely to change their current national positions.

It may be concluded that from an Australian perspective at least, transfer of the functions of the OECD Review Mechanism to the Basel Convention could be achieved if three steps were taken:

(a)       Retain the existing OECD red list and make no formal provision for its review or revision;

(b)       Delete the existing amber list of wastes and re-define amber list wastes as those included in Annex VIII of the Basel Convention; and

(c)       Delete the existing green list of wastes and re-define green list wastes as those included in Annex IX of the Basel Convention.

Introduction

1.       In February 1998 the Fourth Meeting of the Conference of the Parties to the Basel Convention (COP 4) adopted two new lists of wastes as Annexes VIII and IX to the Convention. Annex VIII, or list A, contains wastes that are characterised as hazardous under Article 1.1.(a) of the Convention. Annex IX, or list B, contains wastes that are not hazardous under Article 1.1.(a).

2.       As a result of this decision, countries that were both Parties to the Basel Convention and members of the OECD found that they were subscribing to two sets of lists: the new ones adopted by the Parties to the Basel Convention and the old green, amber and red lists that had been adopted by the OECD in March 1992. While OECD countries wish to retain the OECD control system, the question arises whether it is also necessary to maintain two sets of lists complete with review mechanisms that meet regularly to review and revise those lists.

3.       This paper examines the implications of replacing the local lists, those of the OECD, with the global lists, those of the Basel Convention. Although the two listing systems are based on different approaches and serve different purposes, there is a high degree of correlation between them. This is to be expected because the lists have much common history. In particular, Annexes I and III of the Basel Convention were taken directly from OECD Decision C(88)90, and Annexes VIII and IX were negotiated using the OECD green, amber and red lists as the starting point. The paper considers factors which allow the various lists to diverge and the use of the chapeaux (or headings) to interpret the lists. It then draws conclusions from a detailed review of all the lists.

4.       To understand the relationship between the different lists, it is helpful to have a clear picture of the close historical links between the OECD control system and the Basel Convention. These are described in Appendix 1, which describes how the OECD adopted several Council Acts as an evolving process between 1984 and 1992. These Acts established many of the principles on which the Basel Convention was based and a particularly significant feature was the adoption of a core list of hazardous wastes in 1988 which became, with one addition, Annex I of the Basel Convention in 1989. This core list was constructed by identifying which items appeared most frequently on all existing national and international lists of hazardous wastes: it contains between 85 to 90 percent of all wastes legally defined as or considered to be hazardous by OECD member countries and the European Community, and over 90 percent of wastes which are prohibited or restricted from disposal at sea,

Factors allowing divergence between the Basel and OECD lists

5.       The Basel lists of wastes are based strictly on hazard: Article 1.1.(a) defines as hazardous wastes all wastes that belong to any category contained in Annex I, the core list of wastes, unless they do not possess any of the hazardous characteristics contained in Annex III.

6.       In the OECD control system, wastes are assigned to one of the lists in accordance with a set of criteria which are set out in Annex 2 to Decision C(92)39/Final, which is reproduced here as Appendix 2. The first question is whether the waste exhibits any of the hazardous characteristics listed in OECD Table 5 (or Annex III of the Basel Convention), but ten other questions follow about the properties and management of the waste.

7.       The criteria in Annex 2 are often described as a "risk-based approach" within the OECD, but this language is misleading because it invites confusion with a quite different process, that of of risk assessment (comprising hazard identification, dose-response assessments, exposure assessment and risk characterisation). The Annex 2 criteria are related far more closely to the assessment of environmentally sound management and they were reproduced, in this context, in the Guidance Document on Transboundary Movements of Hazardous wastes Destined for Recovery Operations that was adopted by the Parties to the Basel Convention in Decision III/14. Satisfactory replies to these questions should be provided before a particular movement takes place, but the relevance of the criteria to the placement of wastes on lists seems questionable.

8.       These differences allow two basic types of divergence: placement of a waste on the amber or red lists of the OECD but in Annex IX of Basel, or placement of a waste on the green list of the OECD but in Annex VIII of Basel.

9.       The first type of divergence can occur in two ways. First, wastes may be proposed for amber or red listing without considering whether they are included in Tables Y, 3 or 4. For example, aluminium ashes and residues have been placed on the amber list although aluminium is neither on the core list of wastes nor among the constituents of potentially hazardous wastes. Second, a waste may be proposed for control even though it lacks hazardous characteristics. For example, mixed non-ferrous shredder fractions containing less than 20 percent non-ferrous metals have been proposed for amber listing because a risk-based assessment indicates that although they lack hazardous characteristics, the high percentage of non-metallic residues increases the risk of poor waste management practices.

10.       The second type of divergence occurs when a waste listed in Annex I and having Annex III characteristics is placed on the green list because it presents a low environmental risk when destined for recovery within the OECD area. This type of divergence is discouraged by clause 2 of section III of Annex I to OECD Council Decision C(92)39/FINAL, which states that wastes may not be included in the green list if they exhibit any of the hazardous characteristics, and in practice there appear to be no wastes on the green list that fall within the scope of Annex VIII of the Basel Convention.

11.       Consideration of these factors suggests that in general, the scope of the OECD control system is likely to be wider than that of the Basel Convention. An analysis prepared by the OECD Secretariat in February 1998 indicates that this is in fact the case. Nineteen Annex IX wastes appeared to fall within the scope of specific amber list entries and 22 amber and red list entries appeared not to have corresponding entries in either Basel Annex. This suggested that a total of 41 wastes might be controlled by the OECD system but not by the Basel Convention.

12.       In practice, however, national competent authorities use the chapeaux, or headings, on the various lists when deciding whether particular materials are controlled or not. Application of these additional criteria at a national level tends to reduce the number of discrepancies between the Basel and OECD lists, as described below.

Using chapeaux to interpret the lists

13.       Both the Basel and OECD lists of wastes are subject to headings, or chapeaux, that are used in interpreting them. The chapeau to Basel Annex VIII states that designation on the Annex does not preclude the use of Annex III to demonstrate that a waste is not hazardous. The chapeau to Annex IX states that wastes contained in it are not covered by Article 1.1.(a) unless they contain Annex I material to an extent causing them to exhibit an Annex III characteristic.

14.       The OECD green and amber lists have chapeaux that state that regardless of whether or not wastes are included, they may not be moved as green or amber list wastes if they are contaminated by other materials to an extent which increases the risks associated with the waste sufficiently to render it appropriate for inclusion in the amber or red lists, or prevents the recovery of the waste in an environmentally sound manner. The wording of these chapeaux reflects the risk-based approach of Annex 2 to the Decision.

15.       There is no OECD chapeau equivalent to that on Basel Annex VIII: that is, a heading that allows materials to be excluded if they lack hazardous characteristics. Provision for this is, instead, made in clause 4 of section II of Annex I to OECD Council Decision C(92)39/FINAL, which provides that a specific waste might not be legally defined or considered to be a hazardous waste in the exporting country because the competent authority is satisfied that it does not exhibit any of the hazardous characteristics.

16.       The analysis that follows is based on the judgement of the Australian competent authority. Other competent authorities may come to different conclusions. It is important to note, in particular, that the Australian Hazardous Waste Act does not provide for wastes to be controlled if they lack hazardous characteristics (unless they are to be exported to a foreign country that classifies them as hazardous wastes).

Analysis of differences between the Basel and OECD lists

17.       Detailed analysis of the combined red and amber lists enables them to be divided into three parts: significant differences between Basel and OECD are in Appendix 3, non-significant differences (the largest category) are in Appendix 4, and no differences are in Appendix 5. Detailed analysis of the green list appears to be unnecessary because no significant differences have been identified.

18.       The term "significant differences between Basel and OECD" is applied to wastes that are regulated differently in the Basel and OECD systems. There are 22 such wastes in Appendix 3 and they fall into different groups. First, there are 12 wastes which are not included either in the core list of wastes, or in the OECD's lists of potentially hazardous waste types or constituents. Eleven of these are amber-listed wastes such as aluminium ashes and residues, magnesium waste and scrap with H4 hazard characteristics, sands used in foundry operations, surfactants and liquid pig manure. One is a red-listed waste, ceramic based fibres similar to asbestos.

19.       The second group contains two wastes that are not listed in the core list of wastes but are included in Table 3, the OECD list of generic types of potentially hazardous wastes. These are sewage sludge and ion exchange resins.

20.       The third group contains three wastes that are not listed in the core list of wastes but are included in Table 4, the OECD list of constituents of potentially hazardous wastes. These are vanadium ashes and residues, asphalt cement waste containing tar and triethlamine catalysts for setting foundry sands.

21.       The fourth group contains five wastes where the scope of Annex VII is wider than the scope of the amber list. These include the light fraction of fluff from shredding (not just from automobiles), clinical and related wastes, and waste consisting of or containing off-specification and outdated chemicals. All these wastes are on the core list of wastes and possess hazardous characteristics, which means that OECD member countries are legally bound to control them through OECD Decision C(88)90.

22.       We may conclude from Appendix 3 that if the OECD amber list were replaced by Annex VIII of the Basel Convention, 17 wastes would no longer be controlled when moved between OECD countries for recycling. These wastes are not controlled outside the OECD and in fact, the implications of the present system may merit further examination. If trade in certain wastes is controlled in the pursuit of environmental protection under certain circumstances, it may be inconsistent with Article XX of the GATT to limit those controls to OECD countries only.

23.       Five entries would be added to the amber list: these are all hazardous wastes under the Basel Convention and OECD member countries are legally bound to control them through OECD Decision C(88)90.

24.       No other changes have been identified that would result from adoption of Annex VIII in place of the existing amber list. There are about 60 entries which are described or placed differently in the Basel and OECD systems (Appendix 4) but which would be controlled in the same way in practice, usually through use of Annex I/Annex III criteria in accordance with the chapeaux to the lists. Three of these entries are on the red list, the remainder are amber listed. (It is emphasised again that these reflect decisions made by the Australian competent authority at a national level. Other authorities may make different decisions leading to different outcomes.)

25.       There are about 22 entries which are described and placed in the same way in the Basel and OECD systems although there may be differences in the exact words used (Appendix 5). Four of these entries are on the red list, the remainder are on the amber list.

26.       One problem that would arise if the OECD amber list were replaced by Annex VIII of the Basel Convention would be the status of the seven red-listed wastes in Annex VIII: these need to be separately identified in the OECD control system. One possible solution is to retain the existing red list. This list is stable: it has not been amended since entering into force in 1992. This solution also retains the eighth entry, ceramic based fibres similar to asbestos. It would be necessary to give priority to the red-listing for those red-listed wastes that are also included in Annex VIII

27.       The OECD green list currently consists of 141 entries in 15 categories. Thirteen entries have been deleted since 1992, four have been modified and four have been added. If the green list were replaced by Annex IX of the Basel Convention, the only significant implication appears to be that fluorinated polymer wastes and chlorinated polymer and copolymer wastes would be removed to list C, the list of wastes whose status is yet to be decided. This is unlikely to result in any changes in practice: wastes on list C are subject to the decisions of national competent authorities and OECD countries are unlikely to change their current national positions.

28.       From the above, it may be concluded that from an Australian perspective at least, the functions of the OECD Review Mechanism could be transferred to the Basel Convention if three steps were taken:

(a)       Retain the existing OECD red list with no formal provision for review or revision;

(b)       Replace the amber list of wastes with Annex VIII of the Basel Convention; and

(c)       Replace the green list of wastes with Annex IX of the Basel Convention.

Appendix 1: History of the lists

1.       The OECD Member countries have been concerned with the control of transfrontier movements of hazardous wastes since the beginning of the 1980's and several Council Acts were adopted as an evolving process between 1984 and 1992. OECD Member countries who have not specifically abstained from voting are legally bound by these Decisions pursuant to the provisions of article 5(a) of the OECD Convention.

2.       The first Act was Decision-Recommendation C(83)180, adopted on 1 February 1984, which instructs Member countries to control transfrontier movements of hazardous waste. This Decision did not provide for operational action by OECD Member countries, but did establish many of the principles on which the Basel Convention was based.

3.       On 5 June 1986 the OECD Council adopted Decision-Recommendation C(86)64, which prohibits Member countries from exporting hazardous wastes to a non-OECD country without its consent and requires the notification of transit countries. The Decision instructs that controls on such transfrontier movements to non-Member countries must be at least as strict as controls governing movements to Member countries. Finally, the Decision prohibits movements of hazardous wastes to non-Member countries if the waste disposal facility within the jurisdiction of the non-Member country is inadequate.

4.       The Council adopted Decision C(88)90 on 27 May 1988, in which the terms "waste" and "disposal" are defined in the context of transfrontier movements of hazardous waste involving any Member country. Member countries agreed to control a certain number of wastes which they considered hazardous. A "core list" of hazardous wastes to be controlled was thus developed and is an essential part of this Decision.

5.       The core list was constructed by determining which items appeared most frequently on all existing national and international lists of hazardous wastes. This process clearly indicated that wastes containing some proportion of one or more of twenty-seven constituents were proscribed by all or almost all of the national or international lists. In addition, certain types of generic wastes (waste streams) were often defined as hazardous. As a result of this process, one may predict with confidence that between 85 to 90 percent of all wastes legally defined as or considered to be hazardous by OECD member countries and the European Community, and over 90 percent of wastes which are prohibited or restricted from disposal at sea, are included in the core list. The core list, known as Table Y, later became Annex I of the Basel Convention.

6.       The Decision further provided that all other wastes, not mentioned in the "core list", but considered to be hazardous in the exporting or importing Member country, are also subject to controls. Such wastes are listed in Table 3, generic types of potentially hazardous wastes, and Table 4, constituents of potentially hazardous wastes. Taken together, Tables 3 and 4 provide almost total coverage of all wastes legally defined as or considered to be hazardous in the OECD area. These wastes are controlled when exported from or imported into a country in which they are considered to be or legally defined as hazardous wastes.

7.       Decision C(88)90 preceded the adoption of the Basel Convention, and its major elements were incorporated into the Convention. In particular, Table Y became Annex I and Table 5, the list of hazardous characteristics, became Annex III. The fact that the OECD control system and the Basel Convention share the same core list of wastes to be controlled and the same list of hazardous characteristics is the most important single factor that inhibits divergence between the two systems.

8.       Council Decision C(92)39 was adopted on 30 March 1992 prior to entry into force of the Basel Convention. It organises the control of transboundary movements of wastes destined for recovery operations (reflecting Annex IV B of the Basel Convention) within the OECD area. This Decision classifies wastes to be recovered into one of three categories - the green, amber and red lists - and specifies the control regime which should apply for each.

9.       Red list wastes are subject to similar control procedures as applied to hazardous wastes under the Basel Convention, although the time limit for prior written consent of the importing and transit countries has been set at 30 days, based on experience of such procedures within OECD.

10.       Amber list wastes are subject to a somewhat simplified control procedure, because they have been considered to present a lower overall risk when such wastes are destined for recovery operations than do red list wastes. All movements of amber list wastes must be notified in advance to all countries concerned (exporting, importing and transit countries); there is a 30 day time limit for responding to a notification (which commences on the date that the importing country acknowledges receipt of the notification in writing) and consent is assumed if no objection to the movement is then lodged by any of the concerned countries within the time limit.

11.       The green list covers wastes destined for recovery operations which do not exhibit any of the hazardous characteristics set forth in Table 5 of OECD Decision C(88)90. Wastes on the green list are therefore permitted to be moved across borders within the OECD area, to authorised recovery facilities, subject to all existing controls normally applied in commercial transactions. Such a procedure does not prejudice the right of Member countries to control certain wastes which have been assigned to the green list as if those wastes had been assigned to one of the other lists, in conformity with domestic legislation and the rules of international law, in order to protect human health and the environment.

12.       In September 1995, Decision III/1 of the Third Meeting of the Conference of the Parties to the Basel Convention instructed the Technical Working Group to give full priority to completing its work on the development of lists of wastes which are hazardous and wastes which are not subject to the Convention. The Technical Working Group carried out this work between April 1996 and February 1997 at its tenth, eleventh and twelfth meetings. In February 1998 the two new lists of wastes were adopted by Decision IV/9 as Annexes VIII and IX to the Convention. Annex VIII, or list A, contains wastes that are characterised as hazardous under Article 1.1.(a) of the Convention. Annex IX, or list B, contains wastes that are not hazardous under Article 1.1.(a). The lists enter into force on 6 November 1998.

Appendix 2: Annex 2 to OECD Council Decision C(92)39

CRITERIA

A) Properties

(a)       Does the waste normally exhibit any of the hazardous characteristics listed in Table 5 of OECD Council Decision C(88)90(Final)? Furthermore, it is useful to know if the waste is legally defined as or considered to be a hazardous waste in one or more Member countries.

Is the waste typically contaminated?

What is the physical state of the waste?

What is the degree of difficulty of cleanup in the case of accidental spillage or mismanagement?

What is the economic value of the waste bearing in mind historical price fluctuations?

B)       Management

Is there technological capability to recover the waste?

Is there a history of adverse environmental incidents arising from transfrontier movements of the waste or associated recovery operations?

Is the waste routinely traded through established channels and is that evidenced by commercial classification?

Is the waste usually moved internationally under the terms of a valid contract or chain of contracts?

What is the extent of reuse and recovery of the waste and how is any portion separated from the waste but not subject to recovery managed?

What are the overall environmental benefits arising from the recovery operations?

Appendix 3: Significant differences between Basel and OECD

These wastes are regulated differently in the Basel and OECD systems

	Basel Annex VIII		OECD Red and Amber lists	Comments
Group 1	Wastes not listed in Annex I of the Basel Convention or in OECD Tables 3 and 4.
		AA050	Aluminium wastes in the form of ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake	Does not belong to any category contained in Annex I. Not currently controlled outside OECD. Aluminium is not a constituent of potentially hazardous wastes (Table 4).
		AA110	Residues from alumina production not elsewhere specified or included (see AB090, AB100)	Does not belong to any category contained in Annex I. Not currently controlled outside OECD. Aluminium is not a constituent of potentially hazardous wastes (Table 4).
		AA190	Magnesium waste and scrap that is flammable, pyrophoric or emits, upon contact with water, flammable gases in dangerous quantities (see B1010)	Does not belong to any category contained in Annex I. Not currently controlled outside OECD. Magnesium is not a constituent of potentially hazardous wastes (Table 4).
		AB070	Sands used in foundry operations	Does not belong to any category contained in Annex I. Not currently controlled outside OECD. No information on likely hazardous constituents.
B2100	Waste hydrates of aluminium and waste alumina and residues from alumina production, excluding such wastes arising from gas cleaning, flocculation or filtration processes	AB090	Waste hydrates of aluminium (see AA110)	Does not belong to any category contained in Annex I. Not currently controlled outside OECD. Aluminium is not a constituent of potentially hazardous wastes (Table 4). The excluded wastes in B2100 fall within Y18.
		AB100	Waste alumina (see AA110)	Does not belong to any category contained in Annex I. Not currently controlled outside OECD. Aluminium is not a constituent of potentially hazardous wastes (Table 4).
		AB120	Inorganic halide compounds, not elsewhere specified or included	Inorganic fluorine compounds and inorganic cyanides are controlled under Y32 and Y33. AB120 extends controls to bromides, chlorides and iodides, which do not belong to any category in Annex I or Table 4.
		AC170	Treated cork and wood wastes	Does not belong to any category contained in Annex I. Not currently controlled outside OECD. No information on likely hazardous constituents
		AC250	Surface active agents (surfactants)	Does not belong to any category contained in Annex I. Not currently controlled outside OECD. No information on likely hazardous constituents
		AC260	Liquid pig manure; faeces	Does not belong to any category contained in Annex I. Not currently controlled outside OECD. No information on likely hazardous constituents
		AD150	Naturally occurring organic material used as a filter medium (such as biofilters)	Does not belong to any category contained in Annex I. Not currently controlled outside OECD. No information on likely hazardous constituents
		RB020	Ceramic based fibres of physico-chemical characteristics similar to those of asbestos	Does not belong to any category contained in Annex I. Not currently controlled outside OECD. No other information available.
Group 2	Wastes not listed in Annex I of the Basel Convention but listed in OECD Table 3.
		AC270	Sewage sludge	Does not belong to any category contained in Annex I. Not currently controlled outside OECD. Sewage sludge is a generic type of potentially hazardous waste (33 in Table 3)
		AD120	Ion exchange resins	Does not belong to any category contained in Annex I. Not currently controlled outside OECD. Ion-exchange column residue is a generic type of potentially hazardous waste (32 in Table 3)
Group 3	Wastes not listed in Annex I of the Basel Convention but listed in OECD Table 4.
		AA060	Vanadium wastes in the form of ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake	Does not belong to any category contained in Annex I. Not currently controlled outside OECD. Vanadium is a constituent of potentially hazardous wastes (C2 in Table 4).
		AC020	Asphalt cement waste not elsewhere specified or included	The hazardous constituent is tar containing polycyclic aromatic hydrocarbons. This waste does not fall within Y11, waste tarry residues arising from refining, distillation and any pyrolytic treatment, and asphalt cements are specifically excluded from A3190 and RA020. Aromatic compounds: polycyclic and heterocyclic organic compounds are constituents of potentially hazardous wastes (C44 in Table 4)
		AC140	Triethylamine catalysts for setting foundry sands	Does not belong to any category contained in Annex I. Not currently controlled outside OECD. Organic nitrogen compounds, especially aliphatic amines, are constituents of potentially hazardous wastes (C45 in Table 4).
Group 4	Wastes where the scope of Annex VII is wider than the scope of the amber list
A3120	Fluff - light fraction from shredding	AC190	Fluff: light fraction from automobile shredding	A3120 has a wider scope than AC190. In general, fluff from automobile shredding comprises about 90% of total fluff.
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.			There is no entry equivalent to A4020 in the amber list. Clinical wastes from medical care in hospitals, medical centres and clinics are included in Y1 of Table Y.
A4130	Waste packages and containers containing Annex I substances in concentrations sufficient to exhibit Annex III hazard characteristics			There is no entry equivalent to A4130 in the amber list but these are wastes that have Table Y/5 characteristics. Contaminated containers, whose contents include one or more Table 4 constituents, are a generic type of potentially hazardous waste (37 in Table 3).
A4140	Waste consisting of or containing off-specification and outdated chemicals corresponding to Annex I categories and exhibiting Annex III hazard characteristics			There is no entry equivalent to A4140 in the amber list but these are wastes that have Table Y/5 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.			There is no entry equivalent to A4150 in the amber list but these are wastes that are listed in Y14 and have Table 5 characteristics.

Appendix 4: Non-significant differences between Basel and OECD

These hazardous wastes are described or placed differently in the Basel and OECD systems but in practice they are controlled in the same way under both systems

	Basel Annex VIII		OECD Red and Amber lists	Comments
A1010	Metal waste and waste consisting of alloys of any of the following, but excluding such wastes specifically listed on List B (Annex IX)			No wastes have been identified which fall into this category but do not also fall into A1020 or A1030.
	Antimony (see B1020)
	Arsenic (see A1020)
	Beryllium (see B1020)
	Cadmium (see B1020)
	Lead (see B1020)
	Mercury (see A1030)
	Selenium (see B1020)
	Tellurium (see B1020)
	Thallium (see A1030)
A1020	Waste having as constituents or contaminants, excluding metal wastes in massive form, any of the following
	Antimony; antimony compounds (see B1020)		(see AA070)	No specific amber list entry but as a Table Y constituent will be controlled under AA070
	Beryllium; beryllium compounds (see B1020)		(see AA070)	No specific amber list entry but as a Table Y constituent will be controlled under AA070
	Cadmium; cadmium compounds (see B1020)		(see AA070)	No specific amber list entry but as a Table Y constituent will be controlled under AA070
	Lead; lead compounds (see B1020)	AA030	Lead wastes in the form of ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake	The Basel entry is wider than the OECD entry because it potentially covers all non-massive wastes containing lead. In practice these are probably all covered by other amber list entries or the chapeaux.
	Selenium; selenium compounds (see B1020)		(see AA070)	No specific amber list entry but as a Table Y constituent will be controlled under AA070
	Tellurium; tellurium compounds (see B1020)		(see AA070)	No specific amber list entry but as a Table Y constituent will be controlled under AA070
B1060	Waste Selenium and Tellurium in metallic elemental form including powder	AA070	Wastes including ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake containing metals or metal compounds not elsewhere specified or included	B1060 falls within the scope of AA070, but Basel Parties have agreed that it would not be considered hazardous because it lacks Annex III hazardous characteristics. Will not be controlled under OECD if it lacks Table 5 hazardous characteristics
		AA010	Ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake and other wastes from the manufacture of iron and steel	AA010 does not correspond to a specific Basel entry but will be controlled under various Basel entries if it meets Annex I/III criteria. Will not be controlled under OECD if it lacks Table Y constituents or Table 5 hazardous characteristics.
A1030	Waste having as constituents or contaminants any of the following:
	Arsenic; arsenic compounds	AA090	Arsenic wastes including ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake, unless a material is expressly listed elsewhere	The Basel entry is wider than the OECD entry because it potentially covers all non-massive wastes containing arsenic. In practice these are probably all covered by other amber list entries or the chapeaux.
	Mercury; mercury compounds	AA100	Mercury wastes including ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake, unless a material is expressly listed elsewhere	The Basel entry is wider than the OECD entry because it potentially covers all non-massive wastes containing mercury. In practice these are probably all covered by other amber list entries or the chapeaux.
	Thallium; thallium compounds	AA080	Thallium wastes including ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake, unless a material is expressly listed elsewhere	The Basel entry is wider than the OECD entry because it potentially covers all non-massive wastes containing thallium. In practice these are probably all covered by other amber list entries or the chapeaux.
A1040	Wastes having as constituents any of the following:
	Metal carbonyls		(see AA070)	No specific amber list entry but as a Table Y constituent will be controlled under AA070
	Hexavalent chromium compounds		(see AA070)	No specific amber list entry but as a Table Y constituent will be controlled under AA070
A1080	Waste zinc residues not included on list B, containing lead and cadmium in concentrations sufficient to exhibit Annex III characteristics	AA020	Zinc wastes in the form of ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake	The OECD entry is wider than the Basel entry because it potentially covers all zinc residues. In practice, however, residues that are below concentration cut-offs for lead and cadmium will probably lack Table 5 hazardous characteristics and not be subject to controls.
B1080	Zinc ash and residues including zinc alloys residues in dispersible form unless containing Annex I constituents in concentrations such as to exhibit Annex III characteristics or exhibiting hazard characteristic H4.3	AA020	Zinc wastes in the form of ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake	B1080 appears to fall within the scope of AA020, but in practice it would not be controlled under OECD if it lacks Table Y/Table 5 characteristics
A1090	Ashes from the incineration of insulated copper wire	AA040	Copper wastes in the form of ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake	The OECD entry is wider than the more precise Basel entries because it potentially covers all copper residues. In practice, however, residues that are below Table Y/5 limits will not be subject to controls within OECD. Conversely, copper wastes that are above Annex I/III limits for constituents such as lead will be controlled under other Basel entries such as A1020.
A1100	Dusts and residues from gas cleaning systems of copper smelters		(see AA040)
A1110	Spent electrolytic solutions from copper electrorefining and electrowinning operations		(see AA040)
A1120	Waste sludges, excluding anode slimes, from electrolyte purification systems in copper electrorefining and electrowinning operations		(see AA040)
A1130	Spent etching solutions containing dissolved copper		(see AA040)
A1140	Waste cupric chloride and copper cyanide catalysts		(see AA040)
B1070	Wastes of copper and copper alloys in dispersible form, unless they contain Annex I constituents to an extent that they exhibit Annex III characteristics		(see AA040)	B1070 appears to fall within the scope of AA040, but in practice it would not be controlled under OECD if it lacks Table Y/Table 5 characteristics
B1140	Precious metal-bearing residues in solid form which contain traces of inorganic cyanides	AA150	Precious metal-bearing residues in solid form which contain traces of inorganic cyanides	The tenth meeting of the Basel Convention Technical Working Group considered whether an hazard resulted from the cyanide, or from other Annex I constituents which could be present. Seveal delegates said they had not experienced problems with these wastes, that levels of trade were low and rather specialised. List B placement was agreed subject to a reference in the chapeau to Annex I constituents. Therefore, B1140 will be controlled under various Basel entries if it meets Annex I/III criteria. AA150 Will not be controlled under OECD if it lacks Table Y constituents or Table 5 hazardous characteristics
		AA160	Precious metal ash, sludge, dust and other residues such as
A1150	Precious metal ash from incineration of printed circuit boards not included on List B (see B1160)	AA161	-       precious metal ash from incineration of printed circuit boards	This material is placed on both Basel lists and a footnote comments that the list B entry does not specify exceptions. In practice Annex I/Annex III criteria will be used in Basel and Table Y/Table 5 criteria will be used in OECD.
B1160	Precious metal ash from the incineration of printed circuit boards (see A1150)
B1170	Precious metal ash from the incineration of photographic film (see AA162)	AA162	- photographic film ash	This material is placed on both Basel lists. In practice Annex I/Annex III criteria will be used in Basel and Table Y/Table 5 criteria will be used in OECD.
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 (see B1090)	AA180	Used batteries or accumulators, whole or crushed, other than lead-acid batteries, and waste and scrap arising from the production of batteries and accumulators, not elsewhere specified or included	AA180 appears to be wider in scope than A1170 but in practice, however, batteries that lack Table Y/Table 5 characteristics would not be subject to controls.
B1090	Waste batteries conforming to a specification, excluding those made with lead, cadmium, or mercury			B1090 appears to fall within the scope of AA040, but in practice it would not be controlled under OECD if it lacks Table Y/Table 5 characteristics
A1180	Waste electrical and electronic assemblies or scrap 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 (see B1110). (Note this entry does not include scrap assemblies from electric power generation)			There is no comparable entry on the amber list, but hazardous components or constituents will be controlled if they posess List Y/List 5 characteristics
		AB010	Wastes in the form of ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake, not elsewhere specified or included	AB010 does not correspond to a specific Basel entry but will be controlled under various Basel entries if it meets Annex I/III criteria. Will not be controlled under OECD if it lacks Table Y/Table 5 characteristics. The distinction between AA070 and AB010 is not very clear.
	Residues arising from the incineration of household wastes (Basel Convention Annex II, Y47)	AB020	Residues arising from the combustion of municipal/household wastes	OECD List Y does not include Y47. Placement in Basel Annex II means that no provision is made for testing to demonstrate that the material lacks Annex III characteristics, but this is unlikely to be the case for this material.
		AB030	Wastes from non-cyanide based systems which arise from surface treatment of metals	There is no Annex VIII entry for this material but since it falls within Basel Y17 it will be controlled unless it lacks Annex III characteristics.
A2010	Glass waste from cathode-ray tubes and other activated glass	AB040	Cullet or other waste and scrap of glass not elsewhere specified or included	GE010 and GE011 exclude glass from cathode-ray tubes and other activated glasses from the green list unless the coatings have been removed
B2070	Calcium fluoride sludge	AB050	Calcium fluoride sludge	B2070 will be controlled under various Basel entries if it meets Annex I/III criteria. AB050 will not be controlled under OECD if it lacks Table Y constituents or Table 5 hazardous characteristics
A2020	Waste inorganic fluorine compounds in the form of liquids or sludges but excluding such wastes specified on List B	AB060	Other inorganic fluorine compounds in the form of liquids or sludges	A2020 excludes B7070. AB060 excludes AB050.
A4090	Waste acidic or basic solutions (other than those specificied in the corresponding entry on list B) (see B2120)	AB110	Basic solutions	B2120 excludes waste acidic or basic solutions with a pH greater than 2 and less than 11.5, which are not corrosive or otherwise hazardous. Basic solutions that lack List 5 characteristics would be excluded from AB110
		AB130	Used blasting grit	There is no Annex VIII entry equivalent to AB130, but in practice used blasting grit that has Annex I/III characteristics will be controlled under Basel. Used blasting grit that lacks Table Y/5 characteristics will not be controlled under OECD.
A2040	Waste gypsum arising from chemical industry processes, when containing Annex I constituents to the extent that it exhibits an Annex III hazardous characteristic (see B2080)	AB140	Gypsum arising from chemical industry processes	Not controlled under OECD if lacking Tables Y/5 characteristics
		AB150	Unrefined calcium sulphite and calcium sulphate from flue gas desulphurisation (FGD)	There is no Annex VIII entry equivalent to AB150, but it will be controlled under Y18 of Basel Annex I unless it lacks Annex III characteristics
A2060	Coal fired power-plant fly ash containing Annex I substances in concentrations sufficient to exhibit Annex III characteristics (see B2050)			There is no amber list entry equivalent to A2060 but this waste will be controlled under AB010.
A3010	Waste from the production or processing of petroleum coke and bitumen	AC010	Waste from the production or processing of petroleum coke and bitumen excluding anode butts	B2090 covers waste anode butts from steel and 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).
A3030	Wastes that contain, consist of or are contaminated with leaded anti-knock compound sludges	RC030	Leaded anti-knock compound sludges	A3030 covers both RC030 and AC040
		AC040	Leaded petrol (gasoline) sludges
		AC060	Hydraulic fluids	There is no Annex VIII entry equivalent to AC060, but in practice hydraulic fluids that have Annex I/III characteristics will be controlled under Basel and those that lack Table Y/5 characteristics will not be controlled under OECD
		AC070	Brake fluids	There is no Annex VIII entry equivalent to AC060, but in practice brake fluids that have Annex I/III characteristics will be controlled under Basel and those that lack Table Y/5 characteristics will not be controlled under OECD
		AC080	Antifreeze fluids	There is no Annex VIII entry equivalent to AC060, but in practice antifreeze fluids that have Annex I/III characteristics will be controlled under Basel and those that lack Table Y/5 characteristics will not be controlled under OECD
A3050	Wastes from production, formulation and use of resins, latex, plasticisers, glues/ adhesives excluding such wastes specified on list B (see B4020)	AC090	Wastes from production, formulation and use of resins, latex, plasticisers, glues and adhesives	B4020 specifies wastes that lack Annex III characteristics: such wastes also lack Table 5 characteristics and will not be controlled under OECD
A3080	Waste ethers not including those specified on list B	AC130	Ethers	B3130 and B4020 include ethers that lack Annex III characteristics: such ethers also lack Table 5 characteristics and will not be controlled under OECD
		AC150	Chlorofluorocarbons	Chlorofluorocarbons generally lack Table 5 characteristics and will not be controlled under OECD
		AC160	Halons	Halons generally lack Table 5 characteristics and will not be controlled under OECD
A3090	Waste leather dust, ash, sludges and flours when containing hexavalent chromium compounds or biocides (see B3100)	AC180	Leather dust, ash, sludges and flours	AC180 has a wider scope than A3090 but in practice the use of Table Y/5 characteristics is likely to result in similar outcomes in Basel and OECD.
A3100	Waste paring and other waste of leather or of composition leather not suitable for the manufacture of leather articules, containing hexavalent chromium compounds or biocides (see B3090)			There is no amber list entry equivalent to A3100 but in practice such wastes would be controlled if they fall within Y4 or Y21.
A3110	Fellmongery wastes containing hexavalent chromium compounds or biocides or infectious substances (see B3110)			There is no amber list entry equivalent to A3110 but in practice such wastes would be controlled if they fall within Y1, Y4 or Y21.
A3140	Waste non-halogenated organic solvents but excluding such wastes specified on List B	AC210	Non-halogenated solvents	There are no non-halogenated solvents currently specified on List B. TWG10 recognised that commonly used solvents are often flammable or toxic, but not all solvents are necessarily hazardous and provision was therefore made for List B entries.
A3150	Waste halogenated organic solvents	AC220	Halogenated solvents	AC220 appears to have a wider scope than A3150, where the word "organic" has been inserted to reflect Y42. However, no halogenated inorganic solvents have been identified.
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 of 50 mg/kg or more.	RA010
A4010	Wastes from the production, preparation and use of pharmaceutical products but excluding such wastes specified on List B	AD010	Wastes from the production and preparation of pharmaceutical products	There are no such wastes currently specified on List B
A4070	Wastes from production, formulation and use of inks, dyes, pigments, paints, lacquers, varnish excluding any such waste specified on List B (see B4010)	AD070	Wastes from production, formulation and use of inks, dyes, pigments, paints, lacquers, varnish	Wastes specified on List B (B4010) do not contain Annex I constituent to an extent to render them hazardous
A4080	Wastes of an explosive nature (but excluding such wastes specified on list B)	AD080	Wastes of an explosive nature, when not subject to specific other legislation	TWG10 had difficuilty in deciding what the OECD phrase "not subject to specific other legislation" actually meant: the list B exclusion offers the potential for greater precision.
		AD090	Wastes from production, formulation, and use of reprographic and photographic chemicals and materials not elsewhere specified or included	GO040 lists waste photographic film base and waste photographic film not containing silver. There is no entry equivalent to AD090 in Annex VIII but Y16 of Annex I covers Wastes from production, formulation and use of photographic chemicals and processing materials. In practice the use of Annex III/Table 5 characteristics will result in similar outcomes in Basel and OECD.
		AD100	Wastes from non-cyanide based systems which arise from surface treatment of plastics	There is no entry equivalent to AD100 in Annex VIII but Y17 of Annex I covers Wastes resulting from surface treatment of metals and plastics. In practice the use of Annex III/Table 5 characteristics will result in similar outcomes in Basel and OECD.
A4090	Waste acidic or basic solutions (other than those specificied in the corresponding entry on list B) (see B2120)	AD110	Acidic solutions (see AB110)	B2120 excludes waste acidic or basic solutions with a pH greater than 2 and less than 11.5, which are not corrosive or otherwise hazardous. Acidic solutions that lack List 5 characteristics would be excluded from AB110
		AD130	Single use cameras with batteries	GO050 lists single use cameras without batteries. B4030 lists used single use cameras, with batteries not included on List A. In practice the use of Annex III/Table 5 characteristics will result in similar outcomes in Basel and OECD.
	(see Basel Convention Annex II)	AD160	Municipal/household wastes	Muncipal/household wastes are listed in Annex II of the Basel Convention
A4120	Wastes that contain, consist of, or are contaminated with peroxides	RC040	Peroxides other than hydrogen peroxide	TWG10 assumed that all traded peroxide wastes are covered by one of the waste streams in the first part of Annex I, and that hydrogen peroxide was excluded from RC040 because there was no trade in such wastes.
A4160	Spent activated carbon not included on list B (see B2060)	AD170	Spent activated carbon having hazardous characteristics and resulting from its use in the inorganic chemical, organic chemical and pharmaceutical industries, waste water treatment, gas/air cleaning processes and similar applications	B2060 specifies spent activated carbon resulting from the treatment of potable water and processes of the food industry and vitamin production.

Appendix 5: No difference between Basel and OECD

These hazardous wastes are described and placed in the same way in the Basel and OECD systems although there may be differences in the exact words used

	Basel Annex VIII		OECD Red and Amber lists	Comments
A1050	Galvanic sludges	AA120	Galvanic sludges
A1060	Waste liquors from the pickling of metals	AA130	Liquors from the pickling of metals
A1070	Leaching residues from zinc processing, dusts and sludges such as jarosite, hematite, etc.	AA140	Leaching residues from zinc processing, dusts and sludges such as jarosite, hematite, goethite, etc
A1160	Waste lead-acid batteries, whole or crushed	AA170	Lead-acid batteries, whole or crushed
A2030	Waste catalysts but excluding such wastes specified on List B	AB080	Spent catalysts not on the Green list
A2050	Waste asbestos (dusts and fibres)	RB010	Asbestos (dusts and fibres)
A3020	Waste mineral oils unfit for their originally intended use	AC030	Waste mineral oils unfit for their originally intended use
A3040	Waste thermal (heat transfer) fluids	AC050	Thermal (heat transfer) fluids
A3060	Waste nitrocellulose	AC100	Nitrocellulose
A3070	Waste phenols, phenol compounds including chlorophenol in the form of liquids or sludges	AC110	Phenol, phenol compounds including chlorophenol in the form of liquids or sludges
A3130	Waste organic phosphorous compounds	AC200	Organic phosphorous compounds
A3160	Waste halogenated or unhalogenated non-aqueous distillation residues arising from organic solvent recovery operations	AC230	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 chloromethanes, dichloroethane, vinyl chloride, allyl chloride and epichlorhydrin)	AC240	Wastes arising from the production of aliphatic halogenated hydrocarbons (such as chloromethanes, dichloroethane, vinyl chloride, allyl chloride and epichlorhydrin)
A3190	Waste tarry residues (excluding asphalt cements) arising from refining, distillation and any pyrolitic treatment of organic materials	RA020	Waste tarry residues (excluding asphalt cements) arising from refining, distillation and any pyrolitic treatment of organic materials
A4030	Wastes from the production, formulation, and use of biocides and phytopharmaceuticals including waste pesticides and herbicides which are off-specification, out-dated, or unfit for their originally-intended use	AD020	Wastes from the production, formulation, and use of biocides and phytopharmaceuticals
A4040	Wastes from the manufacture, formulation, and use of wood-preserving chemicals	AD030	Wastes from the manufacture, formulation, and use of wood preserving chemicals
A4050	Wastes that contain, consist of or are contaminated with any of the following:		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	AD040	- inorganic cyanides, excepting precious metal-bearing residues in solid form containing traces of inorganic cyanides
	- Organic cyanides	AD050	- organic cyanides
A4060	Waste oils/water, hydrocarbons/water mixtures, emulsions	AD060	Waste oils/water, hydrocarbons/water mixtures, emulsions
A4100	Wastes from industrial pollution control devices for cleaning of industrial off-gases but excluding such wastes specified on list B	AD140	Wastes from industrial pollution control devices for cleaning of industrial off-gases, not elsewhere specified or included
A4110	Wastes that contain, consist of or are contaminated with any of the following:
	- any congenor of polychlorinated dibenzo-furan	RC010	Wastes that contain or are contaminated with any congenor of polychlorinated dibenzo-furan
	- any congenor of polychlorinated dibenzo-dioxin	RC020	Wastes that contain or are contaminated with any congenor of polychlorinated dibenzo-dioxin

REVISION OF COUNCIL DECISION C(92)39/FINAL

CHAPTER I:

CHAPTER II

A.       DEFINITIONS

B.       GENERAL PROVISIONS

(1)       Conditions

(2)       Control Procedures

(3)       Procedure for Amendments to the Lists of Wastes in Appendices 3 and 4

(4)       Provision for Specific National Control

(5)       Information Requirements

(6)       Wastes not Listed in Appendices 3 or 4 to this Decision

(7)       Generator of Mixed or Transformed Waste

(8)       Procedures for Mixtures of Wastes

C.       GREEN CONTROL PROCEDURE

D.       AMBER CONTROL PROCEDURE

(1)       Conditions

(2)       Functioning of the Amber Control Procedure:

Case 1:        Individual transboundary movements of wastes or multiple shipments to a recovery facility.

Case 2:       Transboundary movements of wastes to pre-consented recovery facilities

(3)       Duty to Return or Re-export Wastes Subject to the Amber Control Procedure

(4)       Duty to Return Wastes Subject to the Amber Control Procedure from a Country of Transit

(5)       Provisions Relating to Recognised Traders

(6)       Provisions Relating to Exchange (R12) and Accumulation (R13) Operations

APPENDIX 1: CATEGORIES OF WASTES TO BE CONTROLLED

APPENDIX 2: LIST OF HAZARDOUS CHARACTERISTICS

APPENDIX 3: LIST OF WASTES SUBJECT TO THE GREEN CONTROL PROCEDURE

APPENDIX 4: LIST OF WASTES SUBJECT TO THE AMBER CONTROL PROCEDURE

APPENDIX 5.A: DISPOSAL OPERATIONS

APPENDIX 5.B: RECOVERY OPERATIONS

APPENDIX 6: CRITERIA FOR THE OECD RISK-BASED APPROACH

APPENDIX 7: PRACTICAL INFORMATION TO BE PROVIDED BY MEMBER COUNTRIES

APPENDIX 8: NOTIFICATION AND MOVEMENT DOCUMENTS

THE COUNCIL,

1.       Having regard to Article 5a) of the Convention on the Organisation for Economic Co-operation and Development of 14 December 1960;

2.       Having regard to the Decision of the Council of 30 March 1992 concerning the control of transfrontier movements of wastes destined for recovery operations C(92)39/FINAL, as amended, which establishes an operational control system for transboundary movements of wastes destined for recovery operations;

3.       Having regard to the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal, which entered into force on 5 May 1992, as amended on 6 November 1998 with Annexes VIII and IX listing respectively wastes characterised as hazardous pursuant to Article 1(1)(a) of the Convention and wastes not covered by Article 1(1)(a) of the Convention;

4.       Noting that most OECD Member countries (hereafter Member countries) and the European Community have become Parties to the Basel Convention;

5.       Noting that Member countries agreed at the Working Group on Waste Management Policy (WGWMP) meeting in Vienna in October 1998 to further harmonisation of procedures and requirements of OECD Decision C(92)39/FINAL with those of the Basel Convention;

6.       Noting that recovery of valuable materials and energy from wastes is an integral part of the international economic system and that well established international markets exist for the collection and processing of such materials within Member countries;

7.       Noting further that many industrial sectors in Member countries have already implemented waste recovery techniques in an environmentally sound and economically efficient manner, thus increasing resource efficiency and contributing to sustainable development, and convinced that further efforts to promote and facilitate waste recovery are necessary and should be encouraged;

8.       Recognising that the environmentally sound and economically efficient recovery of wastes may justify transboundary movements of wastes between Member countries;

9.       Recognising that the operational Control System established by Decision C(92)39/FINAL has provided a valuable framework for Member countries to control transboundary movements of wastes destined for recovery operations in an environmentally sound and economically efficient manner;

10.       Desiring, therefore, to continue this agreement or arrangement under Article 11.2 of the Basel Convention;

11.       Recognising that Member countries may, within their jurisdiction, impose requirements consistent with this Decision and in accordance with the rules of international law, in order to better protect human health and the environment; and

12.       Recognising the need to revise Decision C(92)39/FINAL in order to improve certain elements of the Control System and to enhance harmonisation with the Basel Convention,

On the proposal of the Environment Policy Committee:

       DECIDES that the text of Decision C(92)39/FINAL is revised as follows:

1.       DECIDES that Member countries shall control transboundary movements of wastes destined for recovery operations within the OECD area in accordance with the provisions set out in Chapter II of this Decision and in the appendices to it.

2.       INSTRUCTS the Environment Policy Committee in co-operation with other relevant OECD bodies, in particular the Trade Committee, to ensure that the provisions of this Control System remain compatible with the needs of Member countries to recover wastes in an environmentally sound and economically efficient manner.

3.       RECOMMENDS Member countries to use for the Notification Document and Movement Document the forms contained in Appendix 8 to this Decision.

4.       INSTRUCTS the Environment Policy Committee to amend the forms for the Notification Document and Movement Document as necessary.

5.       INSTRUCTS the Environment Policy Committee to review the procedure for amending the waste lists under Chapter II. B, (3) at the latest seven (7) years after the adoption of the present Decision.

6.       REQUESTS Member countries to provide the information that is necessary for the implementation of this Decision and is listed in Appendix 7 to this Decision.

7.       REQUESTS the Secretary General to transmit this Decision to the United Nations Environment Programme and the Secretariat of the Basel Convention.

A.       DEFINITIONS

For the purposes of this Decision:

1.       WASTES are substances or objects, other than radioactive materials covered by other international agreements, which:

(i)       are disposed of or are being recovered; or

(ii)       are intended to be disposed of or recovered; or

(iii)       are required, by the provisions of national law, to be disposed of or recovered.

2.       HAZARDOUS WASTES are:

(i)       Wastes that belong to any category contained in Appendix 1 to this Decision unless they do not possess any of the characteristics contained in Appendix 2 to this Decision; and

(ii)       Wastes that are not covered under sub-paragraph 2.(i) but are defined as, or are considered to be, hazardous wastes by the domestic legislation of the Member country of export, import or transit. Member countries shall not be required to enforce laws other than their own.

3.       DISPOSAL means any of the operations specified in Appendix 5.A to this Decision.

4.       RECOVERY means any of the operations specified in Appendix 5.B to this Decision.

5.       TRANSBOUNDARY MOVEMENT means any movement of wastes from an area under the national jurisdiction of a Member country to an area under the national jurisdiction of another Member country.

6.       RECOVERY FACILITY means a facility which, under applicable domestic law, is operating or is authorised or permitted to operate in the country of import to receive wastes and to perform recovery operations on them.

7.       COUNTRY OF EXPORT means a Member country from which a transboundary movement of wastes is planned to be initiated or is initiated.

8.       COUNTRY OF IMPORT means a Member country to which a transboundary movement of wastes is planned or takes place.

9.       COUNTRY OF TRANSIT means a Member country other than the country of export or import through which a transboundary movement of wastes is planned or takes place.

10.       COUNTRIES CONCERNED means the countries of export and import and any country of transit, as defined above.

11.       OECD AREA means all land and marine areas, under the national jurisdiction of any Member country.

12.       COMPETENT AUTHORITIES means the regulatory authorities of countries concerned having jurisdiction over transboundary movements of wastes covered by this Decision.

13.       PERSON means any natural or legal person.

14.       EXPORTER means any person under the jurisdiction of the country of export who initiates the transboundary movement of wastes or who has, at the time the planned transboundary movement commences, possession or other forms of legal control of the wastes.

15.       IMPORTER means any person under the jurisdiction of the country of import to whom possession or other form of legal control of the waste is assigned at the time the waste is received in the country of import.

16.       RECOGNISED TRADER means any person under the jurisdiction of a Member country who, with appropriate authorisation of countries concerned, acts in the role of principal to purchase and subsequently sell wastes; such a person may act to arrange and facilitate transboundary movements of wastes destined for recovery operations.

17.       GENERATOR means any person whose activities create wastes.

18.       A MIXTURE OF WASTES means a waste that results from an intentional or unintentional mixing of two or more different wastes. A single shipment of wastes, consisting of two or more wastes, where each waste is separated, is not a mixture of wastes.

B.       GENERAL PROVISIONS

(1)       Conditions

       The following conditions shall apply to transboundary movements of wastes subject to this Decision:

       (a) The wastes shall be destined for recovery operations within a recovery facility which will recover the wastes in an environmentally sound manner according to national laws, regulations and practices to which the facility is subject.

       (b) All persons involved in any contracts or arrangements for transboundary movements of wastes destined for recovery operations should have the appropriate legal status, in accordance with domestic legislation and regulations.

       (c) The transboundary movements shall be carried out under the terms of applicable international transport agreements.

(d)       Any transit of wastes through a non-member country shall be subject to international law and to all applicable national laws and regulations.

(2)       Control Procedures

       A two-tiered system serves to delineate controls to be applied to such transboundary movements of wastes:

       a) Green Control Procedure:

        Wastes falling under the Green control procedure are those wastes in Appendix 3 to this Decision. This Appendix has two parts:

�       Part I contains the wastes in Annex IX of the Basel Convention, some of which are subject to a note for the purposes of this Decision;

�       Part II contains additional wastes that OECD Member countries agreed to be subject to the Green control procedure, in accordance with criteria referred to in Appendix 6 to this Decision.

       The Green control procedure is described in Section C.

       b) Amber Control Procedure:

        Wastes falling under the Amber control procedure are those wastes in Appendix 4 to this Decision. This Appendix has two parts:

�       Part I contains the wastes in Annexes II and VIII of the Basel Convention, some of which are subject to a note for the purposes of this Decision;

�       Part II contains additional wastes that OECD Member countries agreed to be subject to the Amber control procedure, in accordance with criteria referred to in Appendix 6 to this Decision.

       The Amber control procedure is described in Section D.

(3)       Procedure for Amendments to the Lists of Wastes in Appendices 3 and 4

       Normally, and without any other formal decision, amendments made to Annex IX under the Basel Convention will be incorporated into Part I of Appendix 3 to this Decision and amendments made to Annexes II and VIII under the Basel Convention will be incorporated into Part I of Appendix 4 to this Decision, entering into effect from the date on which the amendment to the Basel Convention (hereafter the Amendment) becomes effective for the Parties to the Convention. On that same date any relevant change will be automatically made to Part II of Appendices 3 or 4.

       In exceptional cases:

       a) A Member country that determines, in accordance with the criteria referred to in Appendix 6, that a different level of control is justified for one or more wastes covered by the Amendment, may object in writing to the OECD Secretariat within sixty (60) days following the adoption of the Amendment by the Conference of the Parties to the Basel Convention. Such an objection, which shall provide an alternative proposal for inclusion into the relevant appendix or appendices to this Decision, will be immediately disseminated by the OECD Secretariat to all Member countries.

       b) The notification of an objection to the OECD Secretariat suspends the incorporation of the waste(s) concerned into the relevant appendix to this Decision. Pending examination of the objection by the appropriate OECD body, the waste(s) concerned shall be subject to the provisions of Section 6 (b) and 6 (c) hereunder.

       c) The appropriate OECD body shall promptly examine the objection and the related alternative proposal and shall reach a conclusion one month before the Amendment becomes effective for the Parties to the Basel Convention.

       d) If consensus is reached within the appropriate OECD body during that period, the relevant Appendix to this Decision will be modified as appropriate. Any modification becomes effective on the same date on which the amendment to the Basel Convention becomes effective for the Parties to the Convention.

       e) If no consensus is reached within the appropriate OECD body during that period, the Amendment will not be applied within the OECD Control System. With respect to the waste(s) concerned, the relevant appendix to this Decision will be modified as appropriate. Each Member country retains its right to control such waste(s) in conformity with its domestic legislation and international law.

(4)       Provision for Specific National Control

       a) This Decision does not prejudice the right of a Member country to control, on an exceptional basis, certain wastes differently, in conformity with domestic legislation and the rules of international law, in order to protect human health and the environment.

       b) Thus, a Member country may control wastes subject to the Green control procedure as if those wastes had been subject to the Amber control procedure.

       c) A Member country may, in conformity with domestic legislation, legally define or consider a waste subject to the Amber control procedure as subject to the Green control procedure because it does not exhibit any of the hazardous characteristics listed in Appendix 2 of this Decision, as determined using national procedures[1]

       d) In the case of a transboundary movement of wastes where the wastes are legally defined as, or considered to be, wastes subject to the Amber control procedure only by the country of import, the requirements of section D that apply to the exporter and the country of export, shall apply mutatis mutandis to the importer and the country of import, respectively.

(5)       Information Requirements

       Any Member country exercising the right to apply a different level of control shall immediately inform the OECD secretariat citing the specific waste(s) and applicable legislative requirements. Member countries which prescribe the use of certain tests and testing procedures in order to determine whether a waste exhibits one or more of the hazardous characteristics listed in Appendix 2 of this Decision shall also inform the OECD secretariat concerning which tests and testing procedures are being so utilised; and, if possible, which wastes would or would not be legally defined or considered to be hazardous wastes based upon application of these national procedures. All the above information requirements are specified in Appendix 7 to this Decision.

(6)       Wastes not Listed in Appendices 3 or 4 to this Decision

       Wastes which are destined for recovery operations but have not yet been assigned to Appendices 3 or 4 of this Decision, shall be eligible for transboundary movements pursuant to this Decision subject to the following conditions:

       (a) Member countries shall identify such wastes and, if appropriate, make applications to the Technical Working Group of the Basel Convention in order to amend the relevant Annexes of the Basel Convention;

       (b) Pending assignment to a list, such wastes shall be subject to the controls required for the transboundary movements of wastes by the domestic legislation of the countries concerned in order that no country is obliged to enforce laws other than its own;

       (c) However, if such wastes exhibit a hazardous characteristic listed in Appendix 2 to this Decision as determined by using national procedures[2] and any applicable international agreements, such wastes shall be subject to the Amber control procedure

(7)       Generator of Mixed or Transformed Waste

       If two or more lots of wastes are mixed and/or otherwise subjected to physical or chemical transformation operations, the person who performs these operations shall be deemed to be the generator of the new wastes resulting from these operations.

(8)       Procedures for Mixtures of Wastes

       Having regard to paragraph 11 of the preamble of this Decision, a mixture of wastes, for which no individual entry exists, shall be subject to the following control procedure:

       (i) a mixture of two or more Green wastes shall be subject to the Green control procedure, provided the composition of this mixture does not impair its environmentally sound recovery;

       (ii) a mixture of a Green waste and more than a de minimis amount of an Amber waste or a mixture of two or more Amber wastes shall be subject to the Amber control procedure, provided the composition of this mixture does not impair its environmentally sound recovery.

C.       GREEN CONTROL PROCEDURE

       Transboundary movements of wastes subject to the Green control procedure shall be subject to all existing controls normally applied in commercial transactions.

Regardless of whether or not wastes are included on the list of wastes subject to the Green Control Procedure (Appendix 3), they may not be subject to the Green control procedure if they are contaminated by other materials to an extent which (a) increases the risks associated with the wastes sufficiently to render them appropriate for submission to the amber control procedure, when taking into account the criteria in Appendix 6 to this Decision, or (b) prevents the recovery of the wastes in an environmentally sound manner.

D.       AMBER CONTROL PROCEDURE

(1)       Conditions

       (a) Contracts

       Transboundary movements of wastes under the Amber control procedure may only occur under the terms of a valid written contract, or chain of contracts, or equivalent arrangements between facilities controlled by the same legal entity, starting with the exporter and terminating at the recovery facility. All persons involved in the contracts, or arrangements shall have appropriate legal status.

       The contracts shall:

        i) clearly identify: the generator of each type of waste, each person who shall have legal control of the wastes and the recovery facility;

ii)       provide that relevant requirements of this Decision are taken into account and are binding on all parties to the contracts.

iii)       specify which party to the contract (i) shall assume responsibility for an alternative management of the wastes in compliance with applicable laws and regulations including, if necessary, the return of the wastes in accordance with section D. (3) (a) below and (ii), as the case may be, shall provide the notification for re-export in accordance with section D.(3) (b) below.

       Upon the request of the competent authorities of the countries of export or import, the exporter shall provide copies of such contracts or portions thereof.

       Any information contained in the contracts provided under terms of the above paragraph shall be held strictly confidential in accordance with and to the extent required by domestic laws.

       (b) Financial Guarantees

Where applicable, the exporter or the importer shall provide financial guarantees in accordance with national or international law requirements, for alternative recycling, disposal or other means of environmentally sound management of the wastes in cases where arrangements for the transboundary movement and the recovery operations cannot be carried out as foreseen.

       (c) Transboundary Movements of Amber Wastes for Laboratory Analysis

       Member countries may exempt a transboundary movement of a waste from the Amber control procedure, if it is explicitly destined for laboratory analysis to assess its physical or chemical characteristics or to determine its suitability for recovery operations. The amount of such waste so exempted shall be determined by the minimum quantity reasonably needed to adequately perform the analysis in each particular case, but not more than 25 kg. Analytical samples must be appropriately packaged and labelled and they remain subject to the conditions set out in Chapter II Section B. (1)(c) and (d) of this Decision. Where a competent authority of a country of import or country of export is required to be informed under its domestic legislation, the exporter shall inform that authority of a transboundary movement of a laboratory sample.

(2)       Functioning of the Amber Control Procedure:

       Procedures are provided under the Amber control procedure for the following two cases:

Case 1: individual transboundary movements or multiple shipments to a recovery facility;

Case 2: transboundary movements to pre-consented recovery facilities

Case 1:        Individual transboundary movements of wastes or multiple shipments to a recovery facility.

       (a) Prior to commencement of each transboundary movement of wastes, the exporter shall provide written notification ("single notification") to the competent authorities of the countries concerned. The notification document shall include all of the information listed in Appendix 8.A to this Decision. In accordance with domestic laws, the competent authorities of the country of export, instead of the exporter, may themselves transmit this notification.

       (b) In instances where competent authorities acting under the terms of their domestic laws are required to review the contracts referred to in section D. (1) above, the contract(s) or portions thereof to be reviewed must be sent together with the notification document in order that such review may be appropriately performed.

       (c) The competent authorities of the countries concerned may request additional information if the notification is not complete. Upon receipt of the complete notification document referred to in paragraph (a) above, the competent authorities of the country of import and, if applicable, of the country of export shall transmit an acknowledgement to the exporter with a copy to the competent authorities of all other countries concerned within three (3) working days of the receipt of the notification.

       (d) The competent authorities of the countries concerned shall have thirty (30) days to object, according to their domestic laws, to the proposed transboundary movement of wastes. The thirty (30)-day period for possible objection shall commence upon issuance of the acknowledgement of the competent authority of the country of import.

       (e) Any objection by any of the competent authorities of the countries concerned must be provided in writing to the exporter and to the competent authorities of all other countries concerned within the thirty (30)-day period.

       (f) If no objection has been lodged (tacit consent), the transboundary movement of wastes may commence after this thirty (30)-day period has passed. Tacit consent expires within one (1) calendar year from the end of the thirty (30)-day period.

       (g) In cases where the competent authorities of the countries concerned do not object and decide to provide written consent, it shall be issued within the thirty (30)-day period commencing upon issuance of the acknowledgement of the receipt of notification by the competent authority of the country of import. The transboundary movement of wastes may commence after all consents are received. Copies of the written consent(s) shall be sent to competent authorities of all countries concerned. Written consent is valid for up to one (1) calendar year from the date of its issuance.

       (h) Objection or written consent may be provided by post, e-mail with a digital signature, e-mail without digital signature followed by post, or telefax followed by post.

       (i) The transboundary movement of wastes may only take place during the period when the consents of all competent authorities (tacit or written consent) are valid.

       (j) Each transboundary movement of wastes shall be accompanied by a movement document which includes the information listed in Appendix 8.B to this Decision.

       (k) Within three (3) days of the receipt of the wastes by the recovery facility, the recovery facility shall return a signed copy of the movement document to the exporter and to the competent authorities of the countries of export, transit and import. Those countries of transit that do not wish to receive a signed copy of the movement document shall inform the OECD Secretariat. The recovery facility shall retain the original of the movement document for three (3) years.

       (l) As soon as possible, but no later than thirty (30) days after the completion of recovery and no later than one (1) calendar year following the receipt of the waste, the recovery facility shall send a certificate of recovery to the exporter and to the competent authorities of the countries of export and import by post, e-mail with a digital signature, email without digital signature followed by post, or telefax followed by post.

       (m) In cases where essentially similar wastes (e.g. those having essentially similar physical and chemical characteristics) are to be sent periodically to the same recovery facility by the same exporter, the competent authorities of the countries concerned may elect to accept one "general notification" for such multiple shipments for a period of up to one year. Each shipment must be accompanied by its own movement document, which includes the information listed in Appendix 8.B to this Decision.

       (n) Revocation of the acceptance in (m) above may be accomplished by means of an official notice to the exporter from any of the competent authorities of the countries concerned. Notice of revocation of acceptance for transboundary movements previously granted under this provision shall be given to the competent authorities of all countries concerned by the competent authorities of the country that revokes such acceptance.

        Case 2: Transboundary movements of wastes to pre-consented recovery facilities

       (a) Competent authorities having jurisdiction over specific recovery facilities in the country of import may decide not to raise objections concerning transboundary movements of certain types of wastes to a specific recovery facility (pre-consented recovery facility). Such decisions can be limited to a specified period of time and can be revoked at any time.

       (b) Competent authorities that elect this option shall inform the OECD secretariat of the recovery facility name, address, technologies employed, waste types to which the pre-consent applies, and the period covered. The OECD secretariat must also be notified of any revocations.

       (c) For all transboundary movements of wastes to such facilities paragraphs (a), (b) and (c) of Case 1 shall apply.

(d)       The competent authorities of the countries of export and transit shall have seven (7) working days to object, according to their domestic laws, to the proposed transboundary movement of wastes. The seven (7) working days period for possible objection shall commence upon issuance of the acknowledgement of the competent authority of the country of import. In exceptional cases where the competent authority of the country of export needs more than seven (7) working days in order to receive additional information from the exporter as necessary to meet the requirements of its domestic law, it may inform the exporter within the seven (7) working days that additional time is needed. This additional time may be up to thirty (30) days starting from the day of the issuance of the acknowledgement of the competent authority of the country of import.

(e)       Paragraphs (e), (f) and (g) of Case 1 shall apply with a period of seven (7) working days instead of thirty (30) days but for the exceptional cases mentioned in paragraph (d) above, in which case the period shall remain thirty (30) days.

(f)       Paragraphs (h), (i), (j), (k) and (l) of Case 1 shall apply.

(g)       In the case of the acceptance of a general notification, paragraph (m) of Case l shall apply with the exception that the shipments can cover a period of up to three (3) years. For the revocation of this acceptance, paragraph (n) in Case 1 shall apply.

(3)       Duty to Return or Re-export Wastes Subject to the Amber Control Procedure

When a transboundary movement of wastes subject to the Amber control procedure, to which countries concerned have given consent, cannot be completed in accordance with the terms of the contract, for any reason such as illegal shipments, the competent authority of the country of import shall immediately inform the competent authority of the country of export. If alternative arrangements cannot be made to recover these wastes in an environmentally sound manner in the country of import, the following provisions shall apply as the case may be:

       (a) Return from a country of import to the country of export:

        The competent authority of the country of import shall inform the competent authorities of the countries of export and transit, mentioning in particular the reason for returning the waste. The competent authority of the country of export shall admit the return of those wastes. In addition, the competent authorities of the countries of export and transit shall not oppose or prevent the return of these wastes. The return should take place within ninety (90) days from the time the country of import informs the country of export or such other period of time as the concerned Member countries agree. Any new transit country would require a new notification.

       (b) Re-export from a country of import to a country other than the initial country of export:

        Re-export from a country of import of wastes subject to the Amber control procedure may only occur following notification by an exporter in the country of import to the countries concerned, as well as to the initial country of export. The notification and control procedure shall follow the provisions set out in Case 1 of Section D. (2) with the addition that the provisions concerning the competent authorities of countries concerned shall also apply to the competent authority of the initial country of export.

(4)       Duty to Return Wastes Subject to the Amber Control Procedure from a Country of Transit

When the competent authority of the country of transit observes that a transboundary movement of wastes subject to the Amber control procedure, to which countries concerned have given consent, does not comply with the requirements of the notification and movement documents or otherwise constitutes illegal shipment, the competent authority of the country of transit shall immediately inform the competent authorities of the countries of export and import and any other countries of transit.

If alternative arrangements cannot be made to recover these wastes in an environmentally sound manner, the competent authority of the country of export shall admit the return of the shipment of these wastes. In addition, the competent authorities of the country of export and other countries of transit shall not oppose or prevent the return of the wastes. The return should take place within ninety (90) days from the time the country of transit informs the country of export or such other period of time as the concerned countries agree.

(5)       Provisions Relating to Recognised Traders

       (a) A recognised trader may act as an exporter or importer for wastes with all the responsibilities associated with being an exporter or importer.

       (b) The notification document called for in Chapter II section D (2), case 1, a) above shall include a signed declaration by the exporter that the appropriate contracts referred to in Chapter II section D (1) (a) are in place and are legally enforceable in all countries concerned.

(6)       Provisions Relating to Exchange (R12) and Accumulation (R13) Operations

        For transboundary movements of wastes destined for exchange (R12) or accumulation (R13) operations paragraphs (a) to (j), (m) and (n) of Case 1 shall apply. In addition:

       (a) If wastes are destined for a facility or facilities where a R12 or R13 recovery operation as designated in Appendix 5.B to this Decision takes place, the recovery facility or facilities where the subsequent R1-R11 recovery operation as designated in Appendix 5.B takes place or may take place, shall also be indicated in the notification document.

       (b) Within three (3) days of the receipt of the wastes by the R12/R13 recovery facility or facilities, the facilit(y)ies shall return a signed copy of the movement document to the exporter and to the competent authorities of the countries of export and import. The facilit(y)ies shall retain the original of the movement document for three (3) years.

       (c) As soon as possible but no later than thirty (30) days after the completion of the R12/R13 recovery operation and no later than one (1) calendar year following the receipt of the waste, the R12 or R13 facilit(y)ies shall send a certificate of recovery to the exporter and to the competent authorities of the countries of export and import by post, e-mail with a digital signature, email without digital signature followed by post, or telefax followed by post.

       (d) When an R12/R13 recovery facility delivers wastes for recovery to an R1-R11 recovery facility located in the country of import, it shall obtain as soon as possible but no later than one calendar year following delivery of the waste, a certification from the R1-R11 facility that recovery of the wastes at that facility has been completed. The R12/R13 facility shall promptly transmit the applicable certification(s) to the competent authorities of the countries of import and export, identifying the transboundary movements to which the certification(s) pertain.

(e)       When an R12/R13 recovery facility delivers wastes for recovery to an R1-R11 recovery facility located:

i)       in the initial country of export, a new notification is required in accordance with Section D. (2); or

       ii) in a third country other than the initial country of export, a new notification is required in accordance with Section D. (3)(b).

       Waste streams:

Y1       Clinical wastes from medical care in hospitals, medical centres 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 oil/water, hydrocarbon/water mixtures, emulsions

Y10       Waste substances and articles containing or contaminated with polychlorinated biphenyls (PCB's) and/or polychlorinated terphenyls (PCT's) and/or polybrominated biphenyls (PBB's)

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

Y12       Wastes from production, formulation and use of inks, dyes, pigments, paints, laquers, 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 phosphorous compounds

Y38       Organic cyanides

Y39       Phenols; phenol compounds including chlorophenols

Y40       Ethers

Y41       Halogenated organic solvents

Y42       Organic solvents excluding halogenated solvents

Y43       Any congener of polychlorinated dibenzo-furan

Y44       Any congener of polychlorinated dibenzo-p-dioxin

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

       Code[5] Characteristics

       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 a speed as to cause damage to the surroundings.

       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 65.6°C, 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.)

       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.

       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 in contact with air, and being liable to catch fire.

       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.

       H5.1: Oxidising.

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

       H5.2: Organic Peroxides.

        Organic substances or wastes that contain the bivalent-0-0-structure are thermally unstable substances which may undergo exothermic self-accelerating decomposition.

       H6.1: Poisonous (Acute)

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

       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.

       H8: Corrosives

        Substances or wastes that, 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.

       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.

       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.

       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.

       H13:

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

       The potential hazards posed by certain types of wastes are not yet fully documented; objective tests to define quantitatively these hazards do not exist. Further research is necessary in order to develop means to characterise potential hazards posed to man and/or the environment by these wastes. Standardised tests have been derived with respect to pure substances and materials. Many Member countries have developed tests which can be applied to materials destined for disposal or recovery by means of operations listed in Appendices 5.A or 5.B in order to decide if these materials exhibit any of the characteristics listed in this Appendix.

Regardless of whether or not wastes are included on this list, they may not be subject to the Green control procedure if they are contaminated by other materials to an extent which (a) increases the risks associated with the wastes sufficiently to render them appropriate for submission to the amber control procedure, when taking into account the criteria in Appendix 6, or (b) prevents the recovery of the wastes in an environmentally sound manner.

Part I:

Wastes listed in Annex IX of the Basel Convention.

For the purposes of this Decision:

(a)       Any reference to list A in Annex IX of the Basel Convention shall be understood as a reference to Appendix 4 of this Decision.

(b)       In Basel entry B1020 the term "bulk finished form" includes all metallic non-dispersible[6] forms of the scrap listed therein.

(c)       The part of Basel entry B1100 that refers to "Slags from copper processing" etc does not apply and OECD entry GB040 in Part II applies instead.

(d)       Basel entry B1110 does not apply and OECD entries GC010 and GC020 in Part II apply instead.

(e)       Basel entry B2050 does not apply and OECD entry GG040 in Part II applies instead.

(f)       The reference in Basel entry B3010 to fluorinated polymer wastes shall be deemed to include polymers and co-polymers of fluorinated ethylene (PTFE).

Part II:       

The following wastes will also be subject to the Green control procedure:

Metal and Metal-Alloy Wastes in Metallic, Non-Dispersible[6] Form

GA300        ex 811220 Chromium waste and scrap

Metal Bearing Wastes Arising from Melting, Smelting and Refining of Metals

GB040        7112 Slags from precious metals and copper processing for further refining

       262030

       262090

Other Wastes Containing Metals

GC010         Electrical assemblies consisting only of metals or alloys.

GC020         Electronic scrap (e.g. printed circuit boards, electronic components, wire, etc.) and reclaimed electronic components suitable for base and precious metal recovery.

GC030        ex 890800 Vessels and other floating structures for breaking up, properly emptied of any cargo and other materials arising from the operation of the vessel which may have been classified as a dangerous substance or waste

GC040        ex 8701-05 Motor vehicle wrecks, drained of liquids

       ex 8709-11

GC050        Spent Fluid Catalytic Cracking (FCC) Catalysts (e.g.: aluminium oxide, zeolites)

The following metal and metal alloy wastes in metallic dispersible form:

GC090       Molybdenum

GC100        Tungsten

GC110        Tantalum

GC120        Titanium

GC130        Niobium

GC140        Rhenium

Glass Waste in Non-dispersible Form

GE020        ex 7001 Glass Fibre Waste

       ex 701939

Ceramic Wastes in Non-Dispersible Form

GF010        Ceramic wastes which have been fired after shaping, including ceramic vessels

        (before and/or after use)

Other Wastes Containing Principally Inorganic Constituents, Which May Contain Metals

and Organic Materials

GG030        ex 2621 Bottom ash and slag tap from coal fired power plants

GG040        ex 2621 Coal fired power plants fly ash

GG160        Bituminous materials (asphalt waste) from road construction and maintenance, not containing tar

Solid Plastic Wastes

GH013        391530 Polymers of vinyl chloride

       ex 390410-40

Textile Wastes

GJ140        ex 6310 Waste textile floor coverings, carpets

Wastes Arising from Agro-Food Industries

GM140        ex 1500 Waste edible fats and oils of animal or vegetable origin (e.g. frying oils)

Wastes Arising from Tanning and Fellmongery Operations and Leather Use

GN010        ex 050200 Waste of pigs', hogs' or boars' bristles and hair or of badger hair and other brush making hair

GN020        ex 050300 Horsehair waste, whether or not put up as a layer with or without supporting material

GN030        ex 050590 Waste of skins and other parts of birds, with their feathers or down, of feathers and parts of feathers (whether or not with trimmed edges) and down, not further worked than cleaned, disinfected or treated for preservation

Part I:

Wastes listed in Annexes II and VIII of the Basel Convention.

For the purposes of this Decision:

(a)       Any reference to list B in Annex VIII of the Basel Convention shall be understood as a reference to Appendix 3 of this Decision.

(b)       In Basel entry A1010, the term "excluding such wastes specifically listed on List B (Annex IX)" is a reference both to Basel entry B1020 and the note on B1020 in Appendix 3 to this Decision, Part I (b).

(c)       Basel entries A1180 and A2060 do not apply and OECD entries GC010, GC020 and GG040 in Appendix 3 Part II apply instead when appropriate. Member countries may control these wastes differently in accordance with Chapter II B 6 of this Decision concerning wastes not listed in Appendices 3 or 4, and the chapeau of Appendix 3.

(d)       Basel entry A4050 includes spent potlinings from aluminium smelting because they contain Y33 inorganic cyanides. If the cyanides have been destroyed, spent potlinings are assigned to Part II entry AB120 because they contain Y32, inorganic fluorine compounds excluding calcium fluoride.

Part II:

The following wastes will also be subject to the Amber control procedure:

Metal Bearing Wastes

AA010        261900 Dross, scalings and other wastes from the manufacture of iron and steel[7]

AA060        262050 Vanadium ashes and residues

AA190        810420 Magnesium waste and scrap that is flammable, pyrophoric or emits, upon contact

       ex 810430 with water, flammable gases in dangerous quantities

Wastes Containing Principally Inorganic Constituents, Which May Contain Metals and Organic Materials

AB030        Wastes from non-cyanide based systems which arise from surface treatment of metals

AB070        Sands used in foundry operations

AB120        ex 281290 Inorganic halide compounds, not elsewhere specified or included

       ex 3824

AB130        Used blasting grit

AB150        ex 382490 Unrefined calcium sulphite and calcium sulphate from flue gas desulphurisation (FGD)

Wastes Containing Principally Organic Constituents, Which May Contain Metals and Inorganic Materials

AC020        Bituminous materials (asphalt waste) not elsewhere specified or included

AC060        ex 381900 Hydraulic fluids

AC070        ex 381900 Brake fluids

AC080        ex 382000 Antifreeze fluids

AC150        Chlorofluorocarbons

AC160        Halons

AC170        ex 440310 Treated cork and wood wastes

AC250        Surface active agents (surfactants)

AC260        ex 3101 Liquid pig manure; faeces

AC270        Sewage sludge

Wastes Which May Contain either Inorganic or Organic Constituents

AD090        ex 382490 Wastes from production, formulation and use of reprographic and photographic chemicals and materials not elsewhere specified or included

AD100        Wastes from non-cyanide based systems which arise from surface treatment of plastics

AD120        ex 391400 Ion exchange resins

       ex 3915

AD150        Naturally occurring organic material used as a filter medium (such as bio-filters)

Wastes Containing Principally Inorganic Constituents, Which May Contain Metals and Organic Materials

RB020        ex 6815 Ceramic based fibres of physico-chemical characteristics similar to those of asbestos

Appendix 5.A is meant to encompass all such disposal operations that occur in practice, whether or not they are adequate from the point of view of environmental protection.

D1       Deposit into or onto land, (e.g., landfill, etc.)

D2       Land treatment, (e.g., biodegradation of liquid or sludgy discards in soils, etc.)

D3       Deep injection, (e.g., injection of pumpable discards into wells, salt domes or naturally occurring repositories, etc.)

D4       Surface impoundment, (e.g., placement of liquid or sludge discards into pits, ponds or lagoons, etc.)

D5       Specially engineered landfill, (e.g., placement into lined discrete cells which are capped and isolated from one another and the environment, etc.)

D6       Release into a water body except seas/oceans

D7       Release into seas/oceans including sea-bed insertion

D8       Biological treatment not specified elsewhere in this Appendix which results in final compounds or mixtures which are discarded by means of any of the operations in Appendix 5.A

D9       Physico chemical treatment not specified elsewhere in this Appendix which results in final compounds or mixtures which are discarded by means of any of the operations in Appendix 5.A, (e.g., evaporation, drying, calcination, etc.)

D10       Incineration on land

D11       Incineration at sea

D12       Permanent storage (e.g., emplacement of containers in a mine, etc.)

D13       Blending or mixing prior to submission to any of the operations in Appendix 5.A

D14       Repackaging prior to submission to any of the operations in Appendix 5.A

D15       Storage pending any of the operations in Appendix 5.A

Appendix 5.B is meant to encompass all such operations with respect to materials considered to be or legally defined as wastes and which otherwise would have been destined for operations included in Appendix 5.A.

R1       Use as a fuel (other than in direct incineration) or other means to generate energy

R2       Solvent reclamation/regeneration

R3       Recycling/reclamation of organic substances which are not used as solvents

R4       Recycling/reclamation of metals and metal compounds

R5       Recycling/reclamation of other inorganic materials

R6       Regeneration of acids or bases

R7       Recovery of components used for pollution abatement

R8       Recovery of components from catalysts

R9       Used oil re-refining or other reuses of previously used oil

R10       Land treatment resulting in benefit to agriculture or ecological improvement

R11       Uses of residual materials obtained from any of the operations numbered R1-R10

R12       Exchange of wastes for submission to any of the operations numbered R1-R11

R13       Accumulation of material intended for any operation in Appendix 5.B

A) Properties

1)       Does the waste normally exhibit any of the hazardous characteristics listed in Appendix 2 to this Decision? Furthermore, it is useful to know if the waste is legally defined as or considered to be a hazardous waste in one or more Member countries.

2)       Is the waste typically contaminated?

3)       What is the physical state of the waste?

4)       What is the degree of difficulty of cleanup in the case of accidental spillage or mismanagement?

5)       What is the economic value of the waste bearing in mind historical price fluctuations?

B) Management

6)       Does the technological capability to recover the waste exist?

7)       Is there a history of adverse environmental incidents arising from transboundary movements of the waste or associated recovery operations?

8)       Is the waste routinely traded through established channels and is that evidenced by commercial classification?

9)       Is the waste usually moved internationally under the terms of a valid contract or chain of contracts?

10)       What is the extent of reuse and recovery of the waste and how is any portion separated from the waste but not subject to recovery managed?

11)       What are the overall environmental benefits arising from the recovery operations?

(1)       Competent Authority: indicates the address, telephone, e-mail and fax numbers of the regulatory authority having jurisdiction over transboundary movements of wastes destined for recovery operations. If separate competent authorities are known to exist for different types of movements (e.g. different authorities for transit than for import/export), this is also indicated. When applicable, indicate the code number of the national competent authorities.

(2)       Contact Point: provides the point of correspondence, including the address, telephone e-mail and fax numbers, through which individuals can, if desired, obtain additional or complementary information.

(3)       Acceptable Languages: indicates the languages that can be used by the exporter so that the notification document is understandable for the competent authority receiving it.

(4)       Required Points of Entry/Exit: notes if and when national regulations prescribe that shipments of recoverable wastes must enter or exit the territory through specific customs offices.

(5)       Pre-consented Recovery Facilities: indicates if a Member country has granted pre-consent for certain wastes to be accepted by one or more pre-consented recovery facilities within its jurisdiction, in conformity with Chapter II, D, (2), Case 2. Details on the company, the location, the expiry of pre-consent, the relevant waste types, and total quantity pre-consented is also indicated when known.

(6)       Classification Differences: this item is meant to indicate when divergent classifications exist between the OECD Appendices 3 and 4 and national waste lists, according to provisions of Section B(4) of this Decision. When known specific wastes and associated controls are cited.

(7)       Prohibitions: provides information on wastes specifically banned or prohibited for import or export under the Member country's pertinent national laws or regulations.

(8)       Contractual Requirements: notes requirements concerning contracts between the exporter and the importer, including whether the competent authority shall review the contract.

(9)       Written Consent: indicates if Member countries require written consent for exports or imports of wastes.

(10)       Information related to Environmentally Sound Management: Indicates additional information under the terms of domestic legislation on environmentally sound management of wastes.

(11)       Notification for Export: Indicates whether notifications for export are transmitted by the competent authorities instead of the exporter.

(12)       Movement Document: Indicates if a country of transit does not wish to receive a signed copy of the movement document, indicating the receipt of wastes by the recovery facility in the country of import.

(13)       Financial Requirements: If Member countries require financial guarantees for transboundary movements of recoverable wastes, such requirements would be specified under this entry. Information provided may inter alia include: the types of guarantee (e.g. insurance statement, bank letters, bonds, etc.), the amount of guarantee (minimum and maximum, if any), whether the guarantee varies according to amount and/or hazardousness of the waste, the damages to be covered.

(14)       Pertinent National Laws/Regulations: provides citations to relevant domestic laws and regulations containing provisions that relate to the conditions of this Decision.

(15)       Other is used to indicate:

       � additional differences between this Decision and national provisions;

       � pending amendments to pertinent national laws/regulations; and

       � other requirements or issues deemed relevant by the Member country.

A.       Information to be Included in the Notification Document:

1)       Serial number or other accepted identifier of notification document.

2)       Exporter name, address, telephone, telefax, e-mail and contact person.

3)       Recovery facility name, address, telephone, telefax, e-mail and technologies employed.

4)       Importer name, address, telephone, telefax, e-mail.

5)       Address, telephone, telefax, e-mail of any intended carrier(s) and/or their agents.

6)       Country of export and relevant competent authority.

7)       Countries of transit and relevant competent authorities.

8)       Country of import and relevant competent authority.

9)       Single notification or general notification. If general, period of validity requested.

10)       Date(s) foreseen for commencement of transboundary movement(s).

11)       Means of transport envisaged.

12)       Certification that any applicable insurance or other financial guarantee is or shall be in force covering the transboundary movement.

13)       Designation of waste type(s) on the appropriate list (Part I or II of Appendix 3 or 4) and their description(s), probable total quantity of each, and any hazardous characteristics.

14)       Specification of the recovery operation(s) according to Appendix 5.B to this Decision.

15)       Certification of the existence of written contract or chain of contracts or equivalent arrangement as required by this Decision.

16)       Certification by the exporter that the information is complete and correct to the best of his knowledge.

B.       Information to be Included in the Movement Document:

Include all information at A. above plus:

(a)       Date shipment has commenced.

(b)       Carrier(s) name, address, telephone, telefax, e-mail.

(c)       Type of packaging envisaged.

(d)       Any special precautions to be taken by carrier(s).

(e)       Declaration by exporter that no objection has been lodged by the competent authorities of all countries concerned. This declaration requires signature of the exporter.

(f)       Appropriate signatures for each custody transfer.

C.       Recommended forms for the notification and movement documents (see Chapter I paragraph 3) for transboundary movements of wastes destined for recovery operations within the OECD area and instructions for completing those forms:

Introduction

       Several International Agreements have been established to control exports and imports of wastes which may pose a risk or a hazard to human health and the environment. Those Agreements having the most influence on OECD Member countries are the UNEP Basel Convention[10] and the revised OECD Decision C(92)39/Final : C(2001)107 (hereafter "the OECD Decision"). In addition to these two agreements, those OECD Member countries that are also Member States of the European Union are obliged to comply with the European Community (EC) Regulation 259/93[11]. The EC Regulation and the Basel Convention cover international movements of waste, whether they are destined for disposal or recovery, whereas the OECD Decision only concerns movements of wastes destined for recovery operations at facilities within the OECD area. All of the agreements require regular administrative controls throughout their operation.

       This Appendix 8 to the OECD Decision comprises the tools of the control system, i.e. the forms for the Notification and Movement Documents, as well as the necessary explanations to complete these forms. Both forms are compatible with the three above-mentioned Agreements. Consequently, they also take into account some specific requirements set in the EC Regulation and in the Basel Convention and not all blocks or only part of the blocks are applicable or need to be completed. The few specific requirements relating to one control system only have been indicated by footnotes. It is also possible that national legislation may use different wording in its interpretation of the text of the Agreements.

       These forms include both terms, "disposal" and "recovery", due to differences in the definitions of the terms according to each agreement. Both OECD and EU use the same two terms, "disposal", for disposal operations listed in Appendix 5.A of the OECD Decision, and "recovery" for recovery operations listed in Appendix 5.B of the OECD Decision. However, in the Basel Convention only the term "disposal" is used to cover both disposal and recovery operations.

       National competent authorities will be responsible for providing and issuing the forms for the Notification and Movement Documents. When doing so, they will use a numbering system, which allows a particular consignment of waste to be traced. The numbering system should be prefixed with the country code that can be found in the ISO Standard 3166-abbreviation list.

       Countries may wish to issue the forms in a format that conforms to their national standards (normally ISO A4 as recommended by the United Nations). However, in order to facilitate their use internationally and to take into account the difference between ISO A4 and the paper size used in North America, the frame size of the forms should not be greater than 183 x 262 mm. with margins aligned at the top and the left side of the paper.

Purpose of Notification and Movement Documents

       The Notification Document is intended to provide the Competent Authorities of countries concerned with the information they need to assess the acceptability of the proposed waste movement. The Document includes space for acknowledging receipt of the notification by the relevant Competent Authority(ies) and, when required, consenting in writing to the movement.

       The Movement Document is intended to travel with the consignment at all times from leaving the waste generator to its arrival at the disposal/recovery facility in another country. Space is provided on the Document for completing detailed information on the first and any subsequent carriers of the consignment. Also, there are spaces to record passage of the consignment through Customs offices of all countries concerned. (While not strictly required by the International Agreements, some countries may by national legislation require such procedures and information to ensure proper control). Finally, the Document is to be used by the disposal/recovery facility to certify that the waste has been received and that the recovery/disposal operation is completed.

General Requirements

       When opting for the use of a printout copy, typescript or block capitals in permanent ink should be used throughout the Documents. Signatures should always be written in permanent ink and the name of the authorised representative should also appear in capital letters to accompany the signature. In the case of a minor mistake, e.g. wrong code for a waste, the correction can be made with the approval of the competent authorities and the new text has to be marked and signed or stamped, mentioning the date of the modification. For major changes or corrections, a new form has to be completed.

       The forms have also been designed to be easily completed electronically. In this case, appropriate security measures should be taken against any misuse of the forms. Any changes made with the approval of the competent authorities to a completed form should be visible. When using electronic forms transmitted by email, a digital signature is necessary.

       To avoid the complication of translation, the documents require a code, rather than language, in the completion of several blocks. However, where language is used, it must be acceptable to the Competent Authorities in the country of import and, whenever possible, to other countries concerned.

       A six-digit format should be used to indicate the date; e.g. 29 January 1995 should be shown as 29.01.95 (day.month.year).

       Given the possibility or the need to add annexes/attachments in many cases, each attachment should include the reference number of the relevant Notification and mention the block to which it relates in the Notification or Movement Document.

       Paper and electronic forms are provided by national competent authorities dealing with transboundary movements of wastes.

Specific Instructions for Completing the Form for the Notification Document

Blocks 1 & 2: The Exporter will provide the registration number (where applicable), full name, address (including the name of the country), telephone/fax numbers (including the country code) and e-mail address of the exporting and importing companies, as well as the name of a contact person responsible for the shipment. The provided phone/fax numbers and the e-mail address should facilitate contacting all relevant persons at any time in relation to any incident during shipment.

Normally, the Importer would be the same as the Disposal/ Recovery facility given in Block 10. However, in some cases the Importer can also be another person, for example a recognised trader, or a corporate body such as the headquarter/mailing address for the receiving disposal/recovery facility in block 10. In order to act as an importer, the recognised trader or corporate body must be under the jurisdiction of the country of import and have the possession or other form of legal control of waste at the moment the shipment arrives into the country of import. In those cases, the information relating to the recognised trader or corporate body should be completed in Block 2.

Block 3: When issuing a notification document, a Competent Authority will, according to its own system, provide an identification number which will be printed in this block (see paragraph 4 of the introduction). Indicate by ticking the appropriate boxes:

�       whether the notification covers one (single notification) or multiple shipments (general notification),

�       whether the waste shipment(s) is(are) destined for disposal (possible in case of an EU or a Basel shipment but not under the OECD Decision, see paragraphs 1 and 3 of the introduction) or for recovery; and

�       whether the shipment(s) is (are) destined to a facility which has been granted a pre-consent for receiving certain wastes subject to the Amber control procedure, in accordance with the case 2 of the "Functioning of the Amber Control Procedure" (see Chapter II, Section D of the OECD Decision).

Blocks 4, 5 & 6: For single or multiple movements, give the number of shipments in Block 4 and the intended date(s) of the single shipment or of the first and last shipments in Block 6. In Block 5, give the weight of the waste shipment (in kg), or volume (in litres) by using the metric system. Some countries may always require the weight to be quoted in kg. For multiple shipments, the total quantity shipped must not exceed the quantity declared in Block 5. The intended period of time for movements in Block 6 may not exceed the period of one year, with the exception of multiple shipments to pre-consented recovery facilities for which the intended period of time may not exceed three years. In the case of multiple shipments, the Basel Convention requires the expected dates or the expected frequency and the estimated quantity of each shipment to be quoted in Blocks 5 and 6 or attached in an annex. In the case where a Competent Authority issues a written consent to the movement and the validity period of that consent in Block 20 differs from the period indicated in Block 6, the decision of the Competent Authority overrules the information in Block 6.

Block 7: For type(s) of packaging use codes provided in the list of abbreviations and codes following the form of the Notification Document. If special handling precautions are required, e.g. producers handling instructions for employees, health and safety information, including dealing with spillage, Transport Emergency Cards etc., tick the appropriate box and attach the information in an annex.

Block 8: The Exporter has to provide all necessary information concerning the carrier(s) involved in the shipment: registration number (where applicable), full name, address (including the name of the country), telephone/fax numbers (including the country code) and e-mail address as well as the name of a contact person responsible for the shipment. If more than one carrier is involved, append to the Notification Document a complete list giving the required information for each carrier. Where the transport is organised by a forwarding agent, the details on the forwarding agent should be given in Block 8 and the respective information on actual carriers should be provided in an annex. For mean(s) of transport use abbreviations provided in the list of abbreviations and codes following the form of the Notification Document.

Block 9: Information on the generator of the waste is not required for movements of wastes destined for recovery under the OECD Decision. However, it is required under the Basel Convention and many countries may require it under their national legislation. If the Exporter is the generator of the waste, note here: "Same as Block 1". When the waste is produced by more than one generator write "See attached list" and append a list providing the requested information for each generator. Also provide information on the process by which the waste was generated and the site of generation. Some countries may accept that the information on the generator be given in a separate annex, which would be available to competent authorities only.

Block 10: Give the required information on the destination of the shipment, by first ticking the appropriate type of facility: disposal versus recovery. If the disposer or recoverer is also the importer, note here "Same as Block 2". If the disposal/recovery operation is a D13-D15 or R12/R13 operation, the facility performing such an operation shall be mentioned in Block 10 as well as the location where such an operation will be effectively performed. In this case, also the corresponding information on the subsequent facility(ies), where the D1-D12 or R1-R11 operation(s) take(s) place or may take place, shall be provided as an attachment.

Block 11: Indicate the type of recovery or disposal operation by using "R" or "D" codes which are provided in a list of abbreviations and codes following the form of the Notification Document. Also indicate the technology to be employed. The OECD Decision only covers transboundary movements of wastes destined for recovery operations ("R" Codes) within the OECD area. Specify also the reason for export (however, this is not required by the OECD Decision). If the disposal/recovery operation is a D13-D15 or R12/R13 operation, attach corresponding information on the subsequent operations (D1-D12 or R1-R11).

Block 12: Give the name(s) by which the material is commonly known and the names of its major constituents (in terms of quantity and/or hazard) and their relative concentrations, if known. In the case of a mixture of wastes, provide the same information for the different fractions and indicate which fraction(s) is/are destined for recovery. Attach further information in an annex if necessary.

Block 13: Indicate physical characteristics of the waste at normal temperature and pressure by using the codes provided in the list of abbreviations and codes following the form of the Notification Document.

Block 14: Give the code that identifies the waste according to the OECD Decision (in i or ii) and to other accepted classification systems (in iii to xii). According to the OECD Decision, one waste code only should be given, except in the case of mixtures of wastes for which no individual entry exists. In this particular case, the code of each fraction of the waste should be provided in order of importance (in an annex if necessary):

       i. Basel Annex VIII code(s) for wastes subject to control under the OECD Decision and the Basel Convention (see Part I of Appendix 4 in the OECD Decision); or Basel Annex IX code(s) for wastes not usually subject to control under the OECD Decision and the Basel Convention but which, for a specific reason such as contamination by hazardous substances or different classification according to national regulations, are subject to control (see Part I of Appendix 3 in the OECD Decision). Basel Annexes VIII and IX can be found in the text of the Basel Convention as well as in the Instruction Manual available from the Secretariat of the Basel Convention.

       ii. OECD code(s) for wastes listed in Part II of Appendices 3 and 4 of the OECD Decision, i.e. wastes that have a different level of control under the OECD Decision from the one required by the Basel Convention or that have no equivalent listing in the Basel Convention.

       iii. For EU countries, code(s) of the EC list of wastes (see Commission Decision 2000/532/EC as amended).

       iv & v Where applicable, national identification code(s) by which the waste is designated in the country of export and, if known, in the country of import.

       vi. If useful or required by relevant competent authorities, add here any other code or additional information facilitating the identification of the waste.

       vii. If applicable, Y code(s) which accord(s) with the relevant "Category(ies) of wastes to be controlled" (see Appendix 1 of the OECD Decision and Annex I of the Basel Convention), and/or the "Category of wastes requiring special consideration" given in Annex II of the Basel Convention (see Appendix 2 of the Basel Instruction Manual). "Y" codes are not required by the OECD Decision. However, if the waste shipment relates to one of those two "categories requiring special consideration" under the Basel Convention (Y46 and Y47 or Annex II wastes), the Basel Y category should be indicated.

       viii. H code(s), i.e. the code(s) indicating the hazardous characteristic(s) exhibited by the waste (see codes and characteristics in the list of abbreviations and codes following the form of the Notification Document).

       ix. UN class(es) which indicate(s) the hazard characteristic of the waste according to the UN classification (see list of abbreviations and codes following the form of the Notification Document) and is (or are) required to comply with international rules for transport of hazardous materials (see "UN Recommendations on the Transport of Dangerous Goods", 11^th revised edition, UN, New York, 1999).

       x & xi UN Number(s) and UN shipping name(s) which are used to identify the waste according to the UN classification and are required to comply with international rules for transport of hazardous materials (see "UN Recommendations on the Transport of Dangerous Goods", 11^th revised edition, UN, New York, 1999).

       xii. Customs code(s), which allow(s) identification of the waste by the Customs (see the list of codes and commodities in the "Harmonised commodity description and coding system" produced by the World Customs Organisation in Brussels).

Block 15: For the purpose of harmonisation with the Basel Convention, the word "states" is also used here, whereas the OECD Decision uses "Member countries", the EC Regulation "Member states" and the Basel Convention "States". On the first line (a), provide the name of the countries/states of export, transit and import or the codes for each country/state by using the ISO standard 3166 abbreviations. On the second line (b), provide the code number of the respective Competent Authority for each country if required by the national legislation and on the third line (c) the name of the border crossing or port and, where applicable, the customs office code number as the points of entry to or exit from a particular country. For transit countries give the third line (c) information for points of entry and exit. If more than three transit countries are involved in a particular movement, an attachment containing the appropriate information shall be annexed to the Notification Document.

Block 16: Completion required for movements entering, passing through or leaving Member States of the European Community.

Block 17: Each copy of the Notification Document is to be signed and dated by the Exporter (or by the recognised trader if acting as an exporter) before being forwarded to the Competent Authorities of countries concerned. In the Basel Convention, the waste generator is also required to sign the declaration. Some countries may require proof of insurance, other financial guarantees and a contract to accompany the Notification Document.

Block 18: The exporter shall indicate the number of annexes referring to attached lists (see blocks 5, 6, 8, 9,) or any additional information supplied with the Notification Document (see blocks 7, 10, 11, 12, 14, 15, 20 or 21). Each Annex must include the reference to the Notification number to which it relates and which is indicated in the corner of block 3.

Block 19: For use by the Competent Authority to acknowledge receipt of the notification. Under the OECD Decision, the Competent Authority of the country of import issues the acknowledgement. Some countries may, according to their domestic law, require that the Competent Authority of the country of export also issues an acknowledgement. Under the Basel Convention, the Competent Authority(ies) of the country(ies) of import (where applicable) and transit issue(s) an acknowledgement.

Block 20: For use by Competent Authorities of any country concerned when providing a written consent to a transboundary movement of waste. The OECD Decision does not require a written consent whereas the Basel Convention and particular countries always do. Indicate the name of the country (or its code by using the ISO standard 3166 abbreviations), the date on which the consent is provided and the date on which it expires. If the movement is subject to specific conditions, the Competent Authority in question should tick the appropriate box and specify conditions in Block 21 or in an annex to the Notification Document. If a Competent Authority wishes to object to the movement it should do so by writing "OBJECTION" in Block 20. Block 21, or a separate letter, may then be used to explain the objection.

Block 21: This Block can be used by the Competent Authorities, instead of a separate letter, when providing specific conditions to the written consent given to the movement or to explain their objection to the movement.

Specific Instructions for Completing the Form for the Movement Document

Block 1: Enter the Notification Number to which the particular consignment refers. This is copied from Block 3 in the Notification Document.

Block 2: In the case of a general notification for multiple shipments, enter the serial number of the shipment and the total intended number of shipments indicated in Block 4 in the Notification Document. (For example, write "4" and "11" for the fourth shipment out of eleven intended shipments under the general notification in question). In the case of a single notification, enter 1/1.

Blocks 3 & 4: Reproduce the same information on the exporter and importer as given for corresponding Blocks 1 and 2 in the Notification Document.

Block 5: Give the actual weight (in kg) or volume (in litres) of the waste shipment by using the metric system and, wherever possible, attach copies of weighbridge tickets. Some countries may always require the weight to be quoted in kg.

Block 6: Enter the date when the shipment actually starts. The starting dates of all shipments should be within the validity period issued by the Competent Authority(ies). Where the different Competent Authorities involved have granted different validity periods, the shipment(s) may only take place in the time period during which the consents of all competent authorities are simultaneously valid.

Block 7: Reproduce the information given at corresponding Block 7 in the Notification Document. Also enter the number of packages making up the consignment.

Blocks 8 (a, b & c): Enter the registration number (where applicable), name, address (including the name of the country), telephone/fax numbers (including the country code) and e-mail address of each actual carrier. Where more than three carriers are involved, appropriate information on each carrier should be attached to the Movement Document. Where the transport is organised by a forwarding agent, the details on the forwarding agent should be given in Block 8 and the respective information on actual carriers should be provided in an annex. The means of transport and their respective identity (license, registered name or registration number), the date of transfer and a signature are to be provided by the carrier or carrier's representative taking possession of the consignment. A copy of the signed Movement Document is to be retained by the Exporter. At each successive transfer of the consignment, the new carrier or carrier's representative taking possession of the consignment will have to comply with the same request and also sign the document. A copy of the signed Document is to be retained by the previous carrier.

Block 9: Reproduce the information given at Block 9 of the Notification Document.

Blocks 10 & 11: Reproduce the information given at corresponding Blocks 10 and 11 in the Notification Document. If the disposer or recoverer is also the importer, write in Block 10: "Same as Block 4". For the disposal/recovery operations D13-D15 or R12/R13 the information on the facility performing such an operation provided in Block 10 is sufficient, and no further information on the subsequent facility(ies) performing the D1-D12 or R1-R11 operation(s) is needed to be included in the Movement Document.

Blocks 12, 13 & 14: Reproduce the information given at corresponding Blocks 12, 13 and 14 in the Notification Document.

Block 15: At the time of shipment, the Exporter (or the recognised trader if acting as an exporter), as well as the generator of the waste according to the Basel Convention, shall sign and date the Movement Document. Some countries may require a copy or an original authorisation from the competent authorities to be enclosed with the Movement Document.

Block 16: This Block can be used by any person involved in a transboundary movement (Exporter, Importer, any Competent Authority, Carrier) in specific cases where more detailed information is required by national legislation concerning a particular item (e.g. information on the harbour where a transfer to another transport mode occurs, the number of containers and their identification number, or additional proof/stamps indicating that the movement has been consented by the Competent Authorities, etc.).

Block 17: To be completed by the authorised representative of the disposal/recovery facility upon receipt of the waste consignment. Tick the box of the appropriate type of facility. A signed copy of the Movement Document is given to the last carrier. If the shipment is rejected for any reason, the representative of the disposal/recovery facility must immediately contact his/her Competent Authority. Otherwise, within three working days, signed copies of the Movement Document are sent to the Exporter and the Competent Authority in countries concerned (except to those OECD transit countries which have informed the OECD Secretariat that they do not wish to receive such copies of the Movement Document). The original Movement Document shall be retained by the recovery facility.

The receipt of the waste consignment has to be certified by any facility performing any recovery operation, including an R12/R13 operation. However, a facility performing an R1-11 operation, subsequent to an R12/R13 operation in the same country, is not required to certify receipt of the consignment from the R12/R13 recovery facility. Thus, Block 17 does not need to be used for the final receipt of the consignment. Indicate also the type of disposal/recovery operation by using the list of abbreviations and codes following the form of the Movement Document, and the approximate date by which the disposal/recovery of waste will be completed (not required by the OECD Decision).

Block 18: To be completed by the disposer/recoverer to certify the completion of the disposal/recovery of the waste. Under the OECD Decision, signed copies of the Movement Document with Block 18 completed shall be sent to the Exporter and Competent Authorities of the countries of export and import as soon as possible, but no later than 30 days after the completion of the recovery and no later than one (1) calendar year following the receipt of the waste.

The recovery of the waste has to be certified by any facility performing any recovery operation, including an R12/R13 operation. Therefore, a facility performing an R1-11 operation, subsequent to an R12/R13 operation in the same country, is not able to use Block 18 to certify the recovery of the waste, since this block has already been completed by the R12/R13 facility. The means of certifying recovery in this particular case needs to be ascertained by each country. Under the Basel Convention, signed copies of the document with Block 18 completed shall be sent to the Exporter and Competent Authorities of the country of export.

Blocks 19, 20 & 21: Not required by the OECD Decision or by the Basel Convention. The Blocks may be used for control by Customs offices at the borders of country of export, transit and import if so required by the national legislation.

[2] In addition, certain Member countries have developed regulations used to determine whether or not wastes are controlled as hazardous wastes

[3] This Appendix is identical to Annex I of the Basel Convention.

[4] Codes and hazardous characteristics are identical to those in Annex III of the Basel Convention.

[5] Corresponds to hazard classification system included in the United Nations Recommendations on the Transport of Dangerous Goods (11^th Revised Edition, UN, New York, October 1999) for H1 through H9; omissions of H2, H7 and H9 are deliberate. Codes H10-H13 correspond to UN class 9.

[6] "Non-dispersible" does not include any wastes in the form of powder, sludge, dust or solid items containing encased hazardous waste liquids.

[7] This listing includes wastes in the form of ash, residue, slag, dross, skimming, scaling, dust, powder, sludge and cake, unless a material is expressly listed elsewhere.

[8] The wording of D1 to D15 in Appendix 5.A is identical to that of Annex IV.A of the Basel Convention.

[9] The wording of R1 to R13 in Appendix 5.B is identical to that of Annex IV.B of the Basel Convention.

[10] Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal, FINAL ACT 21 March 1989, UNITED NATIONS ENVIRONMENT PROGRAMME

[11] The European Community (EC) Regulation refers to Council Regulation (EEC) no 259/93 of 1 February 1993 on the "supervision and control of shipments of waste within, into and out of the European Community", Official Journal of the European Communities No. L30, 6.2.1993 (with amendments)