Japan Mining Industry AssociationFebruary 1, 2022

Guideline on appropriate treatment and traceability of green-listed waste forJapan Mining Industry Association member companies’ non-ferrous metalsmelters
1．Outline
Japan's Act on the Control of Export, Import and Others of Specified Hazardous
Wastes and Other Wastes (hereinafter, the “Basel Act”) was amended in June 2017. As
a result, it was decided that the importing procedures will be simplified for green-listed
waste imported from non-OECD member countries, on the condition that it is brought
into facilities where appropriate waste treatment is in place.
However, there are concerns over possible international as well as domestic
misunderstanding and misconception that “Japan has no specific procedures” for such
waste, which may in turn lead to potential misuse of the system for illegal trading,ultimately undermining the credibility of Japan and its mining industry. A traceability
system to ensure that such waste is brought into appropriate facilities is necessary.
As a voluntary activity, the Japan Mining Industry Association (hereafter“JMIA”) has established the following guidelines for non-ferrous metal smelters onensuring appropriate waste treatment and traceability.
This guideline is applicable to imports of green-listed waste, whether its origin is
an OECD member or non-member country.
2．Definitions of terms and requirements
1) Applicable Smelter
A business establishment in Japan owned by a JMIA member company (including
its subsidiary and affiliate) that: has facilities capable of recovering valuable
metals, including copper, gold, and silver, from green-listed waste, such as e-scrap,in an appropriate manner and in compliance with the Japanese laws; and has
continuously been carrying out appropriate treatment for a period of three or moreyears.
2) Applicable Pretreatment Operator
A Japanese business operator that carries out pretreatment of waste, including
shredding, sorting, and incineration, before it is treated at an Applicable Smelter. It
needs to: be carrying out pretreatment in compliance with the Japanese laws and in
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an environmentally friendly manner; have a contractual relationship with an
Applicable Smelter; and have a Business Partner code assigned to it.
3) Applicable Trading Company
A business operator that is engaged in trading abroad to procure materials for an
Applicable Smelter or Applicable Pretreatment Operator. It needs to be: collectingand transporting materials in compliance with the laws, Japanese and otherwise,
and in an environmentally friendly manner; have a contractual relationship with an
Applicable Smelter; and have a Business Partner code assigned to it.
4) Business Partner
A business operator that has a business relationship, directly or indirectly, with an
Applicable Smelter, such as a trading company, Japanese or overseas business
partner, and Pretreatment Operator.
5) National Government
The Ministry of Economy, Trade and Industry and the Ministry of the Environmentof Japan.
6) Competent Authorities (CA)A governmental authority designated to represent the country, as defined in Article
2.6 of the Basel Convention. In Japan, the Ministry of the Environment is theCompetent Authority.
3．Matters to be implemented
1) Applicable Smelter shall declare in writing to JMIA that it should abide by thisGuideline. It shall manage its treatment facilities (such as equipment to recovervaluable metals and system to treat effluent, exhaust gas, and residue), andendeavor to ensure traceability.
2) Applicable Smelter shall include in contract documents with its Business Partners

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such as Applicable Trading Companies a statement that this Guideline is to beabided by.
JMIA shall assign a Smelter code to each of Applicable Smelters.
Applicable Smelter shall assign a Business Partner code to each of the business
operators engaged in commercial transactions [of green-listed waste] abroad,regardless of whether such a business operator is the Applicable Smelter itself orother trading firm. It shall also disclose its Smelter code and issue a certificate thatlists the codes.
A business operator engaged in commercial transactions [of green-listed waste]abroad shall present a certificate to its overseas business counterpart to clarify that2 / 46)7)

the materials would be treated in Japan.
A business operator engaged in commercial transactions [of green-listed waste]abroad shall, when importing e-scrap, request its overseas business counterpart thatthe procedures be taken using the HS Code of 8549.29-000 Electricalandelectronic waste and scrap), in order to help increase the accuracy of importstatistics.
Applicable Smelter shall report to JMIA its environmental and recycling businessresults and import volume of green-listed waste for the previous fiscal year.

JMIA shall compile these results into a “Current state of environmental business”
and report it to the National Government every year.
9) Applicable Smelter and its domestic or overseas Business Partner shall include
their respective Smelter code and Business Partner code in documents that prove
the flow of materials, such as shipping advice, receipt, and transport request. Thesedocuments should be stored for a period of three years, and submitted to theNational Government if so requested by it.
10) Once a commercial transaction has been sealed, Applicable Smelter and business
operator engaged in commercial transactions [of green-listed waste] abroad shall
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respond with sincerity to any inquiry from an overseas party or the NationalGovernment. For instance, an Applicable Smelter shall send a notification on thedisposal to the exporter and to the overseas Competent Authorities (CAs).1) It shallalso provide a notification on the disposal to any inquiry from an external
certification body concerning final treatment.
JMIA shall post information about the current state of environmental business on
its website, and update the data every year.
Applicable Smelter shall check on the use of Business Partner codes once everyyear, and have a code that is not in use, if any, returned.
JMIA shall check on the use of Smelter codes once every year, and have a codethat is not in use, if any, returned.
Applicable Smelter shall, when starting transaction with a new trading firm, use atrial code for such a trading firm and follow its own corporate rules until the latter's
credibility has been established though credibility check.2)
Applicable Smelter shall immediately report to JMIA if any improper case, such asuse of a code it has not issued, has come to its attention. JMIA will in turn report itto the National Government.
JMIA will request the Applicable Smelter that the latter stop dealing with theBusiness Partner in question, and alert all those concerned to the matter by sharing
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the information with them.
This Guideline shall be made public on the JMIA website.
Where a trading firm or an overseas Business Partner has multiple levels ofsubsidiaries, i.e. first-, second-, third-tier subsidiaries, and so on, their transaction
documents should use the Applicable Smelter code and the Business Partner codeoriginally issued by the Applicable Smelter.
If an Applicable Smelter is found to have violated the Japanese laws and carriedout improper treatment, JMIA may cancel the Smelter code that has been assigned
to the Applicable Smelter in question.
Note 1) A notification on the disposal is not required under the Basel Act if amovement document has not been issued by the exporting country.
Note 2) Examples of matters to be checked on a potential Business Partner or its
flows of transactions include any connection with “antisocial forces,”
bribery of foreign civil servants, secure deliveries of goods, etc.

4．Routine review and improvement of the Guideline
This Guideline shall be reviewed at least once a year by JMIA's working committee on
recycling, and JMIA shall revise the Guideline if deemed necessary. Any matter not
stipulated in the Guideline shall be discussed and considered separately by JMIA.
(Establishment and revisions of the Guideline)
Established February 15, 2018
Revised February 1, 2022

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