ON THE CONTROL OF TRANSBOUNDARY 

MOVEMENTS OF HAZARDOUS WASTES 

AND THEIR DISPOSAL

BASEL CONVENTION

PROTOCOL ON LIABILITY AND COMPENSATION 

FOR DAMAGE RESULTING FROM TRANSBOUNDARY MOVEMENTS 

OF HAZARDOUS WASTES AND THEIR DISPOSAL

TEXTS AND ANNEXES
ON THE CONTROL OF TRANSBOUNDAR

MOVEMENTS OF HAZARDOUS WASTES 

AND THEIR DISPOSAL

BASEL CONVENTION

PROTOCOL ON LIABILITY AND COMPENSATION 

FOR DAMAGE RESULTING FROM TRANSBOUNDARY MOVE

OF HAZARDOUS WASTES AND THEIR DISPOSAL

TEXTS AND ANNEXES

Basel Convention on the Control of Transboundary 

Movements of Hazardous Wastes and their Disposal

Text 

Annex I 

Annex II 

Annex III 

Annex IV 

Annex V A 

Annex V B 

Annex VI 

Annex VII 

Annex VIII 

Annex IX 

Protocol on Liability and Compensation for Damage 

Resulting from Transboundary Movements of Hazardous 

Wastes and their Disposal

Text 

Annex A 

Annex B 

HAZARDOUS WASTES AND THEIR DISPOSAL

PREAMBLE2

The Parties to this Convention,

 Aware of the risk of damage to human health and the enviro

caused by hazardous wastes and other wastes and the transbo

movement thereof,

 Mindful of the growing threat to human health and the enviro

posed by the increased generation and complexity, and transbo

movement of hazardous wastes and other wastes,

 Mindful also that the most effective way of protecting human 

and the environment from the dangers posed by such wastes 

1

 The present text incorporates amendments to the Convention adopted subsequ

entry into force and that are in force as at 27 May 2014. Only the text of the Co

as kept in the custody of the Secretary-General of the United Nations in his 

as Depositary constitutes the authentic version of the Convention, as modifie

amendments and/or corrections thereto. This publication is issued for inf

purposes only. 2

 The Conference of the Parties adopted Decision III/1 at its third meeting to am

Convention by adding, inter alia, a new preambular paragraph 7 bis. The amen

not yet in force. The relevant part of Decision III/1 provides as follows:

“The Conference

 ...

 3. Decides to adopt the following amendment to the Convention:

 ‘Insert new preambular paragraph 7 bis:

 Recognizing that transboundary movements of hazardous wastes, espe

developing countries, have a high risk of not constituting an environmenta

management of hazardous wastes as required by this Convention;

 ...”’

P
| 6

 Convinced that States should take necessary measures to ensu

the management of hazardous wastes and other wastes includin

transboundary movement and disposal is consistent with the pro

of human health and the environment whatever the place of dispo

 Noting that States should ensure that the generator should ca

duties with regard to the transport and disposal of hazardous was

other wastes in a manner that is consistent with the protection 

environment, whatever the place of disposal,

 Fully recognizing that any State has the sovereign right to ban th

or disposal of foreign hazardous wastes and other wastes in its te

 Recognizing also the increasing desire for the prohibit

transboundary movements of hazardous wastes and their disp

other States, especially developing countries,

 Convinced that hazardous wastes and other wastes should, a

is compatible with environmentally sound and efficient manag

be disposed of in the State where they were generated,

 Aware also that transboundary movements of such wastes fr

State of their generation to any other State should be permitted onl

conducted under conditions which do not endanger human hea

the environment, and under conditions in conformity with the pro

of this Convention,

 Considering that enhanced control of transboundary mov

of hazardous wastes and other wastes will act as an incentive fo
 Convinced that States should take measures for the proper ex

of information on and control of the transboundary movem

hazardous wastes and other wastes from and to those States,

 Noting that a number of international and regional agreemen

addressed the issue of protection and preservation of the enviro

with regard to the transit of dangerous goods,

 Taking into account the Declaration of the United Nations Con

on the Human Environment (Stockholm, 1972), the Cairo Guidelin

Principles for the Environmentally Sound Management of Haz

Wastes adopted by the Governing Council of the United N

Environment Programme (UNEP) by decision 14/30 of 17 June 

the Recommendations of the United Nations Committee of Exp

the Transport of Dangerous Goods (formulated in 1957 and u

biennially), relevant recommendations, declarations, instrumen

regulations adopted within the United Nations system and the wo

studies done within other international and regional organizations

 Mindful of the spirit, principles, aims and functions of the 

Charter for Nature adopted by the General Assembly of the United N

at its thirty-seventh session (1982) as the rule of ethics in respect 

protection of the human environment and the conservation of 

resources,

 Affirming that States are responsible for the fulfilment o

international obligations concerning the protection of human 

and protection and preservation of the environment, and are li

accordance with international law,
| 8

treaties shall apply,

 Aware of the need to continue the development and impleme

of environmentally sound low-waste technologies, recycling o

good house-keeping and management systems with a view to re

to a minimum the generation of hazardous wastes and other waste

 Aware also of the growing international concern about the n

stringent control of transboundary movement of hazardous wast

other wastes, and of the need as far as possible to reduce such mov

to a minimum,

 Concerned about the problem of illegal transboundary tr

hazardous wastes and other wastes,

 Taking into account also the limited capabilities of the deve

countries to manage hazardous wastes and other wastes,

 Recognizing the need to promote the transfer of technology 

sound management of hazardous wastes and other wastes pro

locally, particularly to the developing countries in accordance w

spirit of the Cairo Guidelines and decision 14/16 of the Governing 

of UNEP on Promotion of the transfer of environmental pro

technology,

 Recognizing also that hazardous wastes and other wastes sho

transported in accordance with relevant international conventio

recommendations,
and the ultimate disposal of such wastes is environmentally sound

 Determined to protect, by strict control, human health a

environment against the adverse effects which may result fro

generation and management of hazardous wastes and other waste

HAVE AGREED AS FOLLOWS:

ARTICLE 1

SCOPE OF THE CONVENTION

1. The following wastes that are subject to transboundary mov

shall be “hazardous wastes” for the purposes of this Convention:

 (a) Wastes that belong to any category contained in Annex I

they do not possess any of the characteristics contained in Annex I

 (b) Wastes that are not covered under paragraph (a) but are d

as, or are considered to be, hazardous wastes by the domestic leg

of the Party of export, import or transit.

2. Wastes that belong to any category contained in Annex II t

subject to transboundary movement shall be “other wastes” 

purposes of this Convention.

3. Wastes which, as a result of being radioactive, are subject to 

international control systems, including international instru

applying specifically to radioactive materials, are excluded from the 

of this Convention.

A
| 10

excluded from the scope of this Convention.

ARTICLE 2

DEFINITIONS

For the purposes of this Convention:

1. “Wastes” are substances or objects which are disposed of 

intended to be disposed of or are required to be disposed of 

provisions of national law;

2. “Management” means the collection, transport and disp

hazardous wastes or other wastes, including after-care of dispos

3. “Transboundary movement” means any movement of haz

wastes or other wastes from an area under the national jurisdiction 

State to or through an area under the national jurisdiction of anoth

or to or through an area not under the national jurisdiction of an

provided at least two States are involved in the movement;

4. “Disposal” means any operation specified in Annex IV 

Convention;

5. “Approved site or facility” means a site or facility for the disp

hazardous wastes or other wastes which is authorized or permi

operate for this purpose by a relevant authority of the State wh

site or facility is located;

A
may think fit, for receiving the notification of a transboundary mov

of hazardous wastes or other wastes, and any information relate

and for responding to such a notification, as provided in Article 6

7. “Focal point” means the entity of a Party referred to in A

responsible for receiving and submitting information as provided 

Articles 13 and 16;

8. “Environmentally sound management of hazardous wastes o

wastes” means taking all practicable steps to ensure that hazardous 

or other wastes are managed in a manner which will protect 

health and the environment against the adverse effects which ma

from such wastes;

9. “Area under the national jurisdiction of a State” means an

marine area or airspace within which a State exercises admini

and regulatory responsibility in accordance with international 

regard to the protection of human health or the environment;

10. “State of export” means a Party from which a transboundary mo

of hazardous wastes or other wastes is planned to be initiated or is in

11. “State of import” means a Party to which a transboundary mov

of hazardous wastes or other wastes is planned or takes place 

purpose of disposal therein or for the purpose of loading prior to d

in an area not under the national jurisdiction of any State;

12. “State of transit” means any State, other than the State of ex

import, through which a movement of hazardous wastes or other 

is planned or takes place;
| 12

14. “Person” means any natural or legal person;

15. “Exporter” means any person under the jurisdiction of the S

export who arranges for hazardous wastes or other wastes to be ex

16. “Importer” means any person under the jurisdiction of the S

import who arranges for hazardous wastes or other wastes to be im

17. “Carrier” means any person who carries out the transport of haz

wastes or other wastes;

18. “Generator” means any person whose activity produces haz

wastes or other wastes or, if that person is not known, the person 

in possession and/or control of those wastes;

19. “Disposer” means any person to whom hazardous wastes o

wastes are shipped and who carries out the disposal of such waste

20. “Political and/or economic integration organization” mea

organization constituted by sovereign States to which its membe

have transferred competence in respect of matters governed 

Convention and which has been duly authorized, in accordance w

internal procedures, to sign, ratify, accept, approve, formally con

accede to it;

21. “Illegal traffic” means any transboundary movement of haz

wastes or other wastes as specified in Article 9.
1. Each Party shall, within six months of becoming a Party 

Convention, inform the Secretariat of the Convention of the waste

than those listed in Annexes I and II, considered or defined as haz

under its national legislation and of any requirements conc

transboundary movement procedures applicable to such waste

2. Each Party shall subsequently inform the Secretariat of any sig

changes to the information it has provided pursuant to paragraph 

3. The Secretariat shall forthwith inform all Parties of the inform

has received pursuant to paragraphs 1 and 2.

4. Parties shall be responsible for making the information trans

to them by the Secretariat under paragraph 3 available to their exp
| 14

1. (a) Parties exercising their right to prohibit the import of haz

wastes or other wastes for disposal shall inform the other Parties 

decision pursuant to Article 13.

 (b) Parties shall prohibit or shall not permit the export of haz

wastes and other wastes to the Parties which have prohibited the 

of such wastes, when notified pursuant to subparagraph (a) above.

 (c) Parties shall prohibit or shall not permit the export of haz

wastes and other wastes if the State of import does not consent in 

to the specific import, in the case where that State of import h

prohibited the import of such wastes.

3

 The Conference of the Parties adopted Decision III/1 at its third meeting to am

Convention by adding, inter alia, a new Article 4A. The amendment is not yet in f

relevant part of Decision III/1 provides as follows:

“The Conference

 ...

 3. Decides to adopt the following amendment to the Convention:

 ...

 ‘Insert new Article 4A:

 1. Each Party listed in Annex VII shall prohibit all transboundary move

hazardous wastes which are destined for operations according to Annex IV A, 

not listed in Annex VII.

 2. Each Party listed in Annex VII shall phase out by 31 December 1997, and 

as of that date, all transboundary movements of hazardous wastes under Artic

of the Convention which are destined for operations according to Annex IV B 

not listed in Annex VII. Such transboundary movement shall not be prohibited u

wastes in question are characterised as hazardous under the Convention. ...’”
 (a) Ensure that the generation of hazardous wastes and other 

within it is reduced to a minimum, taking into account social, techno

and economic aspects;

 b) Ensure the availability of adequate disposal facilities, 

environmentally sound management of hazardous wastes and 

wastes, that shall be located, to the extent possible, within it, wh

the place of their disposal;

 (c) Ensure that persons involved in the management of haz

wastes or other wastes within it take such steps as are necessary to p

pollution due to hazardous wastes and other wastes arising fro

management and, if such pollution occurs, to minimize the conseq

thereof for human health and the environment;

 (d) Ensure that the transboundary movement of hazardous 

and other wastes is reduced to the minimum consistent w

environmentally sound and efficient management of such wastes

conducted in a manner which will protect human health a

environment against the adverse effects which may result from 

movement;

 (e) Not allow the export of hazardous wastes or other wastes to 

or group of States belonging to an economic and/or political inte

organization that are Parties, particularly developing countries, 

have prohibited by their legislation all imports, or if it has reason to 

that the wastes in question will not be managed in an environm

sound manner, according to criteria to be decided on by the Pa

their first meeting;
| 16

States concerned, according to Annex V A, to state clearly the effect

proposed movement on human health and the environment;

 (g) Prevent the import of hazardous wastes and other wastes 

reason to believe that the wastes in question will not be manage

environmentally sound manner;

 (h) Co-operate in activities with other Parties and int

organizations, directly and through the Secretariat, includin

dissemination of information on the transboundary mov

of hazardous wastes and other wastes, in order to impro

environmentally sound management of such wastes and to achie

prevention of illegal traffic.

3. The Parties consider that illegal traffic in hazardous wastes o

wastes is criminal.

4. Each Party shall take appropriate legal, administrative and 

measures to implement and enforce the provisions of this Conv

including measures to prevent and punish conduct in contraven

the Convention.

5. A Party shall not permit hazardous wastes or other wastes 

exported to a non-Party or to be imported from a non-Party.

6. The Parties agree not to allow the export of hazardous wastes o

wastes for disposal within the area south of 60° South latitude, w

or not such wastes are subject to transboundary movement.
 (a) Prohibit all persons under its national jurisdiction 

transporting or disposing of hazardous wastes or other wastes unle

persons are authorized or allowed to perform such types of operat

 (b) Require that hazardous wastes and other wastes that 

be the subject of a transboundary movement be packaged, la

and transported in conformity with generally accepted and reco

international rules and standards in the field of packaging, la

and transport, and that due account is taken of relevant interna

recognized practices;

 (c) Require that hazardous wastes and other wastes be accom

by a movement document from the point at which a transbo

movement commences to the point of disposal.

8. Each Party shall require that hazardous wastes or other wa

be exported, are managed in an environmentally sound manner 

State of import or elsewhere. Technical guidelines for the environm

sound management of wastes subject to this Convention s

decided by the Parties at their first meeting.

9. Parties shall take the appropriate measures to ensure th

transboundary movement of hazardous wastes and other wastes 

allowed if:

 (a) The State of export does not have the technical capacity a

necessary facilities, capacity or suitable disposal sites in order to dis

the wastes in question in an environmentally sound and efficient m

or
| 18

 (c) The transboundary movement in question is in accordan

other criteria to be decided by the Parties, provided those criteria 

differ from the objectives of this Convention.

10. The obligation under this Convention of States in which haz

wastes and other wastes are generated to require that those 

are managed in an environmentally sound manner may not und

circumstances be transferred to the States of import or transit.

11. Nothing in this Convention shall prevent a Party from im

additional requirements that are consistent with the provisions 

Convention, and are in accordance with the rules of international 

order better to protect human health and the environment.

12. Nothing in this Convention shall affect in any way the sove

of States over their territorial sea established in accordanc

international law, and the sovereign rights and the jurisdiction 

States have in their exclusive economic zones and their cont

shelves in accordance with international law, and the exercise b

and aircraft of all States of navigational rights and freedoms as provi

in international law and as reflected in relevant international instru

13. Parties shall undertake to review periodically the possibilities 

reduction of the amount and/or the pollution potential of haz

wastes and other wastes which are exported to other States, in pa

to developing countries.
FOCAL POINT

To facilitate the implementation of this Convention, the Parties sha

1. Designate or establish one or more competent authorities a

focal point. One competent authority shall be designated to rece

notification in case of a State of transit.

2. Inform the Secretariat, within three months of the date of the en

force of this Convention for them, which agencies they have design

their focal point and their competent authorities.

3. Inform the Secretariat, within one month of the date of deci

any changes regarding the designation made by them under parag

above.

ARTICLE 6 

TRANSBOUNDARY MOVEMENT BETWEEN PARTIES

1. The State of export shall notify, or shall require the generator or e

to notify, in writing, through the channel of the competent authority 

State of export, the competent authority of the States concerned 

proposed transboundary movement of hazardous wastes or other 

Such notification shall contain the declarations and information spec

Annex V A, written in a language acceptable to the State of import. O

notification needs to be sent to each State concerned.

2. The State of import shall respond to the notifier in writing, con

to the movement with or without conditions, denying permiss

A
| 20

of the States concerned which are Parties.

3. The State of export shall not allow the generator or expo

commence the transboundary movement until it has received 

confirmation that:

 (a) The notifier has received the written consent of the S

import; and

 (b) The notifier has received from the State of import confir

of the existence of a contract between the exporter and the d

specifying environmentally sound management of the wastes in qu

4. Each State of transit which is a Party shall promptly ackno

to the notifier receipt of the notification. It may subsequently r

to the notifier in writing, within 60 days, consenting to the mov

with or without conditions, denying permission for the movem

requesting additional information. The State of export shall not al

transboundary movement to commence until it has received the 

consent of the State of transit. However, if at any time a Party d

not to require prior written consent, either generally or under 

conditions, for transit transboundary movements of hazardous wa

other wastes, or modifies its requirements in this respect, it shall fo

inform the other Parties of its decision pursuant to Article 13. In th

case, if no response is received by the State of export within 60 day

receipt of a given notification by the State of transit, the State of 

may allow the export to proceed through the State of transit.
 (a) By the State of export, the requirements of paragraph 9 

Article that apply to the importer or disposer and the State of impo

apply mutatis mutandis to the exporter and State of export, respec

 (b) By the State of import, or by the States of import and transi

are Parties, the requirements of paragraphs 1, 3, 4 and 6 of this Arti

apply to the exporter and State of export shall apply mutatis muta

the importer or disposer and State of import, respectively; or

 (c) By any State of transit which is a Party, the provisions of par

4 shall apply to such State.

6. The State of export may, subject to the written consent of the 

concerned, allow the generator or the exporter to use a general noti

where hazardous wastes or other wastes having the same physi

chemical characteristics are shipped regularly to the same disposer 

same customs office of exit of the State of export via the same c

office of entry of the State of import, and, in the case of transit, 

same customs office of entry and exit of the State or States of trans

7. The States concerned may make their written consent to the 

the general notification referred to in paragraph 6 subject to the 

of certain information, such as the exact quantities or periodical 

hazardous wastes or other wastes to be shipped.

8. The general notification and written consent referred to in para

6 and 7 may cover multiple shipments of hazardous wastes o

wastes during a maximum period of 12 months.
| 22

movement document either upon delivery or receipt of the wa

question. They shall also require that the disposer inform both the e

and the competent authority of the State of export of receipt 

disposer of the wastes in question and, in due course, of the comple

disposal as specified in the notification. If no such information is re

within the State of export, the competent authority of the State of 

or the exporter shall so notify the State of import.

10. The notification and response required by this Article s

transmitted to the competent authority of the Parties concerned or 

governmental authority as may be appropriate in the case of non-

11. Any transboundary movement of hazardous wastes or other 

shall be covered by insurance, bond or other guarantee as may be re

by the State of import or any State of transit which is a Party.

ARTICLE 7

TRANSBOUNDARY MOVEMENT FROM A PARTY THROU

STATES WHICH ARE NOT PARTIES

 Paragraph 1 of Article 6 of the Convention shall apply mutatis m

to transboundary movement of hazardous wastes or other wastes 

Party through a State or States which are not Parties.

A
 When a transboundary movement of hazardous wastes o

wastes to which the consent of the States concerned has been 

subject to the provisions of this Convention, cannot be compl

accordance with the terms of the contract, the State of export shall 

that the wastes in question are taken back into the State of export

exporter, if alternative arrangements cannot be made for their disp

an environmentally sound manner, within 90 days from the time t

importing State informed the State of export and the Secretariat, 

other period of time as the States concerned agree. To this end, th

of export and any Party of transit shall not oppose, hinder or prev

return of those wastes to the State of export.

ARTICLE 9

ILLEGAL TRAFFIC

1. For the purpose of this Convention, any transboundary movem

hazardous wastes or other wastes:

 (a) without notification pursuant to the provisions of this Con

to all States concerned; or

 (b) without the consent pursuant to the provisions of this Con

of a State concerned; or

 (c) with consent obtained from States concerned t

falsification, misrepresentation or fraud; or

 (d) that does not conform in a material way with the docume

A
| 24

principles of international law,

shall be deemed to be illegal traffic.

2. In case of a transboundary movement of hazardous wastes o

wastes deemed to be illegal traffic as the result of conduct on the 

the exporter or generator, the State of export shall ensure that the 

in question are:

 (a) taken back by the exporter or the generator or, if necess

itself into the State of export, or, if impracticable,

 (b) are otherwise disposed of in accordance with the provis

this Convention, 

within 30 days from the time the State of export has been in

about the illegal traffic or such other period of time as States con

may agree. To this end the Parties concerned shall not oppose, hi

prevent the return of those wastes to the State of export.

3. In the case of a transboundary movement of hazardous wa

other wastes deemed to be illegal traffic as the result of conduct 

part of the importer or disposer, the State of import shall ensure t

wastes in question are disposed of in an environmentally sound m

by the importer or disposer or, if necessary, by itself within 30 day

the time the illegal traffic has come to the attention of the State of 

or such other period of time as the States concerned may agree. 

end, the Parties concerned shall co-operate, as necessary, in the d

of the wastes in an environmentally sound manner.
the Parties concerned or other Parties, as appropriate, shall 

through co-operation, that the wastes in question are disposed of 

as possible in an environmentally sound manner either in the S

export or the State of import or elsewhere as appropriate.

5. Each Party shall introduce appropriate national/domestic leg

to prevent and punish illegal traffic. The Parties shall co-operate 

view to achieving the objects of this Article.

ARTICLE 10

INTERNATIONAL CO-OPERATION

1. The Parties shall co-operate with each other in order to impro

achieve environmentally sound management of hazardous wast

other wastes.

2. To this end, the Parties shall:

 (a) Upon request, make available information, wheth

a bilateral or multilateral basis, with a view to promotin

environmentally sound management of hazardous wastes and 

wastes, including harmonization of technical standards and pract

the adequate management of hazardous wastes and other wastes;

 (b) Co-operate in monitoring the effects of the managem

hazardous wastes on human health and the environment;

 (c) Co-operate, subject to their national laws, regulations and p

in the development and implementation of new environmentally 

A
| 26

wastes and other wastes and achieving more effective and e

methods of ensuring their management in an environmentally 

manner, including the study of the economic, social and environ

effects of the adoption of such new or improved technologies;

 (d) Co-operate actively, subject to their national laws, regulatio

policies, in the transfer of technology and management systems re

the environmentally sound management of hazardous wastes an

wastes. They shall also co-operate in developing the technical c

among Parties, especially those which may need and request te

assistance in this field;

 (e) Co-operate in developing appropriate technical guidelin

or codes of practice.

3. The Parties shall employ appropriate means to co-operate in o

assist developing countries in the implementation of subparagrap

c and d of paragraph 2 of Article 4.

4. Taking into account the needs of developing countries, co-op

between Parties and the competent international organizat

encouraged to promote, inter alia, public awareness, the develo

of sound management of hazardous wastes and other wastes a

adoption of new low-waste technologies.
1. Notwithstanding the provisions of Article 4 paragraph 5, Parti

enter into bilateral, multilateral, or regional agreements or arrang

regarding transboundary movement of hazardous wastes or other 

with Parties or non-Parties provided that such agreements or arrang

do not derogate from the environmentally sound managem

hazardous wastes and other wastes as required by this Convention

agreements or arrangements shall stipulate provisions which are n

environmentally sound than those provided for by this Conven

particular taking into account the interests of developing countries

2. Parties shall notify the Secretariat of any bilateral, multilat

regional agreements or arrangements referred to in paragraph 

those which they have entered into prior to the entry into force 

Convention for them, for the purpose of controlling transbo

movements of hazardous wastes and other wastes which take 

entirely among the Parties to such agreements. The provisions 

Convention shall not affect transboundary movements whic

place pursuant to such agreements provided that such agreeme

compatible with the environmentally sound management of haz

wastes and other wastes as required by this Convention.

ARTICLE 12

CONSULTATIONS ON LIABILITY

 The Parties shall co-operate with a view to adopting, as s

practicable, a protocol setting out appropriate rules and procedure

field of liability and compensation for damage resulting fro

transboundary movement and disposal of hazardous wastes and other 

A
| 28

1. The Parties shall, whenever it comes to their knowledge, ensu

in the case of an accident occurring during the transboundary mov

of hazardous wastes or other wastes or their disposal, which are l

present risks to human health and the environment in other States

States are immediately informed.

2. The Parties shall inform each other, through the Secretariat, of:

 (a) Changes regarding the designation of competent aut

and/or focal points, pursuant to Article 5;

 (b) Changes in their national definition of hazardous w

pursuant to Article 3;

and, as soon as possible,

 (c) Decisions made by them not to consent totally or partially 

import of hazardous wastes or other wastes for disposal within t

under their national jurisdiction;

 (d) Decisions taken by them to limit or ban the export of haz

wastes or other wastes;

 (e) Any other information required pursuant to paragrap

this Article.

3. The Parties, consistent with national laws and regulation

transmit, through the Secretariat, to the Conference of the 
 (a) Competent authorities and focal points that have been des

by them pursuant to Article 5;

 (b) Information regarding transboundary movements of haz

wastes or other wastes in which they have been involved, including

 (i) The amount of hazardous wastes and other wastes ex

 their category, characteristics, destination, any transit c

 and disposal method as stated on the response to notifica

 (ii) The amount of hazardous wastes and other wastes im

 their category, characteristics, origin, and disposal method

 (iii) Disposals which did not proceed as intended;

 (iv) Efforts to achieve a reduction of the amount of hazardous 

 or other wastes subject to transboundary movement;

 (c) Information on the measures adopted by them in impleme

of this Convention;

 (d) Information on available qualified statistics which hav

compiled by them on the effects on human health and the enviro

of the generation, transportation and disposal of hazardous wa

other wastes;

 (e) Information concerning bilateral, multilateral and r

agreements and arrangements entered into pursuant to Article 

this Convention;
| 30

measures undertaken to deal with them;

 (g) Information on disposal options operated within the area 

national jurisdiction;

 (h) Information on measures undertaken for developm

technologies for the reduction and/or elimination of produc

hazardous wastes and other wastes; and

 (i) Such other matters as the Conference of the Parties sha

relevant.

4. The Parties, consistent with national laws and regulations, shall 

that copies of each notification concerning any given transbo

movement of hazardous wastes or other wastes, and the respons

are sent to the Secretariat when a Party considers that its enviro

may be affected by that transboundary movement has requested t

should be done.

ARTICLE 14

FINANCIAL ASPECTS

1. The Parties agree that, according to the specific needs of d

regions and subregions, regional or sub-regional centres for traini

technology transfers regarding the management of hazardous 

and other wastes and the minimization of their generation sho

established. The Parties shall decide on the establishment of appr

funding mechanisms of a voluntary nature.

A
damage from accidents arising from transboundary moveme

hazardous wastes and other wastes or during the disposal of those 

ARTICLE 15

CONFERENCE OF THE PARTIES

1. A Conference of the Parties is hereby established. The first mee

the Conference of the Parties shall be convened by the Executive D

of UNEP not later than one year after the entry into force of this Conv

Thereafter, ordinary meetings of the Conference of the Parties s

held at regular intervals to be determined by the Conference 

first meeting.

2. Extraordinary meetings of the Conference of the Parties shall 

at such other times as may be deemed necessary by the Conferenc

the written request of any Party, provided that, within six months 

request being communicated to them by the Secretariat, it is suppo

at least one third of the Parties.

3. The Conference of the Parties shall by consensus agree up

adopt rules of procedure for itself and for any subsidiary body 

establish, as well as financial rules to determine in particular the fi

participation of the Parties under this Convention.

4. The Parties at their first meeting shall consider any add

measures needed to assist them in fulfilling their responsibilitie

respect to the protection and the preservation of the marine enviro

in the context of this Convention.

A
| 32

addition, shall:

 (a) Promote the harmonization of appropriate policies, str

and measures for minimizing harm to human health and the enviro

by hazardous wastes and other wastes;

 (b) Consider and adopt, as required, amendments to this Conv

and its annexes, taking into consideration, inter alia, available sc

technical, economic and environmental information;

 (c) Consider and undertake any additional action that m

required for the achievement of the purposes of this Convention 

light of experience gained in its operation and in the operation 

agreements and arrangements envisaged in Article 11;

 (d) Consider and adopt protocols as required; and

 (e) Establish such subsidiary bodies as are deemed necessary 

implementation of this Convention.

6. The United Nations, its specialized agencies, as well as any St

Party to this Convention, may be represented as observers at m

of the Conference of the Parties. Any other body or agency, w

national or international, governmental or non-governmental, q

in fields relating to hazardous wastes or other wastes which has in

the Secretariat of its wish to be represented as an observer at a m

of the Conference of the Parties, may be admitted unless at lea

third of the Parties present object. The admission and participa

observers shall be subject to the rules of procedure adopted 

Conference of the Parties.
an evaluation of its effectiveness and, if deemed necessary, to c

the adoption of a complete or partial ban of transboundary mov

of hazardous wastes and other wastes in light of the latest sc

environmental, technical and economic information.

ARTICLE 16

SECRETARIAT

1. The functions of the Secretariat shall be:

 (a) To arrange for and service meetings provided for in Arti

and 17;

 (b) To prepare and transmit reports based upon information re

in accordance with Articles 3, 4, 6, 11 and 13 as well as upon infor

derived from meetings of subsidiary bodies established under 

15 as well as upon, as appropriate, information provided by r

intergovernmental and non-governmental entities;

 (c) To prepare reports on its activities carried out in impleme

of its functions under this Convention and present them to the Con

of the Parties;

 (d) To ensure the necessary coordination with relevant intern

bodies, and in particular to enter into such administrative and con

arrangements as may be required for the effective discharge of its fu

A
| 34

 (f) To compile information concerning authorized national si

facilities of Parties available for the disposal of their hazardous was

other wastes and to circulate this information among Parties;

 (g) To receive and convey information from and to Parties on:

 - sources of technical assistance and training;

 - available technical and scientific know-how;

 - sources of advice and expertise; and

 - availability of resources

 with a view to assisting them, upon request, in such areas 

 - the handling of the notification system of this Conventi

 - the management of hazardous wastes and other waste

 - environmentally sound technologies relating to hazard

 wastes and other wastes; such as low- and non-waste 

 technology;

 - the assessment of disposal capabilities and sites;

 - the monitoring of hazardous wastes and other wastes; 

 - emergency responses;

 (h) To provide Parties, upon request, with information on cons

or consulting firms having the necessary technical competence 

field, which can assist them to examine a notification for a transbo

movement, the concurrence of a shipment of hazardous wa

other wastes with the relevant notification, and/or the fact th

proposed disposal facilities for hazardous wastes or other was

environmentally sound, when they have reason to believe that the 

in question
 (i) To assist Parties upon request in their identification of c

illegal traffic and to circulate immediately to the Parties concern

information it has received regarding illegal traffic;

 (j) To co-operate with Parties and with relevant and com

international organizations and agencies in the provision of expe

equipment for the purpose of rapid assistance to States in the even

emergency situation; and

 (k) To perform such other functions relevant to the purposes 

Convention as may be determined by the Conference of the Parties

2. The secretariat functions will be carried out on an interim b

UNEP until the completion of the first meeting of the Conference 

Parties held pursuant to Article 15.

3. At its first meeting, the Conference of the Parties shall design

Secretariat from among those existing competent intergovern

organizations which have signified their willingness to carry o

secretariat functions under this Convention. At this meetin

Conference of the Parties shall also evaluate the implementation 

interim Secretariat of the functions assigned to it, in particular 

paragraph 1 above, and decide upon the structures appropri

those functions.
| 36

1. Any Party may propose amendments to this Convention a

Party to a protocol may propose amendments to that protoco

amendments shall take due account, inter alia, of relevant scient

technical considerations.

2. Amendments to this Convention shall be adopted at a meeting 

Conference of the Parties. Amendments to any protocol shall be a

at a meeting of the Parties to the protocol in question. The text 

proposed amendment to this Convention or to any protocol, ex

may otherwise be provided in such protocol, shall be communicated 

Parties by the Secretariat at least six months before the meeting at w

is proposed for adoption. The Secretariat shall also communicate pr

amendments to the Signatories to this Convention for information

3. The Parties shall make every effort to reach agreement 

proposed amendment to this Convention by consensus. If all 

at consensus have been exhausted, and no agreement reache

amendment shall as a last resort be adopted by a three-fourths m

vote of the Parties present and voting at the meeting, and s

submitted by the Depositary to all Parties for ratification, approval, 

confirmation or acceptance.

4. The procedure mentioned in paragraph 3 above shall ap

amendments to any protocol, except that a two-thirds majority 

Parties to that protocol present and voting at the meeting shall 

for their adoption.
Amendments adopted in accordance with paragraphs 3 or 4 abov

enter into force between Parties having accepted them on the ni

day after the receipt by the Depositary of their instrument of ratifi

approval, formal confirmation or acceptance by at least three-

of the Parties who accepted them or by at least two thirds of the 

to the protocol concerned who accepted them, except as may oth

be provided in such protocol. The amendments shall enter int

for any other Party on the ninetieth day after that Party depo

instrument of ratification, approval, formal confirmation or accept

the amendments.

6. For the purpose of this Article, “Parties present and voting” 

Parties present and casting an affirmative or negative vote.

ARTICLE 18

ADOPTION AND AMENDMENT OF ANNEXES

1. The annexes to this Convention or to any protocol shall fo

integral part of this Convention or of such protocol, as the case may 

unless expressly provided otherwise, a reference to this Conventio

protocols constitutes at the same time a reference to any annexes t

Such annexes shall be restricted to scientific, technical and admini

matters.

2. Except as may be otherwise provided in any protocol with res

its annexes, the following procedure shall apply to the proposal, ad

and entry into force of additional annexes to this Convention or of a

to a protocol:

A
| 38

paragraphs 2, 3 and 4;

 (b) Any Party that is unable to accept an additional annex 

Convention or an annex to any protocol to which it is party s

notify the Depositary, in writing, within six months from the date 

communication of the adoption by the Depositary. The Deposita

without delay notify all Parties of any such notification received. 

may at any time substitute an acceptance for a previous declara

objection and the annexes shall thereupon enter into force for that 

 (c) On the expiry of six months from the date of the circulation 

communication by the Depositary, the annex shall become effectiv

Parties to this Convention or to any protocol concerned, which ha

submitted a notification in accordance with the provision of subpar

(b) above.

3. The proposal, adoption and entry into force of amendme

annexes to this Convention or to any protocol shall be subject 

same procedure as for the proposal, adoption and entry into 

of annexes to the Convention or annexes to a protocol. Annex

amendments thereto shall take due account, inter alia, of r

scientific and technical considerations.

4. If an additional annex or an amendment to an annex i

an amendment to this Convention or to any protocol, the add

annex or amended annex shall not enter into force until such ti

amendment to this Convention or to the protocol enters into forc
 Any Party which has reason to believe that another Party is ac

has acted in breach of its obligations under this Convention may 

the Secretariat thereof, and in such an event, shall simultaneou

immediately inform, directly or through the Secretariat, the Party 

whom the allegations are made. All relevant information sho

submitted by the Secretariat to the Parties.

ARTICLE 20

SETTLEMENT OF DISPUTES

1. In case of a dispute between Parties as to the interpreta

application of, or compliance with, this Convention or any p

thereto, they shall seek a settlement of the dispute through negotia

any other peaceful means of their own choice.

2. If the Parties concerned cannot settle their dispute through the 

mentioned in the preceding paragraph, the dispute, if the Parties 

dispute agree, shall be submitted to the International Court of 

or to arbitration under the conditions set out in Annex VI on Arbi

However, failure to reach common agreement on submission 

dispute to the International Court of Justice or to arbitration sh

absolve the Parties from the responsibility of continuing to seek to 

it by the means referred to in paragraph 1.

3. When ratifying, accepting, approving, formally confirming or ac

to this Convention, or at any time thereafter, a State or politic

or economic integration organization may declare that it recogn

compulsory ipso facto and without special agreement, in relation 

A
| 40

 (a) submission of the dispute to the International Court of 

and/or

 (b) arbitration in accordance with the procedures set out in An

Such declaration shall be notified in writing to the Secretariat whic

communicate it to the Parties.

ARTICLE 21

SIGNATURE

 This Convention shall be open for signature by States, by N

represented by the United Nations Council for Namibia, and by p

and/or economic integration organizations, in Basel on 22 Marc

at the Federal Department of Foreign Affairs of Switzerland in Bern

23 March 1989 to 30 June 1989 and at United Nations Headqua

New York from 1 July 1989 to 22 March 1990.

ARTICLE 22

RATIFICATION, ACCEPTANCE, FORMAL CONFIRMATION 

OR APPROVAL

1. This Convention shall be subject to ratification, accepta

approval by States and by Namibia, represented by the United N

Council for Namibia, and to formal confirmation or approval by p

and/or economic integration organizations. Instruments of ratifi

acceptance, formal confirmation, or approval shall be deposite

the Depositary.

A

A
such organizations, one or more of whose member States is a Party 

Convention, the organization and its member States shall decide o

respective responsibilities for the performance of their obligations 

the Convention. In such cases, the organization and the membe

shall not be entitled to exercise rights under the Convention concu

3. In their instruments of formal confirmation or approv

organizations referred to in paragraph 1 above shall declare the ex

their competence with respect to the matters governed by the Conv

These organizations shall also inform the Depositary, who will info

Parties of any substantial modification in the extent of their compe

ARTICLE 23

ACCESSION

1. This Convention shall be open for accession by States, by N

represented by the United Nations Council for Namibia, and by p

and/or economic integration organizations from the day after th

on which the Convention is closed for signature. The instrum

accession shall be deposited with the Depositary.

2. In their instruments of accession, the organizations referre

paragraph 1 above shall declare the extent of their competenc

respect to the matters governed by the Convention. These organi

shall also inform the Depositary of any substantial modification 

extent of their competence.

3. The provisions of Article 22, paragraph 2, shall apply to political 

economic integration organizations which accede to this Conventi

A
| 42

1. Except as provided for in paragraph 2 below, each Contractin

to this Convention shall have one vote.

2. Political and/or economic integration organizations, in matters 

their competence, in accordance with Article 22, paragraph 3, and 

23, paragraph 2, shall exercise their right to vote with a number o

equal to the number of their member States which are Parties 

Convention or the relevant protocol. Such organizations shall not e

their right to vote if their member States exercise theirs, and vice 

ARTICLE 25

ENTRY INTO FORCE

1. This Convention shall enter into force on the ninetieth day af

date of deposit of the twentieth instrument of ratification, acce

formal confirmation, approval or accession.

2. For each State or political and/or economic integration organ

which ratifies, accepts, approves or formally confirms this Conven

accedes thereto after the date of the deposit of the twentieth inst

of ratification, acceptance, approval, formal confirmation or acces

shall enter into force on the ninetieth day after the date of deposit 

State or political and/or economic integration organization of its inst

of ratification, acceptance, approval, formal confirmation or accessio

3. For the purpose of paragraphs 1 and 2 above, any inst

deposited by a political and/or economic integration organizatio

not be counted as additional to those deposited by member St

such organization.

A
1. No reservation or exception may be made to this Convention.

2. Paragraph 1 of this Article does not preclude a State or politic

or economic integration organization, when signing, ratifying, acc

approving, formally confirming or acceding to this Convention

making declarations or statements, however phrased or name

a view, inter alia, to the harmonization of its laws and regulatio

the provisions of this Convention, provided that such declarat

statements do not purport to exclude or to modify the legal effect

provisions of the Convention in their application to that State.

ARTICLE 27

WITHDRAWAL

1. At any time after three years from the date on which this Conv

has entered into force for a Party, that Party may withdraw fro

Convention by giving written notification to the Depositary.

2. Withdrawal shall be effective one year from receipt of noti

by the Depositary, or on such later date as may be specified 

notification.

ARTICLE 28

DEPOSITORY

 The Secretary-General of the United Nations shall be the Dep

of this Convention and of any protocol thereto.

A

A
| 44

 The original Arabic, Chinese, English, French, Russian and S

texts of this Convention are equally authentic.

 IN WITNESS WHEREOF the undersigned, being duly authorized 

effect, have signed this Convention.

 Done at Basel on the 22 day of March 1989.

| 46

CATEGORIES OF WASTES TO BE CONTROLLED

WASTE STREAMS

Y1 Clinical wastes from medical care in hospitals, 

medical centers and clinics

Y2 Wastes from the production and preparation of 

pharmaceutical products

Y3 Waste pharmaceuticals, drugs and medicines 

Y4 Wastes from the production, formulation and use of bioc

and phytopharmaceuticals

Y5 Wastes from the manufacture, formulation and use of wo

preserving chemicals

Y6 Wastes from the production, formulation and use of orga

solvents

Y7 Wastes from heat treatment and tempering operations 

containing cyanides

Y8 Waste mineral oils unfit for their originally intended use

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

Y10

Waste substances and articles containing or contaminate

with polychlorinated biphenyls (PCBs) and/or polychlorin

terphenyls (PCTs) and/or polybrominated biphenyls (PBB

Y11 Waste tarry residues arising from refining, distillation and 

pyrolytic treatment

Y12 Wastes from production, formulation and use of inks, dye

pigments, paints, lacquers, varnish

Y13 Wastes from production, formulation and use of resins, la

plasticizers, glues/adhesives

C
environment are not known

Y15 Wastes of an explosive nature not subject to other legisla

Y16 Wastes from production, formulation and use of photogr

chemicals and processing materials

Y17 Wastes resulting from surface treatment of metals and pl

Y18 Residues arising from industrial waste disposal operation

WASTES HAVING AS CONSTITUENTS:

Y19 Metal carbonyls

Y20 Beryllium; beryllium compounds

Y21 Hexavalent chromium compounds

Y22 Copper compounds

Y23 Zinc compounds

Y24 Arsenic; arsenic compounds

Y25 Selenium; selenium compounds

Y26 Cadmium; cadmium compounds

Y27 Antimony; antimony compounds

Y28 Tellurium; tellurium compounds

Y29 Mercury; mercury compounds

Y30 Thallium; thallium compounds

Y31 Lead; lead compounds

Y32 Inorganic fluorine compounds excluding calcium fluoride

Y33 Inorganic cyanides

Y34 Acidic solutions or acids in solid form

Y35 Basic solutions or bases in solid form

Y36 Asbestos (dust and fibres)

Y37 Organic phosphorus compounds
| 48

Y40 Ethers

Y41 Halogenated organic solvents

Y42 Organic solvents excluding halogenated solvents

Y43 Any congenor of polychlorinated dibenzo-furan

Y44 Any congenor of polychlorinated dibenzo-p-dioxin

Y45 Organohalogen compounds other than substances referr

in this Annex (e.g. Y39, Y41, Y42, Y43, Y44)

 (a) To facilitate the application of this Convention, and sub

paragraphs (b), (c) and (d), wastes listed in Annex VIII are characte

hazardous pursuant to Article 1, paragraph 1 (a), of this Conventio

wastes listed in Annex IX are not covered by Article 1, paragraph 

this Convention.

 (b) Designation of a waste on Annex VIII does not preclud

particular case, the use of Annex III to demonstrate that a waste 

hazardous pursuant to Article 1, paragraph 1 (a), of this Convention

 (c) Designation of a waste on Annex IX does not preclud

particular case, characterization of such a waste as hazardous purs

Article 1, paragraph 1 (a), of this Convention if it contains Annex I m

to an extent causing it to exhibit an Annex III characteristic.

 (d) Annexes VIII and IX do not affect the application of Ar

paragraph 1 (a), of this Convention for the purpose of characteriza

wastes.4

4

 The amendment whereby paragraphs (a), (b), (c) and (d) were added to at th

Annex I entered into force on 6 November 1998, six months following the iss

depositary notification C.N.77.1998 of 6 May 1998 (reflecting Decision IV/9, ad

the Conference of the Parties at its fourth meeting). 
CATEGORIES OF WASTES REQUIRING SPECIAL

CONSIDERATION

Y46 Wastes collected from households

Y47 Residues arising from the incineration of household wast

C
| 50

LIST OF HAZARDOUS CHARACTERISTICS

UN Class5 Code Characteristics

1 H1 Explosive

An explosive substance or waste is a 

or liquid substance or waste (or mixtu

substances or wastes) which is in itself ca

by chemical reaction of producing gas at s

temperature and pressure and at such a 

as to cause damage to the surroundings.

3 H3 Flammable liquids

The word “flammable” has the same me

as “inflammable”. Flammable liquids 

liquids, or mixtures of liquids, or l

containing solids in solution or suspe

(for example, paints, varnishes, lac

etc., but not including substances or w

otherwise classified on account of 

dangerous characteristics) which give 

flammable vapour at temperatures o

more than 60.5o

C, closed-cup test, or not 

than 65.6oC, open-cup test. (Since the r

of open-cup tests and of closed-cup tes

not strictly comparable and even indiv

results by the same test are often va

regulations varying from the above figu

make allowance for such differences wou

within the spirit of this definition.)

5

 Corresponds to the hazard classification system included in the United 

Recommendations on the Transport of Dangerous Goods (ST/SG/AC.10/1Rev.

Nations, New York, 1988).

L
Solids, or waste solids, other than 

classed as explosives, which under cond

encountered in transport are r

combustible, or may cause or contribute 

through friction.

4.2 H4.2 Substances or wastes liable to sponta

combustion

Substances or wastes which are liab

spontaneous heating under normal cond

encountered in transport, or to heating 

contact with air, and being then liable to 

fire. 

4.3 H4.3 Substances or wastes which, in contact 

water emit flammable gases

Substances or wastes which, by intera

with water, are liable to become spontane

flammable or to give off flammable ga

dangerous quantities.

5.1 H5.1 Oxidizing

Substances or wastes which, whi

themselves not necessarily combu

may, generally by yielding oxygen c

or contribute to, the combustion of 

materials.

5.2 H5.2 Organic Peroxides

Organic substances or wastes which co

the bivalent-o-o-structure are the

unstable substances which may un

exothermic self-accelerating decompo
| 52

Substances or wastes liable either to 

death or serious injury or to harm h

health if swallowed or inhaled or by 

contact.

6.2 H6.2 Infectious substances

Substances or wastes containing viable 

organisms or their toxins which are k

or suspected to cause disease in anim

humans.

8 H8 Corrosives

Substances or wastes which, by che

action, will cause severe damage wh

contact with living tissue, or, in the ca

leakage, will materially damage, or 

destroy, other goods or the means of tran

they may also cause other hazards.

9 H10 Liberation of toxic gases in contact with 

water

Substances or wastes which, by intera

with air or water, are liable to give off 

gases in dangerous quantities.

9 H11 Toxic (Delayed or chronic)

Substances or wastes which, if they are in

or ingested or if they penetrate the skin

involve delayed or chronic effects, incl

carcinogenicity.
Substances or wastes which if released pr

or may present immediate or delayed ad

impacts to the environment by mea

bioaccumulation and/or toxic effects 

biotic systems.

9 H13 

Capable, by any means, after dispos

yielding another material, e.g., leachate, 

possesses any of the characteristics 

above.

TESTS

 The potential hazards posed by certain types of wastes are 

fully documented; tests to define quantitatively these hazards do no

Further research is necessary in order to develop means to chara

potential hazards posed to man and/or the environment by these 

Standardized tests have been derived with respect to pure substan

materials. Many countries have developed national tests which 

applied to materials listed in Annex I, in order to decide if these m

exhibit any of the characteristics listed in this Annex.
| 54

DISPOSAL OPERATIONS

A. OPERATIONS WHICH DO NOT LEAD TO THE POSSIBI

OF RESOURCE RECOVERY, RECYCLING, RECLAMATION,

DIRECT RE-USE OR ALTERNATIVE USES

Section A encompasses all such disposal operations which o

practice.

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

D2 Land treatment, (e.g., biodegradation of liquid or s

discards in soils, etc.)

D3 Deep injection, (e.g., injection of pumpable discards into 

salt domes of naturally occurring repositories, etc.)

D4 Surface impoundment, (e.g., placement of liquid or s

discards into pits, ponds or lagoons, etc.)

D5

Specially engineered landfill, (e.g., placement into lined di

cells which are capped and isolated from one another an

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 A

which results in final compounds or mixtures whic

discarded by means of any of the operations in Section A

D9

Physico chemical treatment not specified elsewhere i

Annex which results in final compounds or mixtures whi

discarded by means of any of the operations in Section A

evaporation, drying, calcination, neutralization, precipit

etc.)

D10 Incineration on land
etc.)

D13 Blending or mixing prior to submission to any of the oper

in Section A

D14 Repackaging prior to submission to any of the operatio

Section A

D15 Storage pending any of the operations in Section A

B. OPERATIONS WHICH MAY LEAD TO RESOURCE

RECOVERY, RECYCLING RECLAMATION, DIRECT RE-USE 

ALTERNATIVE USES

Section B encompasses all such operations with respect to ma

legally defined as or considered to be hazardous wastes and 

otherwise would have been destined for operations inclu

Section A

R1 Use as a fuel (other than in direct incineration) or other m

to generate energy

R2 Solvent reclamation/regeneration

R3 Recycling/reclamation of organic substances which ar

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
| 56

R11 Uses of residual materials obtained from any of the oper

numbered R1-R10

R12 Exchange of wastes for submission to any of the oper

numbered R1-R11

R13 Accumulation of material intended for any operation in Sec
INFORMATION TO BE PROVIDED ON NOTIFICATIO

1. Reason for waste export

2. Exporter of the waste 1/

3. Generator(s) of the waste and site of generation 1/

4. Disposer of the waste and actual site of disposal 1/

5. Intended carrier(s) of the waste or their agents, if known 1/

6. Country of export of the waste

 Competent authority 2/

7. Expected countries of transit

 Competent authority 2/

8. Country of import of the waste

 Competent authority 2/

9. General or single notification

10. Projected date(s) of shipment(s) and period of time over which 

is to be exported and proposed itinerary (including point of en

exit)3/

11. Means of transport envisaged (road, rail, sea, air, inland waters)

12. Information relating to insurance 4/

IN
| 58

special handling requirements including emergency provis

case of accidents

14. Type of packaging envisaged (e.g. bulk, drummed, tanker)

15. Estimated quantity in weight/volume 6/

16. Process by which the waste is generated 7/

17. For wastes listed in Annex I, classifications from Annex III: haz

characteristic, H number, and UN class

18. Method of disposal as per Annex IV

19. Declaration by the generator and exporter that the infor

is correct

20. Information transmitted (including technical description of the 

to the exporter or generator from the disposer of the wast

which the latter has based his assessment that there was no 

to believe that the wastes will not be managed in an enviro

tally sound manner in accordance with the laws and regulat

the country of import

21. Information concerning the contract between the export

disposer.
1/ Full name and address, telephone, telex or telefax number a

name, address, telephone, telex or telefax number of the pe

be contacted.

2/ Full name and address, telephone, telex or telefax number.

3/ In the case of a general notification covering several shipments

the expected dates of each shipment or, if this is not know

expected frequency of the shipments will be required.

4/ Information to be provided on relevant insurance requiremen

how they are met by exporter, carrier and disposer.

5/ The nature and the concentration of the most hazardous comp

in terms of toxicity and other dangers presented by the waste 

handling and in relation to the proposed disposal method.

6/ In the case of a general notification covering several shipment

the estimated total quantity and the estimated quantities fo

individual shipment will be required.

7/ Insofar as this is necessary to assess the hazard and determ

appropriateness of the proposed disposal operation.
| 60

INFORMATION TO BE PROVIDED ON THE MOVEME

DOCUMENT

1. Exporter of the waste 1/

2. Generator(s) of the waste and site of generation 1/

3. Disposer of the waste and actual site of disposal 1/

4. Carrier(s) of the waste 1/ or his agent(s)

5. Subject of general or single notification

6. The date the transboundary movement started and date

signature on receipt by each person who takes charge of the 

7. Means of transport (road, rail, inland waterway, sea, air) in

countries of export, transit and import, also point of entry a

where these have been designated

8. General description of the waste (physical state, proper UN sh

name and class, UN number, Y number and H number as app

9. Information on special handling requirements including eme

provision in case of accidents

10. Type and number of packages

11. Quantity in weight/volume

IN
13. Declaration by the generator or exporter indicating no objectio

the competent authorities of all States concerned which are Pa

14. Certification by disposer of receipt at designated disposal 

and indication of method of disposal and of the approximate 

disposal.

Notes

 The information required on the movement document shall 

possible be integrated in one document with that required 

transport rules. Where this is not possible the information 

complement rather than duplicate that required under the tra

rules. The movement document shall carry instructions as to wh

provide information and fill-out any form.

1/ Full name and address, telephone, telex or telefax number a

name, address, telephone, telex or telefax number of the perso

contacted in case of emergency.
| 62

ARBITRATION

ARTICLE 1

 Unless the agreement referred to in Article 20 of the Conv

provides otherwise, the arbitration procedure shall be conduc

accordance with Articles 2 to 10 below.

ARTICLE 2

 The claimant Party shall notify the Secretariat that the Partie

agreed to submit the dispute to arbitration pursuant to paragrap

paragraph 3 of Article 20 and include, in particular, the Articles 

Convention the interpretation or application of which are at iss

Secretariat shall forward the information thus received to all Partie

Convention.

ARTICLE 3

 The arbitral tribunal shall consist of three members. Each 

Parties to the dispute shall appoint an arbitrator, and the two arb

so appointed shall designate by common agreement the third arb

who shall be the chairman of the tribunal. The latter shall not be a n

of one of the Parties to the dispute, nor have his usual place of res

in the territory of one of these Parties, nor be employed by any o

nor have dealt with the case in any other capacity.

ARTICLE 4

1. If the chairman of the arbitral tribunal has not been designated 

two months of the appointment of the second arbitrator, the Sec

General of the United Nations shall, at the request of either 

designate him within a further two months period.

A
inform the Secretary-General of the United Nations who shall de

the chairman of the arbitral tribunal within a further two months’ 

Upon designation, the chairman of the arbitral tribunal shall requ

Party which has not appointed an arbitrator to do so within two m

After such period, he shall inform the Secretary-General of the 

Nations, who shall make this appointment within a further two m

period.

ARTICLE 5

1. The arbitral tribunal shall render its decision in acco

with international law and in accordance with the provisi

this Convention.

2. Any arbitral tribunal constituted under the provisions of this 

shall draw up its own rules of procedure.

ARTICLE 6

1. The decisions of the arbitral tribunal both on procedure a

substance, shall be taken by majority vote of its members.

2. The tribunal may take all appropriate measures in order to es

the facts. It may, at the request of one of the Parties, recommend e

interim measures of protection.

3. The Parties to the dispute shall provide all facilities necessary 

effective conduct of the proceedings.

4. The absence or default of a Party in the dispute shall not con

an impediment to the proceedings.
| 64

out of the subject-matter of the dispute.

ARTICLE 8

 Unless the arbitral tribunal determines otherwise because 

particular circumstances of the case, the expenses of the tribunal, in

the remuneration of its members, shall be borne by the Parties 

dispute in equal shares. The tribunal shall keep a record of all its ex

and shall furnish a final statement thereof to the Parties.

ARTICLE 9

 Any Party that has an interest of a legal nature in the subject

of the dispute which may be affected by the decision in the cas

intervene in the proceedings with the consent of the tribunal.

ARTICLE 10

1. The tribunal shall render its award within five months of the d

which it is established unless it finds it necessary to extend the tim

for a period which should not exceed five months.

2. The award of the arbitral tribunal shall be accompanied by a sta

of reasons. It shall be final and binding upon the Parties to the d

3. Any dispute which may arise between the Parties concerni

interpretation or execution of the award may be submitted by eithe

to the arbitral tribunal which made the award or, if the latter can

seized thereof, to another tribunal constituted for this purpose in th

manner as the first.
[not yet entered into force]6

6

 Annex VII is an integral part of the Amendment adopted by the third meetin

Conference of the Parties in 1995 in its Decision III/1. The amendment is not ye

The relevant part of Decision III/1 provides as follows:

“The Conference

 ...

 3. Decides to adopt the following amendment to the Convention:

‘Annex VII

 Parties and other States which are members of OECD, EC, Liechtenstein.”’ 
| 66

LIST A

 Wastes contained in this Annex are characterized as hazardou

Article 1, paragraph 1 (a), of this Convention, and their designation 

Annex does not preclude the use of Annex III to demonstrate that 

is not hazardous.

A1 METAL AND METAL-BEARING WASTES

A1010 Metal wastes and waste consisting of alloys of any of th

following:

• Antimony

• Arsenic

• Beryllium

• Cadmium

• Lead

• Mercury

• Selenium

• Tellurium

• Thallium

but excluding such wastes specifically listed on list B.

7

 The amendment whereby Annex VIII was added to the Convention entered i

on 6 November 1998, six months following the issuance of depositary no

C.N.77.1998 of 6 May 1998 (reflecting Decision IV/9 adopted by the Conferen

Parties at its fourth meeting). The amendment to Annex VIII whereby new ent

added entered into force on 20 November 2003 (depositary notification C.N.13

six months following the issuance of depositary notification C.N.399.2003 of 20 M

(reflecting Decision VI/35 adopted by the Conference of the Parties at its sixth m

The amendment to Annex VIII whereby one new entry was added entered i

on 8 October 2005 (depositary notification C.N.1044.2005), six months follo

issuance of depositary notification C.N.263.2005 of 8 April 2005 (re-issued on 

2005, reflecting Decision VII/19 adopted by the Conference of the Parties at its 

meeting). The present text includes all amendments.

L
• Antimony; antimony compounds

• Beryllium; beryllium compounds

• Cadmium; cadmium compounds

• Lead; lead compounds

• Selenium; selenium compounds

• Tellurium; tellurium compounds

A1030 Wastes having as constituents or contaminants any 

following:

• Arsenic; arsenic compounds

• Mercury; mercury compounds

• Thallium; thallium compounds

A1040 Wastes having as constituents any of the following:

• Metal carbonyls

• Hexavalent chromium compounds

A1050 Galvanic sludges

A1060 Waste liquors from the pickling of metals

A1070 Leaching residues from zinc processing, dust and sl

such as jarosite, hematite, etc.

A1080 Waste zinc residues not included on list B, containing 

and cadmium in concentrations sufficient to exhibit A

III characteristics

A1090 Ashes from the incineration of insulated copper wire

A1100 Dusts and residues from gas cleaning systems of c

smelters

A1110 Spent electrolytic solutions from copper electrorefinin

electrowinning operations
| 68

g p

A1130 Spent etching solutions containing dissolved copper

A1140 Waste cupric chloride and copper cyanide catalysts

A1150 Precious metal ash from incineration of printed circuit b

not included on list B8

A1160 Waste lead-acid batteries, whole or crushed

A1170 Unsorted waste batteries excluding mixtures of only 

batteries. Waste batteries not specified on list B conta

Annex I constituents to an extent to render them haza

A1180 Waste electrical and electronic assemblies or 

containing components such as accumulators and 

batteries included on list A, mercury-switches, glass 

cathode-ray tubes and other activated glass and 

capacitors, or contaminated with Annex I constituents 

cadmium, mercury, lead, polychlorinated biphenyl) 

extent that they possess any of the characteristics cont

in Annex III (note the related entry on list B B1110)10

A1190 Waste metal cables coated or insulated with p

containing or contaminated with coal tar, PCB11, 

cadmium, other organohalogen compounds or other A

I constituents to an extent that they exhibit Annex III c

teristics.

8

 Note that mirror entry on list B (B1160) does not specify exceptions

9

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

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

11 PCBs are at a concentration level of 50 mg/kg or more.
ORGANIC MATERIALS

A2010 Glass waste from cathode-ray tubes and other act

glasses

A2020 Waste inorganic fluorine compounds in the form of l

or sludges but excluding such wastes specified on list 

A2030 Waste catalysts but excluding such wastes specified on 

A2040 Waste gypsum arising from chemical industry proc

when containing Annex I constituents to the exten

it exhibits an Annex III hazardous characteristic (not

related entry on list B B2080)

A2050 Waste asbestos (dusts and fibres)

A2060 Coal-fired power plant fly-ash containing Annex I subst

in concentrations sufficient to exhibit Annex III chara

tics (note the related entry on list B B2050)

A3 WASTES CONTAINING PRINCIPALLY ORGANIC

CONSTITUENTS, WHICH MAY CONTAIN METALS AND 

INORGANIC MATERIALS

A3010 Waste from the production or processing of petroleum 

and bitumen

A3020 Waste mineral oils unfit for their originally intended us

A3030 Wastes that contain, consist of or are contaminated 

leaded anti-knock compound sludges

A3040 Waste thermal (heat transfer) fluids

A3050 Wastes from production, formulation and use of resins, 

plasticizers, glues/adhesives excluding such wastes spe

on list B (note the related entry on list B B4020)
| 70

qg

A3080 Waste ethers not including those specified on list B

A3090 Waste leather dust, ash, sludges and flours when conta

hexavalent chromium compounds or biocides (not

related entry on list B B3100)

A3100 Waste paring and other waste of leather or of compo

leather not suitable for the manufacture of leather a

containing hexavalent chromium compounds or bio

(note the related entry on list B B3090)

A3110 Fellmongery wastes containing hexavalent chro

compounds or biocides or infectious substances (no

related entry on list B B3110)

A3120 Fluff - light fraction from shredding

A3130 Waste organic phosphorous compounds

A3140 Waste non-halogenated organic solvents but excluding 

wastes specified on list B

A3150 Waste halogenated organic solvents

A3160 Waste halogenated or unhalogenated non-aq

distillation residues arising from organic solvent rec

operations

A3170 Wastes arising from the production of aliphatic haloge

hydrocarbons (such as chloromethane, dichloro-et

vinyl chloride, vinylidene chloride, allyl chloride 

epichlorhydrin)
py(), pyp

(PCN) or polybrominated biphenyl (PBB), or any 

polybrominated analogues of these compounds, 

concentration level of 50 mg/kg or more12

A3190 Waste tarry residues (excluding asphalt cements) a

from refining, distillation and any pyrolitic treatme

organic materials

A3200 Bituminous material (asphalt waste) from road constru

and maintenance, containing tar (note the related en

list B, B2130)

A4 WASTES WHICH MAY CONTAIN EITHER INORGANIC OR

ORGANIC CONSTITUENTS

A4010 Wastes from the production, preparation and u

pharmaceutical products but excluding such w

specified on list B

A4020 Clinical and related wastes; that is wastes arising 

medical, nursing, dental, veterinary, or similar practice

wastes generated in hospitals or other facilities durin

investigation or treatment of patients, or research pr

A4030 Wastes from the production, formulation and use of bio

and phytopharmaceuticals, including waste pesticide

herbicides which are off-specification, outdated,13 or un

their originally intended use

12 The 50 mg/kg level is considered to be an internationally practical level for a

However, many individual countries have established lower regulatory levels (e.g

kg) for specific wastes. 13 “Outdated” means unused within the period recommended by the manufacture
| 72

A4050 Wastes that contain, consist of or are contaminated wit

of the following:

• Inorganic cyanides, excepting precious-metal-be

residues in solid form containing traces of ino

cyanides

• Organic cyanides

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

A4070 Wastes from the production, formulation and use o

dyes, pigments, paints, lacquers, varnish excluding any 

waste specified on list B (note the related entry on 

B4010)

A4080 Wastes of an explosive nature (but excluding such w

specified on list B)

A4090 Waste acidic or basic solutions, other than those specifi

the corresponding entry on list B (note the related en

list B B2120)

A4100 Wastes from industrial pollution control devices for cle

of industrial off-gases but excluding such wastes spe

on list B

A4110 Wastes that contain, consist of or are contaminated wit

of the following:

• Any congenor of polychlorinated dibenzo-furan

• Any congenor of polychlorinated dibenzo-P-dioxin

A4120 Wastes that contain, consist of or are contaminated 

peroxides

14 This entry does not include wood treated with wood preserving chemicals. 
A4140 Waste consisting of or containing off specificatio

outdated15 chemicals corresponding to Annex I cate

and exhibiting Annex III hazard characteristics

A4150 Waste chemical substances arising from research 

development or teaching activities which are not iden

and/or are new and whose effects on human health a

the environment are not known

A4160 Spent activated carbon not included on list B 

(note the related entry on list B B2060)

15 “Outdated” means unused within the period recommended by the manufacture
| 74

LIST B

 Wastes contained in the Annex will not be wastes covered by A

paragraph 1 (a), of this Convention unless they contain Annex I mat

an extent causing them to exhibit an Annex III characteristic.

B1 METAL AND METAL-BEARING WASTES

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

• Precious metals (gold, silver, the platinum group, 

but not mercury)

• Iron and steel scrap

• Copper scrap

• Nickel scrap

• Aluminium scrap

• Zinc scrap

• Tin scrap

• Tungsten scrap

• Molybdenum scrap

• Tantalum scrap

• Magnesium scrap

• Cobalt scrap

• Bismuth scrap

L

16 The amendment whereby Annex IX was added to the Convention entered into fo

November 1998, six months following the issuance of depositary notification C.

(reflecting Decision IV/9 adopted by the Conference of the Parties at its fourth mee

amendment to Annex IX whereby new entries were added entered into force on 20 N

2003 (depositary notification C.N.1314.2003), six months following the issuance of d

notification C.N.399.2003 of 20 May 2003 (reflecting Decision VI/35 adopted by the C

of the Parties at its sixth meeting). The amendment to Annex IX whereby one entry w

entered into force on 8 October 2005 (depositary notification C.N.1044.2005) six months 

the issuance of depositary notification C.N.263.2005 of 8 April 2005 (re-issued on 13 J

reflecting Decision VII/19 adopted by the Conference of the Parties at its seventh mee

amendment to Annex IX whereby new entries where added entered into force on 27 

(depositary notification C.N. 304.2014) six months following the issuance of depositary n

C.N. 965.2013 of 26 November 2013 (reflecting decision BC-11/6 adopted by the Con

the Parties at its eleventh meeting). The present text includes all amendments.
• Manganese scrap

• Germanium scrap

• Vanadium scrap

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

• Thorium scrap

• Rare earths scrap

• Chromium scrap

B1020 Clean, uncontaminated metal scrap, including alloys, i

finished form (sheet, plate, beams, rods, etc), of:

• Antimony scrap

• Beryllium scrap

• Cadmium scrap

• Lead scrap (but excluding lead-acid batteries)

• Selenium scrap

• Tellurium scrap

B1030 Refractory metals containing residues

B1031 Molybdenum, tungsten, titanium, tantalum, niobium 

rhenium metal and metal alloy wastes in metallic dispe

form (metal powder), excluding such wastes as specifi

list A under entry A1050, Galvanic sludges

B1040 Scrap assemblies from electrical power generatio

contaminated with lubricating oil, PCB or PCT to an ext

render them hazardous

B1050 Mixed non-ferrous metal, heavy fraction scrap

containing Annex I materials in concentrations suffici

exhibit Annex III characteristics17

17 Note that even where low level contamination with Annex I materials initia

subsequent processes, including recycling processes, may result in separated 

containing significantly enhanced concentrations of those Annex I materials.
| 76

B1070 Waste of copper and copper alloys in dispersible 

unless they contain Annex I constituents to an exten

they exhibit Annex III characteristics

B1080 Zinc ash and residues including zinc alloys residu

dispersible form unless containing Annex I constitue

concentration such as to exhibit Annex III characteristi

B1090 Waste batteries conforming to a specification, excl

those made with lead, cadmium or mercury

B1100 Metal-bearing wastes arising from melting, smelting 

refining of metals:

• Hard zinc spelter

• Zinc-containing drosses:

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

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

- Zinc die casting dross (>85% Zn)

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

- Zinc skimmings

• Aluminium skimmings (or skims) excluding salt slag

• Slags from copper processing for further processi

refining not containing arsenic, lead or cadmium 

extent that they exhibit Annex III hazard characteris

• Wastes of refractory linings, including cru

originating from copper smelting 

• Slags from precious metals processing for further re

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

18 The status of zinc ash is currently under review and there is a recommendation 

United Nations Conference on Trade and Development (UNCTAD) that zinc ashe

not be dangerous goods.
• Waste electrical and electronic assemblies or s

(including printed circuit boards) not conta

components such as accumulators and other bat

included on list A, mercury-switches, glass 

cathode-ray tubes and other activated glass and 

capacitors, or not contaminated with Annex I constit

(e.g., cadmium, mercury, lead, polychlorinated bip

or from which these have been removed, to an exten

they do not possess any of the characteristics contai

Annex III (note the related entry on list A A1180)

• Electrical and electronic assemblies (including p

circuit boards, electronic components and wires) de

for direct reuse,20 and not for recycling or final dispo

B1115 Waste metal cables coated or insulated with plastic

included in list A A1190, excluding those destined for A

IVA operations or any other disposal operations invo

at any stage, uncontrolled thermal processes, su

open-burning.

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

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

21 In some countries these materials destined for direct re-use are not considered w
| 78

B1130 Cleaned spent precious-metal-bearing catalysts

B1140 Precious-metal-bearing residues in solid form which co

traces of inorganic cyanides

B1150 Precious metals and alloy wastes (gold, silver, the pla

group, but not mercury) in a dispersible, non-liquid 

with appropriate packaging and labelling

B1160 Precious-metal ash from the incineration of printed 

boards (note the related entry on list A A1150)

Transition metals, excluding 

waste catalysts (spent 

catalysts, liquid used 

catalysts or other catalysts) 

on list A:

• Scandium 

• Vanadium

• Manganese

• Cobalt

• Copper

• Yttrium

• Niobium

• Hafnium

• Tungsten

• Titanium 

• Chromium

• Iron

• Nickel

• Zinc

• Zirconium

• Molybdenum

• Tantalum

• Rhenium

Lanthanides 

(rare earth metals):

• Lanthanum 

• Praseodymium

• Samarium 

• Gadolinium

• Dysprosium

• Erbium

• Ytterbium

• Cerium 

• Neodymium

• Europium

• Terbium

• Holmium

• Thulium

• Lutetium
B1180 Waste photographic film containing silver halides 

metallic silver

B1190 Waste photographic paper containing silver halide

metallic silver

B1200 Granulated slag arising from the manufacture of iro

steel

B1210 Slag arising from the manufacture of iron and steel incl

slags as a source of TiO2

 and vanadium

B1220 Slag from zinc production, chemically stabilized, hav

high iron content (above 20%) and processed acco

to industrial specifications (e.g., DIN 4301) main

construction

B1230 Mill scaling arising from the manufacture of iron and st

B1240 Copper oxide mill-scale

B1250 Waste end-of-life motor vehicles, containing neither l

nor other hazardous components

B2 WASTES CONTAINING PRINCIPALLY INORGANIC CONSTITU

WHICH MAY CONTAIN METALS AND ORGANIC MATERIALS

B2010 Wastes from mining operations in non-dispersible form

• Natural graphite waste

• Slate waste, whether or not roughly trimmed or m

cut, by sawing or otherwise

• Mica waste

• Leucite, nepheline and nepheline syenite waste

• Feldspar waste

• Fluorspar waste

• Silica wastes in solid form excluding those used in fo

operations
| 80

from cathoderay tubes and other activated glasses

B2030 Ceramic wastes in non-dispersible form:

• Cermet wastes and scrap (metal ceramic composite

• Ceramic based fibres not elsewhere specified or inc

B2040 Other wastes containing principally inorganic constitu

• Partially refined calcium sulphate produced from flu

desulphurization (FGD)

• Waste gypsum wallboard or plasterboard arising fro

demolition of buildings

• Slag from copper production, chemically stabilized, h

a high iron content (above 20%) and processed acco

to industrial specifications (e.g., DIN 4301 and DIN 

mainly for construction and abrasive applications

• Sulphur in solid form

• Limestone from the production of calcium cyana

(having a pH less than 9)

• Sodium, potassium, calcium chlorides

• Carborundum (silicon carbide)

• Broken concrete

• Lithium-tantalum and lithium-niobium containing 

scraps

B2050 Coal-fired power plant fly-ash, not included on list A 

the related entry on list A A2060)

B2060 Spent activated carbon not containing any An

constituents to the extent they exhibit Annex III c

teristics, for example, carbon resulting from the trea

of potable water and processes of the food industr

vitamin production (note the related entry on list A A
y 

B2090 Waste anode butts from steel or aluminium produ

made of petroleum coke or bitumen and cleaned to n

industry specifications (excluding anode butts from 

alkali electrolyses and from metallurgical industry)

B2100 Waste hydrates of aluminium and waste alumina 

residues from alumina production excluding such ma

used for gas cleaning, flocculation or filtration processe

B2110 Bauxite residue (“red mud”) (pH moderated to less than 

B2120 Waste acidic or basic solutions with a pH greater t

and less than 11.5, which are not corrosive or othe

hazardous (note the related entry on list A A4090)

B2130 Bituminous material (asphalt waste) from road constru

and maintenance, not containing tar22 (note the re

entry on list A, A3200)

22 The concentration level of Benzol (a) pyrene should not be 50mg/kg or more.
| 82

B3010 Solid plastic waste:

The following plastic or mixed plastic materials, pro

they are not mixed with other wastes and are prepare

specification:

• Scrap plastic of non-halogenated polymers 

co-polymers, including but not limited to the follow

- ethylene

- styrene

- polypropylene

- polyethylene terephthalate

- acrylonitrile

- butadiene

- polyacetals

- polyamides

- polybutylene terephthalate

- polycarbonates

- polyethers

- polyphenylene sulphides

- acrylic polymers

- alkanes C10-C13 (plasticiser)

- polyurethane (not containing CFCs)

- polysiloxanes

- polymethyl methacrylate

- polyvinyl alcohol

- polyvinyl butyral

- polyvinyl acetate

23 It is understood that such scraps are completely polymerized.
urea formaldehyde resins

- phenol formaldehyde resins

- melamine formaldehyde resins

- epoxy resins

- alkyd resins

- polyamides 

• The following fluorinated polymer wastes24

- perfluoroethylene/propylene (FEP)

- perfluoro alkoxyl alkane

- tetrafluoroethylene/per fluoro vinyl ether (PFA)

- tetrafluoroethylene/per fluoro methylvinyl ether (M

- polyvinylfluoride (PVF)

- polyvinylidenefluoride (PVDF)

B3020 Paper, paperboard and paper product wastes

The following materials, provided they are not mixed 

hazardous wastes: 

Waste and scrap of paper or paperboard of:

• unbleached paper or paperboard or of corrugated 

or paperboard

• other paper or paperboard, made mainly of ble

chemical pulp, not coloured in the mass

• paper or paperboard made mainly of mechanica

(for example, newspapers, journals and similar p

matter)

• other, including but not limited to 1) lami

paperboard 2) unsorted scrap

24 Post-consumer wastes are excluded from this entry:

 - Wastes shall not be mixed

 - Problems arising from open-burning practices to be considered
| 84

• Non-separable plastic fraction

• Non-separable plastic-aluminium fraction

B3027 Self-adhesive label laminate waste containing raw ma

used in label material production

B3030 Textile wastes

The following materials, provided they are not mixed 

other wastes and are prepared to a specification:

• Silk waste (including cocoons unsuitable for reeling

waste and garnetted stock)

- not carded or combed

- other

• Waste of wool or of fine or coarse animal hair, incl

yarn waste but excluding garnetted stock

- noils of wool or of fine animal hair

- other waste of wool or of fine animal hair

- waste of coarse animal hair

• Cotton waste (including yarn waste and garnetted s

- yarn waste (including thread waste)

- garnetted stock

- other

• Flax tow and waste

• Tow and waste (including yarn waste and garnetted 

of true hemp (Cannabis sativa L.)

• Tow and waste (including yarn waste and garnetted 

of jute and other textile bast fibres (excluding flax

hemp and ramie)

• Tow and waste (including yarn waste and garnetted 

of sisal and other textile fibres of the genus Agave
, (g yg

stock) of abaca (Manila hemp or Musa textilis Nee)

• Tow, noils and waste (including yarn waste and garn

stock) of ramie and other vegetable textile fibre

elsewhere specified or included

• Waste (including noils, yarn waste and garnetted sto

man-made fibres

- of synthetic fibres

- of artificial fibres

• Worn clothing and other worn textile articles

• Used rags, scrap twine, cordage, rope and cable

worn out articles of twine, cordage, rope or cab

textile materials

- sorted

- other

B3035 Waste textile floor coverings, carpets

B3040 Rubber wastes

The following materials, provided they are not mixed 

other wastes:

• Waste and scrap of hard rubber (e.g., ebonite)

• Other rubber wastes (excluding such wastes spe

elsewhere)
| 86

logs, briquettes, pellets or similar forms

• Cork waste: crushed, granulated or ground cork

B3060 Wastes arising from agro-food industries provided it 

infectious:

• Wine lees

• Dried and sterilized vegetable waste, residues 

byproducts, whether or not in the form of pellets

kind used in animal feeding, not elsewhere specifi

included

• Degras: residues resulting from the treatment of 

substances or animal or vegetable waxes

• Waste of bones and horn-cores, unworked, def

simply prepared (but not cut to shape), treated wit

or degelatinised

• Fish waste

• Cocoa shells, husks, skins and other cocoa waste

• Other wastes from the agro-food industry excl

by-products which meet national and interna

requirements and standards for human or a

consumption

B3065 Waste edible fats and oils of animal or vegetable 

(e.g. frying oils), provided they do not exhibit an An

characteristic

B3070 The following wastes: 

• Waste of human hair

• Waste straw

• Deactivated fungus mycelium from penicillin produ

to be used as animal feed

B3080 Waste parings and scrap of rubber
g, g 

compounds and biocides (note the related entry on 

A3100)

B3100 Leather dust, ash, sludges or flours not containing hexav

chromium compounds or biocides (note the related en

list A A3090)

B3110 Fellmongery wastes not containing hexavalent chro

compounds or biocides or infectious substances (no

related entry on list A A3110)

B3120 Wastes consisting of food dyes

B3130 Waste polymer ethers and waste non-hazardous mon

ethers incapable of forming peroxides

B3140 Waste pneumatic tyres, excluding those destined for A

IVA operations

B4 WASTES WHICH MAY CONTAIN EITHER INORGANIC OR ORG

CONSTITUENTS

B4010 Wastes consisting mainly of water-based/latex paints, in

hardened varnishes not containing organic solvents, 

metals or biocides to an extent to render them haza

(note the related entry on list A A4070)

B4020 Wastes from production, formulation and use of 

latex, plasticizers, glues/adhesives, not listed on list A, 

solvents and other contaminants to an extent that th

not exhibit Annex III characteristics, e.g., water-based, o

based on casein, starch, dextrin, cellulose ethers, po

alcohols (note the related entry on list A A3050)

B4030 Used single-use cameras, with batteries not included o

FROM TRANSBOUNDARY MOVEMENTS OF 

HAZARDOUS WASTES AND THEIR DISPOSAL
| 90

FROM TRANSBOUNDARY MOVEMENTS OF 

HAZARDOUS WASTES AND THEIR DISPOSAL

 The Parties to the Protocol,

 Having taken into account the relevant provisions of Principl

the 1992 Rio Declaration on Environment and Development, accor

which States shall develop international and national legal instr

regarding liability and compensation for the victims of pollution an

environmental damage,

 Being Parties to the Basel Convention on the Control of Transbo

Movements of Hazardous Wastes and their Disposal,

 Mindful of their obligations under the Convention,

 Aware of the risk of damage to human health, property a

environment caused by hazardous wastes and other wastes a

transboundary movement and disposal thereof,

 Concerned about the problem of illegal transboundary tr

hazardous wastes and other wastes,

 Committed to Article 12 of the Convention, and emphasizing th

to set out appropriate rules and procedures in the field of liabil

compensation for damage resulting from the transboundary mov

and disposal of hazardous wastes and other wastes,

 Convinced of the need to provide for third party liabili

environmental liability in order to ensure that adequate and 
 Have agreed as follows:

ARTICLE 1

Objective

 The objective of the Protocol is to provide for a comprehensive 

for liability and for adequate and prompt compensation for d

resulting from the transboundary movement of hazardous wast

other wastes and their disposal including illegal traffic in those was

ARTICLE 2

Definitions

1. The definitions of terms contained in the Convention apply 

Protocol, unless expressly provided otherwise in the Protocol.

2. For the purposes of the Protocol:

(a) “The Convention” means the Basel Convention on the 

of Transboundary Movements of Hazardous Wastes an

Disposal;

(b) “Hazardous wastes and other wastes” means hazardous 

and other wastes within the meaning of Article 1 of the Conv

(c) “Damage” means:

(i) Loss of life or personal injury;
| 92

(iii) Loss of income directly deriving from an economic int

any use of the environment, incurred as a result of impa

of the environment, taking into account savings and c

(iv) The costs of measures of reinstatement of the im

environment, limited to the costs of measures actuall

or to be undertaken; and

(v) The costs of preventive measures, including any 

damage caused by such measures, to the extent t

damage arises out of or results from hazardous pro

of the wastes involved in the transboundary moveme

disposal of hazardous wastes and other wastes subjec

Convention;

(d) “Measures of reinstatement” means any reasonable m

aiming to assess, reinstate or restore damaged or de

components of the environment. Domestic law may indica

will be entitled to take such measures;

(e) “Preventive measures” means any reasonable measures ta

any person in response to an incident, to prevent, minim

mitigate loss or damage, or to effect environmental clean-u

(f) “Contracting Party” means a Party to the Protocol;

(g) “Protocol” means the present Protocol;

(h) “Incident” means any occurrence, or series of occurrences 
(i) “Regional economic integration organization” mea

organization constituted by sovereign States to which its m

States have transferred competence in respect of m

governed by the Protocol and which has been duly auth

in accordance with its internal procedures, to sign, ratify, 

approve, formally confirm or accede to it;

(j) “Unit of account” means the Special Drawing Right as defi

the International Monetary Fund.

ARTICLE 3

Scope of application

1. The Protocol shall apply to damage due to an incident oc

during a transboundary movement of hazardous wastes and other 

and their disposal, including illegal traffic, from the point whe

wastes are loaded on the means of transport in an area under the n

jurisdiction of a State of export. Any Contracting Party may by 

notification to the Depositary exclude the application of the Prot

respect of all transboundary movements for which it is the State of 

for such incidents which occur in an area under its national juris

as regards damage in its area of national jurisdiction. The Secretari

inform all Contracting Parties of notifications received in accordan

this Article. 

2. The Protocol shall apply:

(a) In relation to movements destined for one of the ope

specified in Annex IV to the Convention other than D13, D1
| 94

has occurred, or, where such notification has not been 

completion of disposal has occurred; and

(b) In relation to movements destined for the operations spec

D13, D14, D15, R12 or R13 of Annex IV to the Conventio

completion of the subsequent disposal operation specifie

to D12 and R1 to R11 of Annex IV to the Convention.

3. (a) The Protocol shall apply only to damage suffered in an area 

 the national jurisdiction of a Contracting Party arising f

 incident as referred to in paragraph 1;

(b) When the State of import, but not the State of expo

Contracting Party, the Protocol shall apply only with res

damage arising from an incident as referred to in parag

which takes place after the moment at which the dispo

taken possession of the hazardous wastes and other wastes

the State of export, but not the State of import, is a Cont

Party, the Protocol shall apply only with respect to damage 

from an incident as referred to in paragraph 1 which take

prior to the moment at which the disposer takes posses

the hazardous wastes and other wastes. When neither the S

export nor the State of import is a Contracting Party, the P

shall not apply;

(c) Notwithstanding subparagraph (a), the Protocol shall also 

to the damages specified in Article 2, subparagraphs 2 (c

and (v), of the Protocol occurring in areas beyond any n

jurisdiction;
an area under the national jurisdiction of a State of transi

is not a Contracting Party provided that such State app

Annex A and has acceded to a multilateral or regional agre

concerning transboundary movements of hazardous waste 

is in force. Subparagraph (b) will apply mutatis mutandis.

4. Notwithstanding paragraph 1, in case of re-importation under 

8 or Article 9, subparagraph 2 (a), and Article 9, paragraph 4, 

Convention, the provisions of the Protocol shall apply until the haz

wastes and other wastes reach the original State of export.

5. Nothing in the Protocol shall affect in any way the sovereig

States over their territorial seas and their jurisdiction and the r

their respective exclusive economic zones and continental she

accordance with international law.

6. Notwithstanding paragraph 1 and subject to paragraph 2 

Article:

(a) The Protocol shall not apply to damage that has arisen 

transboundary movement of hazardous wastes and other 

that has commenced before the entry into force of the P

for the Contracting Party concerned;

(b) The Protocol shall apply to damage resulting from an in

occurring during a transboundary movement of wastes 

under Article 1, subparagraph 1 (b), of the Convention 

those wastes have been notified in accordance with Artic

the Convention by the State of export or import, or both, a

damage arises in an area under the national jurisdiction of 
| 96

the Convention have been met. In this case strict liability s

channelled in accordance with Article 4 of the Protocol.

7. (a) The Protocol shall not apply to damage due to an in

 occurring during a transboundary movement of hazardous 

 and other wastes and their disposal pursuant to a b

 multilateral or regional agreement or arrangement con

 and notified in accordance with Article 11 of the Conventi

(i) The damage occurred in an area under the national juri

of any of the Parties to the agreement or arrangement;

(ii) There exists a liability and compensation regime, whi

force and is applicable to the damage resulting from 

transboundary movement or disposal provided it fully 

or exceeds the objective of the Protocol by providing 

level of protection to persons who have suffered dama

(iii) The Party to the Article 11 agreement or arrangem

which the damage has occurred has previously notifi

Depositary of the non-application of the Protocol 

damage occurring in an area under its national juris

due to an incident resulting from movements or di

referred to in this subparagraph; and

(iv) The Parties to the Article 11 agreement or arrangeme

not declared that the Protocol shall be applicable;

(b) In order to promote transparency, a Contracting Party t

notified the Depositary of the non-application of the P
include a description of the regime. The Secretariat shall su

the Meeting of the Parties, on a regular basis, summary rep

the notifications received;

(c) After a notification pursuant to subparagraph (a) (iii) is 

actions for compensation for damage to which subparagr

(i) applies may not be made under the Protocol.

8. The exclusion set out in paragraph 7 of this Article shall neithe

any of the rights or obligations under the Protocol of a Contractin

which is not party to the agreement or arrangement mentioned abo

shall it affect rights of States of transit which are not Contracting Pa

9. Article 3, paragraph 2, shall not affect the application of Article 

Contracting Parties.

ARTICLE 4

Strict liability

1. The person who notifies in accordance with Article 6 of the Conv

shall be liable for damage until the disposer has taken possession 

hazardous wastes and other wastes. Thereafter the disposer shall b

for damage. If the State of export is the notifier or if no notificat

taken place, the exporter shall be liable for damage until the dispo

taken possession of the hazardous wastes and other wastes. With 

to Article 3, subparagraph 6 (b), of the Protocol, Article 6, paragrap

the Convention shall apply mutatis mutandis. Thereafter the dispos

be liable for damage.
| 98

as hazardous by the State of import in accordance with Article 3 

Convention but not by the State of export, the importer shall be liab

the disposer has taken possession of the wastes, if the State of im

the notifier or if no notification has taken place. Thereafter the d

shall be liable for damage.

3. Should the hazardous wastes and other wastes be re-impo

accordance with Article 8 of the Convention, the person who n

shall be liable for damage from the time the hazardous wastes le

disposal site, until the wastes are taken into possession by the ex

if applicable, or by the alternate disposer.

4. Should the hazardous wastes and other wastes be re-imported 

Article 9, subparagraph 2 (a), or Article 9, paragraph 4, of the Conv

subject to Article 3 of the Protocol, the person who re-imports s

held liable for damage until the wastes are taken into possession 

exporter if applicable, or by the alternate disposer.

5. No liability in accordance with this Article shall attach to the 

referred to in paragraphs 1 and 2 of this Article, if that person prov

the damage was:

(a) The result of an act of armed conflict, hostilities, civil 

insurrection;

(b) The result of a natural phenomenon of exceptional, ine

unforeseeable and irresistible character; 

(c) Wholly the result of compliance with a compulsory mea

a public authority of the State where the damage occurred
6. If two or more persons are liable according to this Article, the c

shall have the right to seek full compensation for the damage from 

all of the persons liable.

ARTICLE 5

Fault-based liability

 Without prejudice to Article 4, any person shall be liable for d

caused or contributed to by his lack of compliance with the pro

implementing the Convention or by his wrongful intentional, rec

negligent acts or omissions. This Article shall not affect the dome

of the Contracting Parties governing liability of servants and agent

ARTICLE 6

Preventive measures

1. Subject to any requirement of domestic law any person in oper

control of hazardous wastes and other wastes at the time of an in

shall take all reasonable measures to mitigate damage arising the

2. Notwithstanding any other provision in the Protocol, any pe

possession and/or control of hazardous wastes and other wastes 

sole purpose of taking preventive measures, provided that this 

acted reasonably and in accordance with any domestic law reg

preventive measures, is not thereby subject to liability under the Pr
| 100

1. Where damage is caused by wastes covered by the Protoc

wastes not covered by the Protocol, a person otherwise liable shall 

liable according to the Protocol in proportion to the contribution m

the wastes covered by the Protocol to the damage.

2. The proportion of the contribution to the damage of the 

referred to in paragraph 1 shall be determined with regard to the v

and properties of the wastes involved, and the type of damage occ

3. In respect of damage where it is not possible to distinguish b

the contribution made by wastes covered by the Protocol and was

covered by the Protocol, all damage shall be considered to be cove

the Protocol.

ARTICLE 8

Right of recourse

1. Any person liable under the Protocol shall be entitled to a r

recourse in accordance with the rules of procedure of the competen

(a) Against any other person also liable under the Protocol; an

(b) As expressly provided for in contractual arrangements.

2. Nothing in the Protocol shall prejudice any rights of recourse to 

the person liable might be entitled pursuant to the law of the com

court.
 Compensation may be reduced or disallowed if the perso

suffered the damage, or a person for whom he is responsible un

domestic law, by his own fault, has caused or contributed to the d

having regard to all circumstances.

ARTICLE 10

Implementation

1. The Contracting Parties shall adopt the legislative, regulato

administrative measures necessary to implement the Protocol.

2. In order to promote transparency, Contracting Parties shall info

Secretariat of measures to implement the Protocol, including any l

liability established pursuant to paragraph 1 of Annex B.

3. The provisions of the Protocol shall be applied without discrim

based on nationality, domicile or residence.

ARTICLE 11

Conflicts with other liability and compensation agreements

 Whenever the provisions of the Protocol and the provisions o

teral, multilateral or regional agreement apply to liability and co

sation for damage caused by an incident arising during the same 

of a transboundary movement, the Protocol shall not apply provid

other agreement is in force for the Party or Parties concerned a

been opened for signature when the Protocol was opened for sig

even if the agreement was amended afterwards.
| 102

1. Financial limits for the liability under Article 4 of the Proto

specified in Annex B to the Protocol. Such limits shall not inclu

interest or costs awarded by the competent court.

2. There shall be no financial limit on liability under Article 5.

ARTICLE 13

Time limit of liability

1. Claims for compensation under the Protocol shall not be adm

unless they are brought within ten years from the date of the incide

2. Claims for compensation under the Protocol shall not be adm

unless they are brought within five years from the date the claiman

or ought reasonably to have known of the damage provided that t

limits established pursuant to paragraph 1 of this Article are not exc

3. Where the incident consists of a series of occurrences hav

same origin, time limits established pursuant to this Article shall ru

the date of the last of such occurrences. Where the incident con

a continuous occurrence, such time limits shall run from the end 

continuous occurrence.

ARTICLE 14

Insurance and other financial guarantees

1. The persons liable under Article 4 shall establish and m

during the period of the time limit of liability, insurance, bonds o

financial guarantees covering their liability under Article 4 of the P
declaration of self-insurance. Nothing in this paragraph shall prev

use of deductibles or co-payments as between the insurer and the i

but the failure of the insured to pay any deductible or co-payme

not be a defence against the person who has suffered the damage

2. With regard to the liability of the notifier, or exporter under A

paragraph 1, or of the importer under Article 4, paragraph 2, ins

bonds or other financial guarantees referred to in paragraph 1 

Article shall only be drawn upon in order to provide compensat

damage covered by Article 2 of the Protocol.

3. A document reflecting the coverage of the liability of the no

exporter under Article 4, paragraph 1, or of the importer under A

paragraph 2, of the Protocol shall accompany the notification referr

Article 6 of the Convention. Proof of coverage of the liability of the d

shall be delivered to the competent authorities of the State of impo

4. Any claim under the Protocol may be asserted directly agai

person providing insurance, bonds or other financial guarante

insurer or the person providing the financial guarantee shall have th

to require the person liable under Article 4 to be joined in the proce

Insurers and persons providing financial guarantees may invo

defences which the person liable under Article 4 would be ent

invoke.

5. Notwithstanding paragraph 4, a Contracting Party shall, by noti

to the Depositary at the time of signature, ratification, or approva

accession to the Protocol, indicate if it does not provide for a right t

a direct action pursuant to paragraph 4. The Secretariat shall mai

record of the Contracting Parties who have given notification pu

to this paragraph.
| 104

1. Where compensation under the Protocol does not cover th

of damage, additional and supplementary measures aimed at e

adequate and prompt compensation may be taken using e

mechanisms.

2. The Meeting of the Parties shall keep under review the ne

and possibility of improving existing mechanisms or establishing 

mechanism.

ARTICLE 16

State responsibility

 The Protocol shall not affect the rights and obligations 

Contracting Parties under the rules of general international la

respect to State responsibility.

PROCEDURES

ARTICLE 17

Competent courts

1. Claims for compensation under the Protocol may be brought 

courts of a Contracting Party only where either:

(a) The damage was suffered; or

(b) The incident occurred; or

P
2. Each Contracting Party shall ensure that its courts posse

necessary competence to entertain such claims for compensation.

ARTICLE 18

Related actions

1. Where related actions are brought in the courts of different Part

court other than the court first seized may, while the actions are pen

first instance, stay its proceedings.

2. A court may, on the application of one of the Parties, decline juris

if the law of that court permits the consolidation of related actio

another court has jurisdiction over both actions.

3. For the purpose of this Article, actions are deemed to be related 

they are so closely connected that it is expedient to hear and det

them together to avoid the risk of irreconcilable judgements re

from separate proceedings.

ARTICLE 19

Applicable law

 All matters of substance or procedure regarding claims bef

competent court which are not specifically regulated in the P

shall be governed by the law of that court including any rules of su

relating to conflict of laws.
| 106

1. Subject to paragraph 2, nothing in the Protocol shall be con

as limiting or derogating from any rights of persons who have s

damage, or as limiting the protection or reinstatement of the enviro

which may be provided under domestic law.

2. No claims for compensation for damage based on the strict 

of the notifier or the exporter liable under Article 4, paragraph 1

importer liable under Article 4, paragraph 2, of the Protocol, s

made otherwise than in accordance with the Protocol.

ARTICLE 21

Mutual recognition and enforcement of judgements

1. Any judgement of a court having jurisdiction in accordanc

Article 17 of the Protocol, which is enforceable in the State of origin 

no longer subject to ordinary forms of review, shall be recognized 

Contracting Party as soon as the formalities required in that Part

been completed, except:

(a) Where the judgement was obtained by fraud;

(b) Where the defendant was not given reasonable notice an

opportunity to present his case;

(c) Where the judgement is irreconcilable with an earlier judg

validly pronounced in another Contracting Party with re

the same cause of action and the same parties; or
2. A judgement recognized under paragraph 1 of this Article s

enforceable in each Contracting Party as soon as the formalities re

in that Party have been completed. The formalities shall not per

merits of the case to be re-opened.

3. The provisions of paragraphs 1 and 2 of this Article sh

apply between Contracting Parties that are Parties to an agre

or arrangement in force on mutual recognition and enforcem

judgements under which the judgement would be recognizab

enforceable.

ARTICLE 22

Relationship of the Protocol with the Basel Convention

 Except as otherwise provided in the Protocol, the provisions 

Convention relating to its Protocols shall apply to the Protocol.

ARTICLE 23

Amendment of Annex B

1. At its sixth meeting, the Conference of the Parties to the 

Convention may amend paragraph 2 of Annex B following the pro

set out in Article 18 of the Basel Convention.

2. Such an amendment may be made before the Protocol enters int
| 108

ARTICLE 24

Meeting of the Parties

1. A Meeting of the Parties is hereby established. The Secretari

convene the first Meeting of the Parties in conjunction with t

meeting of the Conference of the Parties to the Convention afte

into force of the Protocol.

2. Subsequent ordinary Meetings of the Parties shall be h

conjunction with meetings of the Conference of the Parties 

Convention unless the Meeting of the Parties decides oth

Extraordinary Meetings of the Parties shall be held at such other t

may be deemed necessary by a Meeting of the Parties, or at the 

request of any Contracting Party, provided that within six months 

a request being communicated to them by the Secretariat, it is sup

by at least one third of the Contracting Parties.

3. The Contracting Parties, at their first meeting, shall adopt by con

rules of procedure for their meetings as well as financial rules.

4. The functions of the Meeting of the Parties shall be:

(a) To review the implementation of and compliance w

Protocol;

(b) To provide for reporting and establish guidelines and proc

for such reporting where necessary;

(c) To consider and adopt, where necessary, proposals for amen

of the Protocol or any annexes and for any new annexes; an
ARTICLE 25

Secretariat

1. For the purposes of the Protocol, the Secretariat shall:

(a) Arrange for and service Meetings of the Parties as provide

Article 24;

(b) Prepare reports, including financial data, on its activities 

out in implementation of its functions under the Protoc

present them to the Meeting of the Parties;

(c) Ensure the necessary coordination with relevant intern

bodies, and in particular enter into such administrati

contractual arrangements as may be required for the e

discharge of its functions;

(d) Compile information concerning the national law

administrative provisions of Contracting Parties implem

the Protocol;

(e) Cooperate with Contracting Parties and with releva

competent international organisations and agencies 

provision of experts and equipment for the purpose o

assistance to States in the event of an emergency situation

(f) Encourage non-Parties to attend the Meetings of the Pa

observers and to act in accordance with the provisions 

Protocol; and
| 110

2. The secretariat functions shall be carried out by the Secretaria

Basel Convention.

ARTICLE 26

Signature

 The Protocol shall be open for signature by States and by r

economic integration organizations Parties to the Basel Conven

Berne at the Federal Department of Foreign Affairs of Switzerlan

6 to 17 March 2000 and at United Nations Headquarters in New Yo

1 April to 10 December 2000.

ARTICLE 27

Ratification, acceptance, formal confirmation or approval

1. The Protocol shall be subject to ratification, acceptance or ap

by States and to formal confirmation or approval by regional eco

integration organizations. Instruments of ratification, acceptance, 

confirmation, or approval shall be deposited with the Depositary.

2. Any organization referred to in paragraph 1 of this Article 

becomes a Contracting Party without any of its member States b

Contracting Party shall be bound by all the obligations under the P

In the case of such organizations, one or more of whose member S

a Contracting Party, the organization and its member States shall 

on their respective responsibilities for the performance of their obli

under the Protocol. In such cases, the organization and the membe

shall not be entitled to exercise rights under the Protocol concurre
extent of their competence with respect to the matters governed 

Protocol. These organizations shall also inform the Depositary, w

inform the Contracting Parties, of any substantial modification 

extent of their competence.

ARTICLE 28

Accession

1. The Protocol shall be open for accession by any States and 

regional economic integration organization Party to the Basel Conv

which has not signed the Protocol. The instruments of accession s

deposited with the Depositary.

2. In their instruments of accession, the organizations referre

paragraph 1 of this Article shall declare the extent of their comp

with respect to the matters governed by the Protocol. These organi

shall also inform the Depositary of any substantial modification 

extent of their competence.

3. The provisions of Article 27, paragraph 2, shall apply to r

economic integration organizations which accede to the Protocol.

ARTICLE 29

Entry into force

1. The Protocol shall enter into force on the ninetieth day after t

of deposit of the twentieth instrument of ratification, acceptance, 

confirmation, approval or accession.
| 112

thereto after the date of the deposit of the twentieth instrum

ratification, acceptance, approval, formal confirmation or acces

shall enter into force on the ninetieth day after the date of deposit 

State or regional economic integration organization of its instrum

ratification, acceptance, approval, formal confirmation or accession

3. For the purpose of paragraphs 1 and 2 of this Article, any inst

deposited by a regional economic integration organization sh

be counted as additional to those deposited by member States 

organization.

ARTICLE 30

Reservations and declarations

1. No reservation or exception may be made to the Protocol. 

purposes of the Protocol, notifications according to Article 3, par

1, Article 3, paragraph 6, or Article 14, paragraph 5, shall not be re

as reservations or exceptions.

2. Paragraph 1 of this Article does not preclude a State or a r

economic integration organization, when signing, ratifying, acc

approving, formally confirming or acceding to the Protocol, from 

declarations or statements, however phrased or named, with a vie

alia, to the harmonization of its laws and regulations with the pro

of the Protocol, provided that such declarations or statements 

purport to exclude or to modify the legal effects of the provisions 

Protocol in their application to that State or that organization.
1. At any time after three years from the date on which the P

has entered into force for a Contracting Party, that Contracting Pa

withdraw from the Protocol by giving written notification to the Dep

2. Withdrawal shall be effective one year from receipt of n

tion by the Depositary, or on such later date as may be specified 

notification.

ARTICLE 32

Depositary

 The Secretary-General of the United Nations shall be the Dep

of the Protocol.

ARTICLE 33

Authentic texts

 The original Arabic, Chinese, English, French, Russian and S

texts of the Protocol are equally authentic.
| 114

LIST OF STATES OF TRANSIT AS REFERRED TO IN

ARTICLE 3, SUBPARAGRAPH 3 (D)

1. Antigua and Barbuda

2. Bahamas

3. Bahrain

4. Barbados

5. Cape Verde

6. Comoros

7. Cook Islands

8. Cuba

9. Cyprus

10. Dominica

11. Dominican Republic

12. Fiji

13. Grenada

14. Haiti

15. Jamaica

16. Kiribati

17. Maldives

18. Malta

19. Marshall Islands

20. Mauritius

21. Micronesia (Federated States of)

22 Nauru

23. Netherlands, on behalf of Aruba, and the Netherlands Antilles

24. New Zealand, on behalf of Tokelau

25. Niue

26. Palau

27. Papua New Guinea

L
30. Seychelles

31. Singapore

32. Solomon Islands

33. St. Lucia

34. St. Kitts and Nevis

35. St. Vincent and the Grenadines

36. Tonga

37. Trinidad and Tobago

38. Tuvalu

39. Vanuatu
| 116

FINANCIAL LIMITS

1. Financial limits for the liability under Article 4 of the Protocol s

determined by domestic law.

2. The limits of liability shall:

(a) For the notifier, exporter or importer, for any one incident, 

less than:

(i) 1 million units of account for shipments up to and in

5 tonnes;

(ii) 2 million units of account for shipments exceeding 5 

up to and including 25 tonnes; 

(iii) 4 million units of account for shipments exceeding 25 

up to and including 50 tonnes;

(iv) 6 million units of account for shipments exceeding 50 

up to and including to 1,000 tonnes;

 (v) 10  million units of account for shipments exc

1,000 tonnes, up to and including 10,000 tonnes;

(vi) Plus an additional 1,000 units of account for each add

tonne up to a maximum of 30 million units of account

(b) For the disposer, for any one incident, be not less than 2 

units of account for any one incident.

F
potential risks posed to the environment by the movement of haz

wastes and other wastes and their disposal, recycling, and the 

quantity and hazardous properties of the wastes.

The Basel Convention on the Control of Transboundary Movements of 

Hazardous Wastes and their Disposal was adopted in 1989 and it came into 

force in 1992. It is the most comprehensive global environmental agreement 

on hazardous wastes and other wastes. With 181 Parties (as at 18 July 2014), 

it has nearly universal membership. The Convention aims to protect human 

health and the environment against the adverse effects resulting from the 

generation, transboundary movements and management of hazardous 

wastes and other wastes.

The Basel Convention regulates the transboundary movements of hazardous 

wastes and other wastes and obliges its Parties to ensure that such wastes 

are managed and disposed of in an environmentally sound manner. The 

Convention covers toxic, poisonous, explosive, corrosive, flammable, ecotoxic 

and infectious wastes. Parties also have an obligation to minimize the quantities 

that are transported, to treat and dispose of wastes as close as possible to their 

place of generation and to prevent or minimize the generation of wastes at 

source. 

14 Basel Convention Regional and Coordinating Centres have been 

established under the Basel Convention as at 18 July 2014. The centres are 

located in Argentina, China, Egypt, El Salvador, Indonesia, Islamic Republic 

of Iran, Nigeria, Russian Federation, Senegal, Slovak Republic, South Pacific 

Regional Environment Programme (Samoa), South Africa, Trinidad and 

Tobago, and Uruguay. They deliver training and technology transfer regarding 

management of hazardous wastes and other wastes and the minimization of 

their generation, so as to assist and support Parties in their implementation of 

the Convention.

www.basel.int

Secretariat of the Basel Convention

International Environment House

15 chemin des Anémones

1219 Châtelaine, Switzerland

Tel : +41 (0) 22 917 82 18

Fax : +41 (0) 22 797 34 54

Email : sbc@unep.org

Designed and printed at United Nations, Geneva — 1400778(E) — August 2014 — 1,000 — UNEP/BRS/2014/3