ORGANISATION FOR ECONOMIC GENERAL DISTRIBUTION

 CO-OPERATION AND DEVELOPMENT

 • Paris, drafted: 06-APR-1992 

 • OLIS: >

 dist.: >

 • 

 • •••• C(92)39/FINAL

 • Or. Eng./Fre.

 COUNCIL

 DECISION OF THE COUNCIL

 concerning the control of transfrontier movements of

 wastes destined for recovery operations*

 (adopted by the Council at its 778th Session on 30th March 1992)

 

>

_____________

* Japan abstained.
 THE COUNCIL,

 Having regard to Article 5a) of the Convention on the Organisation for 

Economic Co-operation and Development of 14 December 1960;

 Having regard to the Decision and Recommendation of the Council of 

1 February 1984 on Transfrontier Movements of Hazardous Waste [C(83)180(Final)] 

which requires Member countries to control transfrontier movements of hazardous 

wastes;• 

 Having regard to the Decision of the Council of 27 May 1988 on 

Transfrontier Movements of Hazardous Wastes [C(88)90(Final)] which defines 

"wastes", identifies those wastes referred to as hazardous wastes in relevant 

Council Acts, and sets out a classification system for wastes subject to 

transfrontier movements;

 Having regard to the Decision-Recommendation of the Council of 

31 January 1991 on the Reduction of Transfrontier Movements of Wastes 

[C(90)178/FINAL] which, inter alia, calls for delineation of such controls as 

may be appropriate for the transfrontier movement of wastes destined for 

recovery operations, clarification of the definition of such wastes and 

characterization of those wastes which may require differing levels of 

control; 

 Having regard to the Basel Convention on the Control of Transboundary 

Movements of Hazardous Wastes and their Disposal, adopted on 22 March 1989, 

and noting that most Member countries and the European Economic Community have 

become signatories to this Convention;

 Desiring to conclude an arrangement or agreement under Article 11 of 

that Convention;

 Noting that recovery of valuable raw materials from wastes has been an 

integral part of the international economic system and that well established 

international markets exist for the collection and processing of such 

wastes;

 Noting further that many industrial sectors are already implementing 

waste recovery techniques in an economically and environmentally satisfactory 

manner, thus protecting limited virgin sources of raw materials, and convinced 

that further efforts in this direction are necessary and should be encouraged;

 Recognising that efficient and environmentally sound management of 

wastes may justify some transfrontier movements of such wastes in order to 

make use of adequate recovery facilities in other countries;

 Convinced however that, pursuant to the obligations set forth in the 

relevant Council Acts and compatible with the provisions of the Basel 

Convention, an appropriate system should be implemented to control 

transfrontier movements of those wastes destined for recovery operations;
 Convinced that all persons involved in any contracts or arrangements for 

transfrontier movements of wastes destined for recovery operations must have 

the appropriate legal status to ensure environmentally sound management of 

these wastes; and

 Recognizing that work is now in progress within the United Nations 

Environment Programme concerning the environmentally sound management of 

hazardous wastes.

 On the proposal of the Environment Committee:

I. DECIDES that Member countries shall control transfrontier movements of 

wastes destined for recovery operations within the OECD area as specified in 

Annex 1 which is an integral part of this Decision.

II. INSTRUCTS the Environment Committee in co-operation with other relevant 

OECD bodies, in particular the Trade Committee, to review periodically the 

control system and the lists of wastes set out in Annex 1, taking into account 

the criteria listed in Annex 2, and to make any proposals it deems necessary 

for revisions of Annex 1.

III. INSTRUCTS the Environment Committee in co-operation with other relevant 

OECD bodies to review annually action taken by Member countries in pursuance of 

this Decision.

IV. REQUESTS the Secretary General to transmit this Decision to the 

Executive Director of the United Nations Environment Programme and the Interim 

Secretariat of the Basel Convention.
 Annex 1

 I. DEFINITIONS

 For the purposes of this Decision:

WASTES are as defined in OECD Council Decision C(88)90(Final) of 27 May 1988.

RECOVERY OPERATIONS mean activities leading to resource recovery, recycling, 

reclamation, direct re-use or alternative uses as listed in Table 2B of the 

Annex of OECD Council Decision C(88)90(Final) of 27 May 1988.

TRANSFRONTIER MOVEMENT means any shipment of wastes destined for recovery 

operations from an area under the national jurisdiction of one OECD Member 

country to an area under the national jurisdiction of another OECD Member 

country.

RECOVERY FACILITY means an entity which, under applicable domestic law, is 

operating or is authorized to operate in the importing country to receive 

wastes and to perform recovery operations on them.

INTERNATIONAL WASTE IDENTIFICATION CODE ("IWIC") is the classification system 

specified and described in OECD Council Decision C(88)90(Final) of 27 May 1988.

EXPORTING COUNTRY means any OECD Member country from which a transfrontier 

movement of wastes is planned or has commenced.

IMPORTING COUNTRY means any OECD Member country to which a transfrontier 

movement of wastes is planned or takes place for the purpose of submitting the 

wastes to recovery operations therein.

COUNTRY OF TRANSIT means any OECD Member country other than the exporting or 

importing country across which a transfrontier movement of wastes is planned or 

takes place.

CONCERNED COUNTRIES means the exporting and importing OECD Member 

countries and any OECD Member countries of transit.

OECD AREA means all land or marine areas under the national jurisdiction of any 

OECD Member country.

COMPETENT AUTHORITIES means the regulatory authorities of concerned countries 

having jurisdiction over transfrontier movements of wastes destined for 

recovery operations.

PERSON means any natural or legal person whether public or private.

NOTIFIER means the person under the jurisdiction of the exporting country who 

has, or will have at the time the planned transfrontier movement commences, 

possession or other forms of legal control of the wastes and who proposes their 

transfrontier movement for the ultimate purpose of submitting them to recovery 

operations.

CONSIGNEE means the person to whom possession or other form of legal control of 

the waste is assigned at the time the waste is received in the importing 

country.
RECOGNISED TRADER means a person who, with appropriate authorisation of 

concerned countries, acts in the role of principal to purchase and subsequently 

sell wastes; this person has legal control of such wastes from time of 

purchase to time of sale; such a person may act to arrange and facilitate 

transfrontier movements of wastes destined for recovery operations.

GENERATOR means a person whose activities create wastes.

 II. GENERAL PROVISIONS

(1) All of the following conditions shall apply to transfrontier movements 

of wastes subject to this Decision:

 (a) The wastes shall be destined for recovery operations 

 within a facility which, under applicable domestic law, is 

 operating or is authorized to operate in the importing country;

 (b) The transfrontier movements shall be carried out under terms of 

 applicable international transport agreements. (Appendix 1 

 contains an illustrative list of such agreements);

 

 (c) Any transit of wastes through a non-member country shall be 

 subject to all applicable international and national laws and 

 regulations.

(2) A three-tiered system serves to delineate controls to be applied to 

such transfrontier movements:

 (a) "Green" tier

 • Wastes destined for recovery operations included on the green 

 list shall move among OECD Member countries toward recovery 

 operations subject to all existing controls normally applied in 

 commercial transactions. These provisions shall not apply to 

 wastes on this list which are contaminated by other materials to 

 an extent which increases the risks associated with the wastes 

 sufficiently to render them appropriate for inclusion in the amber 

 or red lists, when taking into account the criteria in Annex 2.

 (b) "Amber" tier

 • Wastes destined for recovery operations included in the amber 

 list shall be subject to the control system set out in Section IV 

 of this Annex.

 (c) "Red" tier

 • Wastes destined for recovery operations included in the red list 

 shall be subject to the controls indicated in Section V of this 

 Annex. 
(3) The criteria listed in Annex 2 must be taken into account for evaluating 

wastes for inclusion on the green, amber or red lists. In accord with 

provisions of this Decision, items may be added, altered or deleted 

periodically. Subject to Section III (2) no single criterion shall be used in 

isolation in assigning wastes to the lists.

(4) • While the lists are intended to be exclusive, a specific waste 

included in either the amber or red lists might not be legally defined or 

considered to be a hazardous waste in the exporting country because the 

competent authorities of that country are satisfied that it does not exhibit 

any of the hazardous characteristics listed in Table 5 of OECD Council Decision 

C(88)90(Final) as determined using national procedures*. If, however, this 

waste is legally defined or considered to be a hazardous waste by the importing 

country, then all of the requirements set forth in Section IV or Section V - 

whichever is applicable - shall apply as follows: the importing country shall 

assume the obligations of the exporting country under these Sections, in 

particular as regards the notification requirements. A copy of the 

notification form must be transmitted to the competent authorities of the 

exporting country. Member countries operating under provisions of this 

paragraph shall promptly inform the OECD Secretariat of the waste(s) involved 

and applicable legislative requirements.

(5) • Member countries who prescribe the use of certain tests and testing 

procedures in order to determine whether a waste exhibits one or more of the 

hazardous characteristics listed in Table 5 of OECD Council Decision 

C(88)90(Final) shall inform the OECD Secretariat concerning which tests and 

testing procedures are being so utilized; and, if possible, which 

wastes would or would not be legally defined or considered to be hazardous 

wastes based upon application of these national procedures.

(6) • This Decision does not prejudice the right of Member countries to 

control certain wastes which have been assigned to the green list as if those 

wastes had been assigned to one of the other lists, in conformity with domestic 

•legislation and the rules of international law, in order to protect human 

health and the environment. In such cases, Member countries exercising this 

right shall immediately inform the OECD secretariat citing the specific 

waste(s) and applicable legislative requirements.

 

* The potential hazards posed by certain types of wastes are not yet fully 

 documented; tests to define quantitatively these hazards do not exist. 

 Further research is necessary in order to develop means to characterise 

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

 Standardized tests have been derived with respect to pure substances and 

 materials. Many Member countries have developed tests which can be applied 

 to materials destined for disposal by means of operations listed in Table 2 

 of OECD Council Decision C(88)90(Final) in order to decide if these 

 materials exhibit any of the hazardous characteristics listed in Table 5 of 

 that Decision.
(7) Wastes which are destined for recovery operations but have not yet been 

assigned to the green, amber or red lists shall be eligible for transfrontier 

movements pursuant to this Decision subject to the following conditions:

 i) Member countries shall identify such wastes and bring them to the 

 attention of the review mechanism established by operative 

 paragraphs II and III of this Decision;

 ii) such wastes shall be promptly examined by the Review Mechanism in 

 order to assign them to the appropriate list; 

 iii) pending assignment to a list, such wastes shall be subject to the 

 controls required for the transfrontier movements of wastes by the 

 domestic legislation of the concerned countries in order that no 

 country is obliged to enforce laws other than its own;

 iv) however, if such wastes exhibit a hazardous characteristic listed 

 in Table 5 of OECD Council Decision C(88)90(Final) as determined 

 using national procedures and any applicable international 

 agreements, such wastes shall be subject to controls applicable to 

 the red tier.

(8) If two or more lots of wastes are mixed and/or otherwise subjected to 

physical or chemical transformation operations, the person who performs these 

operations shall be deemed to be the generator of the new wastes resulting from 

these operations.

 III. GREEN TIER

(1) Specific items included in the green list are shown under their 

corresponding main categories. Only the items specified under a main category 

and not the main categories themselves are part of the green list.

 

(2) Wastes may not be included in the green list if they exhibit any of the 

hazardous characteristics listed in Table 5 of OECD Council Decision 

C(88)90(Final). The procedures in force in each Member country for determining 

whether a specific waste does or does not exhibit one or more of these 

characteristics are taken into account in placing or not placing a waste onto 

the green list.

(3) If green list wastes are re-exported, responsibilities of the exporting 

country under other relevant agreements or conventions shall transfer to the 

country initiating the re-export, and shall not apply to the original exporting 

country.

(4) Green list of wastes

 The green list of wastes is set out at Appendix 3. 
 IV. AMBER TIER

(1) Conditions

 Transfrontier movements of wastes under the amber control system may 

only occur under the terms of a valid written contract, or chain of contracts, 

or equivalent arrangements between facilities controlled by the same legal 

entity, starting with the notifier and terminating at the recovery facility. 

All persons involved in the contracts, or arrangements shall have appropriate 

legal status.

 Such contracts shall include provisions for financial guarantees in 

accordance with applicable national or international law requirements. 

Financial guarantees so required are intended to provide for alternate 

recycling, disposal or other means of sound management of the wastes in cases 

where arrangements for the shipment and the recovery operations cannot be 

carried out as foreseen. These contracts shall also specify which party to 

the contract shall assume responsibility for alternate management of the 

wastes. These contracts shall also specify and, as the case may be, require 

from the consignee the notification required in 3(a) below (Re-export to a 

Third Country).

 In such cases :

 i) the person having actual possession or physical control over the 

 wastes shall immediately inform the notifier and the competent 

 authorities of the exporting and importing countries and, if the 

 wastes are located in a country of transit, the competent 

 authorities of that country;

 ii) the person specified in the contract shall assume responsibility for 

 the adequate management of the wastes in compliance with applicable 

 laws and regulations including, if necessary, their return. The 

 competent authorities of the concerned countries shall require that 

 the necessary actions are carried out within a limited period of 

 time, and shall not oppose, hinder or prevent the return of those 

 wastes to the exporting country.

(2) Control System

 Procedures are provided under the amber control system for the following 

two cases:

 i) transactions which require consent for specific shipments to a 

 recovery facility; and

 ii) transactions involving specific recovery facilities to which the 

 competent authorities having jurisdiction over such recovery 

 facilities have granted general pre-consent concerning the reception 

 of certain wastes.
 • Case (1): Provisions concerning transactions requiring specific 

 consent.

 

 (a) Prior to commencement of the transfrontier movement, the notifier 

 shall provide written notification to the competent authorities of 

 the concerned countries; this notification shall include all of the 

 information listed in Appendix 2.A. The competent authorities of 

 the exporting country may, in accord with domestic laws, decide to 

 transmit this notification instead of the notifier.

 (b) The competent authorities of the importing country, upon receipt of 

 the completed notification referred to in paragraph (a) above, shall 

 transmit an acknowledgement to the notifier with a copy to the 

 competent authorities of other concerned countries within three (3) 

 working days of their receiving the notification.

 (c) The competent authorities of the exporting and importing countries 

 shall have thirty (30) days to object in accord with their 

 respective domestic laws to the proposed transfrontier movement. 

 The 30-day period shall commence upon issuance of the 

 acknowledgement referred at paragraph (b) above.

 (d) Countries of transit may, in accord with domestic laws, object to 

 the transfrontier movement entering their territory.

 (e) Any objection by any of the concerned countries must be provided in 

 writing to the notifier and to the competent authorities of other 

 concerned countries within the 30-day period.

 (f) If no objection has been lodged, the transfrontier movement may 

 commence after the 30-day period has passed. Tacit consent, 

 however, expires within one (1) calendar year from that date.

 (g) The competent authorities of the concerned countries may decide to 

 provide written consent in a period less than the 30 days. The 

 transfrontier movement may commence immediately after all necessary 

 consents are received.

 (h) Written consent or objection may be provided by post, or by telefax 

 followed by post. Such consent shall expire within one (1) calendar 

 year unless otherwise specified.

 (i) Each transfrontier movement shall be accompanied by a tracking 

 document which includes the information listed in Appendix 2.

 (j) Within three (3) days of the receipt of the wastes by the recovery 

 facility, the recovery facility shall provide a signed copy of the 

 tracking document to the notifier and to the competent authorities 

 of the concerned countries. The recovery facility shall retain the 

 original of the tracking document for three (3) years.
 (k) In cases where essentially similar wastes (e.g. those having 

 essentially similar physical and chemical characteristics) are to be 

 sent periodically to the same recovery facility by the same 

 notifier, the competent authorities of the concerned countries may 

 elect to accept one notification for these wastes for a period of up 

 to one year:

 • i) Such acceptance may be renewed for further periods of up to one 

 year each;

 • ii) Revocation of this acceptance may be accomplished by means of 

 official notice to the notifier from any of the competent 

 authorities of the concerned countries. Notice of revocation of 

 acceptance for shipments previously granted under this provision 

 shall be given to the competent authorities of all concerned 

 countries by the competent authorities of the country that 

 revokes such acceptance.

 

 Case (2): Provisions relating to pre-consent by competent 

 authorities for shipments to specific recovery 

 facilities.

 (a) Competent authorities having jurisdiction over specific recovery 

 facilities may decide not to raise objections concerning shipments 

 of certain types of wastes to a specific recovery facility. Such 

 decisions can be limited to a specified period of time; however, 

 they may be revoked at any time.

 (b) Competent authorities who elect this option shall inform the OECD 

 Secretariat of the recovery facility name, address, technologies 

 employed, waste types to which the pre-consent applies, and the 

 period covered. Any revocations must also be notified to the OECD 

 Secretariat.

 (c) All proposed transfrontier movements to such facilities shall 

 require notification; the notifier shall provide to the competent 

 authorities of the concerned countries the information listed in 

 Appendix 2.A. Such notification shall arrive prior to the time the 

 shipment is dispatched.

 (d) The competent authorities of the exporting and transit country may, 

 in accord with their domestic laws, prohibit or otherwise restrict 

 any such transfrontier movement.

 (e) In instances where competent authorities acting under terms of their 

 domestic laws are required to review the contracts referred to in 

 (1) above (Conditions), these authorities shall so inform the OECD 

 Secretariat. In such cases, the notification information plus the 

 contract(s) or portions thereof to be reviewed must arrive seven (7) 

 days prior to the time the shipment is dispatched in order that such 

 review may be appropriately performed.

 (f) Paragraphs (i), (j) and (k) of Case (1) shall apply.
(3) Additional provisions relating to re-export to a third country

 (a) Re-export from an importing country of wastes subject to the amber 

 control system may only occur following notification by a notifier 

 in the importing country to the competent authorities of the initial 

 exporting country, which shall be acknowle•dged within three (3) 

 working days of receipt. The competent authorities of the initial 

 exporting country shall have thirty (30) days to object to the 

 proposed movement. The 30-day period shall commence upon issue of 

 the acknowledgement referred to above. If no objection has been 

 lodged, the transfrontier movement may commence after the 30-day 

 period has passed. The competent authorities may decide to provide 

 written consent in a period of less than 30 days. The transfrontier 

 movement may commence immediately after such consent is received. 

 Written consent may be provided by telefax in the first instance, 

 followed by post if required.

 

 (b) Re-export to a country outside the OECD area shall be fully subject 

 to, and in accord with, all international agreements and 

 arrangements to which the importing OECD Member country is a party.

(4) Provisions relating to recognised traders

 (a) A recognised trader who takes physical custody of the wastes and 

 intends to perform any of the operations in Table 2 B of OECD 

 Council Decision C(88)90(Final) shall require appropriate 

 authorisation from its competent authorities to act as a recovery 

 facility.

 (b) A recognised trader may act as a notifier or consignee for wastes 

 with all the responsibilities associated with being a notifier or 

 consignee.

 (c) The contracts referred to in (1) above (Conditions) shall:

 • i) clearly identify: the generator of each type of waste; each 

 person who shall have physical custody of the wastes; each 

 person who shall have legal control of the wastes; and the 

 recovery facility;

 • ii) provide that all requirements of this Decision are taken into 

 account and are legally binding on all parties to the contracts.

 (d) The notification information called for at Appendix 2A shall include 

 a signed declaration by the notifier that the appropriate contracts 

 are in place and are legally enforceable in all concerned countries.

 (e) Competent authorities of the exporting and importing countries may 

 under terms of their domestic laws require the notifier to provide 

 copies of such contracts or portions thereof.
 (f) Any information contained in the contracts provided under terms of 

 paragraph (e) above shall be held as strictly confidential in 

 accordance with, and to the extent allowable by, domestic laws.

(5) Provisions relating to wastes designated for exchange or accumulation

 prior to submission to recovery operations designated R1-R11 in 

 Table 2B of OECD Council Decision C(88)90(Final)

 (a) The notification information included in Appendix 2A shall also 

 indicate that exchange or storage is foreseen for the wastes covered 

 by the notification.

 (b) The competent authorities of concerned countries may request that 

 the recovery facility where operations designated R1-R11 in Table 2B 

 of Council Decision C(88)90(Final) will occur be identified.

 (c) The tracking document referred to in Appendix 2B shall accompany the 

 wastes to the recovery facility noted in paragraph (b) above which 

 shall then comply with paragraph (j) of (2) above (Control System).

(6) Amber list of wastes

 The amber list of wastes is set out at Appendix 4.•• 

 V. RED TIER

(1) The red list represents certain specific substances which, even moved in 

an adequately managed way, nevertheless must be controlled in a more stringent 

way than provided for by the amber control system. Wastes included in the red 

list shall be subject to the same controls as applied to wastes included in the 

amber list (see Section IV), and shall move in accord with Case (1), except 

that the importing and any transit countries must provide written consent prior 

to commencement of the transfrontier movement.

(2) Red list of wastes

 The red list of wastes is set out at Appendix 5.
 

 VI. ACTIONS TO PROMOTE HARMONISED IMPLEMENTATION

(1) Member countries individually, and as a group acting through the Review 

Mechanism established in this Decision, shall take appropriate steps toward 

improving the green, amber and red lists of wastes and toward uniform 

application of this Decision.

(2) Member countries shall cooperate in efforts aimed at:

 i) developing procedures for evaluating the criteria in Annex 2 to 

 determine to which list a waste should be assigned; and

 ii) harmonising procedures for determining whether a waste exhibits 

 any of the hazardous characteristics listed in Table 5 of OECD 

 Council Decision C(88)90(Final). 

(3) Member countries shall cooperate to identify and assess steps taken 

toward optimization of environmentally sound and economically efficient 

practices for recovery operations of each waste.

(4) When Sections II(4), II(6) and II(7) must be resorted to, Member 

countries shall cooperate to ensure that the provisions of this Decision are 

fully complied with.

(5) The OECD Secretariat shall circulate to all Member countries the 

information provided in accordance with this Decision, in particular under 

Sections II(4), II(5), II(6) and II(7).
 Appendix 1

 INTERNATIONAL TRANSPORT AGREEMENTS 

1. Chicago Convention:

 Convention on International Civil Aviation (1944) Annex 18 which deals 

 with the carriage of dangerous goods by air

 (T.I.: Technical Instructions for the Safe Transport of 

 Dangerous Goods by Air);

2. ADR:

 European Agreement concerning the International Carriage of • 

 Dangerous Goods by Road (1957);

3. ADNR:

 Regulations of the Carriage of Dangerous Substances on the Rhine (1970).

4. MARPOL Convention:

 International Convention for the Prevention of Pollution from Ships 

 (1973/1978);

5. SOLAS Convention:

 International Convention for the Safety of Life at Sea (1974);

6. IMDG Code:

 International Maritime Dangerous Goods Code;

 (incorporated into SOLAS since 1985)

7. COTIF:

 Convention concerning the International Carriage of Goods by Rail 

 (1985);

8. RID: Regulation on the International Carriage by Rail of Dangerous 

 Goods (1985) [Annex I to COTIF];

 
 Appendix 2

 NOTIFICATION AND TRACKING INFORMATION 

A. INFORMATION TO BE SUBMITTED UPON NOTIFICATION

1)• Serial number or other accepted identifier of notification form.

2)• Notifier name, address, telephone, telefax.

3)• Recovery facility name, address, telephone, telefax, and technologies 

 employed

4)• Consignee if not the recovery facility, address, telephone, telefax

5)• Intended carrier(s) and/or their agents.

6)• Country of export and relevant competent authority

7)• Countries of transit and relevant competent authorities.

8)• Country of import and relevant competent authority.

9)• Is this a single notification or a general notification? If 

 general, period of validity requested.

10)• Date foreseen for commencement of transfrontier movement.

11)• Certification that any applicable insurance or other financial 

 guarantee is or shall be in force covering the transfrontier 

 movement.

12)• Designation of waste type(s) on the appropriate list (amber or red) 

 and their description(s), probable total quantity of each, and an 

 accepted uniform classification code (such as the IWIC) for each.

13)• Certification of the existence of written contract or chain of 

 contracts or equivalent arrangement as required by this Decision.

14)• Certification by notifier that the information is complete and 

 correct to the best of his knowledge.

B. TRACKING DOCUMENT

• Include all information at A. above plus

(a)• Date shipment was dispatched

(b)• Shipper (if not notifier), address, telephone, telefax

(c)• Actual carrier(s)
(d)• Means and mode of transport including types of packaging

(e)• Any special precautions to be taken by carrier(s)

(f)• Declaration by notifier that no objection has been lodged by the 

 competent authorities of all concerned countries. This declaration 

 requires signature of the notifier.

(g)• Appropriate signatures for each custody transfer.

C. ALL OF THIS INFORMATION SHALL BE PROVIDED ON A FORM TO BE DEVELOPED 

 FOR USE WITHIN THE OECD AREA

D. NOTE. Under terms of domestic legislation, some Member countries 

 require information in addition to that included in A and B above in 

 order to assess aspects of the environmentally sound management of 

 wastes. Affected countries shall inform the OECD Secretariat and 

 provide a list of the additional information needed.
 Appendix 3

 GREEN LIST OF WASTES+

 Regardless of whether or not wastes are included on this list, they may 

not be moved as Green Tier wastes if they are contaminated by other materials 

to an extent which (a) increases the risks associated with the waste 

sufficiently to render it appropriate for inclusion in the amber or red lists, 

when taking into account the criteria in Annex 2, or (b) prevents the recovery 

of the waste in an environmentally sound manner.

A. METAL AND METAL-ALLOY WASTES IN METALLIC, NON DISPERSIBLE FORM++ 

 • The following waste and scrap of precious metals and their 

 alloys : 

 711210 - of gold 

 711220 - of platinum (the expression "platinum" includes platinum, 

 iridium, osmium, palladium, rhodium and ruthenium)

 711290 - of other precious metal, e.g., silver

 • N.B.(1) Mercury is specifically excluded as a component of these 

 metals

 • • (2) Electrical assemblies wastes shall consist only of metals 

 or alloys

 • • (3) Electronic scrap (subject to specifications, these to be 

 reviewed by the Review Mechanism)

 • • 

 The following ferrous waste and scrap; remelting scrap ingots of

 • iron or steel:

 720410 - Waste and scrap of cast iron

 720421 - Waste and scrap of stainless steel 

 720429 - Waste and scrap of other alloy steels

 720430 - Waste and scrap of tinned iron or steel

 720441 - Turnings, shavings, chips, milling waste, filings, trimmings 

 and stampings, whether or not in bundles

 720449 - Other ferrous waste and scrap

________________________________________________________________

+ Whenever possible, the Harmonized Commodity Description and Coding System, 

 established by the Brussels Convention of 14th June 1983 under the auspices 

 of the Customs Co-operation Council (hereinafter Harmonized Customs Code) 

 is listed opposite an entry. This code may apply to both wastes and 

 products. This Decision does not include items which are not wastes. 

 Therefore, the code - used by customs officials in order to facilitate 

 their procedures as well as by others - is only provided here to help in 

 identifying wastes that are listed and subject to this Decision. However, 

 corresponding official explanatory notes as issued by the Customs 

 Co-operation Council should be used as interpretative guidance to identify 

 wastes covered by generic headings.

 The indicative "ex" identifies a specific item contained within the 

 Harmonized Customs Code heading.

++ "Non-dispersible" does not include any wastes in the form of powder, sludge, 

 dust or solid items containing encased hazardous waste liquids.
 720450 - Remelting scrap ingots

ex 730210 - Used iron and steel rails

 • The following waste and scrap of non-ferrous metals

 • and •their alloys:

 740400 Copper waste and scrap •• ••• 

 750300 Nickel waste and scrap

 760200 Aluminium waste and scrap 

ex 780200 Lead waste and scrap

 790200 Zinc waste and scrap

 800200 Tin waste and scrap

ex 810191 Tungsten waste and scrap

ex 810291 Molybdenum waste and scrap

ex 810310 Tantalum waste and scrap

 810420 Magnesium waste and scrap

ex 810510 Cobalt waste and scrap 

ex 810600 Bismuth waste and scrap

ex 810710 Cadmium waste and scrap

ex 810810 Titanium waste and scrap

ex 810910 Zirconium waste and scrap

ex 811000 Antimony waste and scrap

ex 811100 Manganese waste and scrap

ex 811211 Beryllium waste and scrap

ex 811220 Chromium waste and scrap

ex 811230 Germanium waste and scrap

ex 811240 Vanadium waste and scrap

ex 811291 Wastes and scrap of 

 • - Hafnium

 • - Indium

 • - Niobium

 • - Rhenium

 • - Gallium

 • - Thallium

ex 280530 Thorium and rare earths waste and scrap
ex 280490 Selenium waste and scrap 

ex 280450 Tellurium waste and scrap

B. OTHER METAL BEARING WASTES ARISING FROM MELTING, SMELTING AND

 REFINING OF METALS

 262011 Hard zinc spelter

 • Zinc containing drosses:

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

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

 • - Zinc die cast dross ( > 85% Zn)

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

 • - Zinc skimmings

 • 

 • Aluminium skimmings

ex 262090 Slags from precious metals and copper processing for further 

 refining

C. WASTES FROM MINING OPERATIONS: THESE WASTES TO BE

 IN NON-DISPERSIBLE FORM

ex 250490 Natural graphite waste

ex 251400 Slate waste, whether or not roughly trimmed or merely cut, by 

 sawing or otherwise 

 252530 Mica waste

ex 252921 Feldspar; leucite; nepheline and nepheline syenite; fluorspar - 

 containing by weight 97% or less of calcium fluoride

 

ex 280461 Silica wastes in solid form excluding those used in foundry

ex 280469 operations

D. SOLID PLASTIC WASTES:

 Including, but not limited to:

 3915• Waste, parings and scrap of plastics

 391510 - of polymers of ethylene

 391520 - of polymers of styrene

 391530 - of polymers of vinyl chloride

 391590 polymerized or co-polymerized 

 • - polypropylene

 • - polyethylene terephthalate

 • - acrylonitrile copolymer

 • - butadiene copolymer

 • - styrene copolymer 
 • - polyamides

 • - polybutylene terephthalates

 • - polycarbonates

 • - polyphenylene sulphides

 • - acrylic polymers

 • - paraffins (C10-C13)

 • - polyurethane (not containing chlorofluorocarbons)

 • - polysiloxalanes (silicones)

 • - polymethyl methacrylate

 • - polyvinyl alcohol

 • - polyvinyl butyral

 • - polyvinyl acetate

 • - fluorinated polytetrafluoroethylene (Teflon, PTFE)

 391590 resins or condensation products of

 • - urea formaldehyde resins

 • - phenol formaldehyde resins

 • - melamine formaldehyde resins

 • - epoxy resins

 • - alkyd resins

 • - polyamides

E. PAPER, PAPERBOARD AND PAPER PRODUCT WASTES:

 470700 Waste and scrap of paper or paperboard:

 470710 - of unbleached kraft paper or paperboard or of corrugated paper 

 or paperboard 

 470720 - of other paper or paperboard, made mainly of bleached chemical 

 pulp, not colored in the mass

 470730 - of paper or paperboard made mainly of mechanical pulp (for 

 example, newspapers, journals and similar printed matter)

 470790 - other, including but not limited to:

 • 1) laminated paperboard

 • 2) unsorted waste and scrap 

F. GLASS WASTE IN NON-DISPERSIBLE FORM

ex 700100 Cullet and other waste and scrap of glass except for glass from 

 cathode-ray tubes and other activated glasses

 • Fibre glass wastes

G. CERAMIC WASTES IN NON-DISPERSIBLE FORM

ex 690000 Wastes of ceramic which have been fired after shaping, including 

 ceramic vessels

ex 811300 Cermets waste and scrap

 • Ceramic based fibres not otherwise specified
H. TEXTILE WASTES:

 5003• Silk waste (including cocoons unsuitable for reeling, yarn waste 

 and garnetted stock)

 500310 - not carded or combed

 500390 - other

 5103• Waste of wool or of fine or coarse animal hair, including yarn 

 waste but excluding garnetted stock

 510310 - noils of wool or of fine animal hair

 510320 - other waste of wool or of fine animal hair

 510330 - waste of coarse animal hair

 5202• Cotton waste (including yarn waste and garnetted stock)

 520210 - yarn waste (including thread waste)

 520291 - garnetted stock

 520299 - other

 530130 Flax tow and waste

ex 530290 Tow and waste (including yarn waste and garnetted stock) of true 

 hemp (Cannabis sativa L.) 

ex 530390 Tow and waste (including yarn waste and garnetted stock) of jute 

 and other textile bast fibres (excluding flax, true hemp and 

 ramie) 

 

ex 530490 Tow and waste (including yarn waste and garnetted stock) of 

 sisal and other textile fibres of the genus Agave

ex 530519 Tow, noils and waste (including yarn waste and garnetted stock) 

 of coconut

ex 530529 Tow, noils and waste (including yarn waste and garnetted stock) 

 of abaca (Manila hemp or Musa textilis Nee) 

ex 530599 Tow, noils and waste (including yarn waste and garnetted stock) 

 of ramie and other vegetable textile fibres, not elsewhere 

 specified or included

 5505• Waste (including noils, yarn waste and garnetted stock) of 

 man-made fibres

 550510 - of synthetic fibres

 550520 - of artificial fibres

 630900 Worn clothing and other worn textile articles

 6310• Used rags, scrap twine, cordage, rope and cables and worn out 

 articles of twine, cordage, rope or cables of textile materials

 631010 - sorted

 631090 - other•••• 
I. RUBBER WASTES:

 400400 Waste, parings and scrap of rubber (other than hard rubber) and 

 granules obtained therefrom

 401220 Used pneumatic tyres

ex 401700 Waste and scrap of hard rubber (for example, ebonite) 

J. UNTREATED CORK AND WOOD WASTES:

 440130 Wood waste and scrap, whether or not agglomerated in logs, 

 briquettes, pellets or similar forms

 450190 Cork waste; crushed, granulated or ground cork 

K. WASTES ARISING FROM AGRO-FOOD INDUSTRIES

 230100 Dried, sterilized and stabilized flours, meals and pellets, of 

 meat or meat offal, of fish or of crustaceans, molluscs or other 

 aquatic invertebrates, unfit for human consumption but fit for 

 animal feed or other purposes; greaves

 230200 Bran, sharps and other residues, whether or not in the form of 

 pellets derived from the shifting, milling or other working of 

 cereals or of leguminous plants 

 

 230300 Residues of starch manufacture and similar residues, beet-pulp, 

 bagasse and other waste of sugar manufacture, brewing or 

 distilling dregs and waste, whether or not in the form of pellets

 230400 Oil-cake and other solid residues, whether or not ground or in 

 the form of pellets, resulting from the extraction of soya-bean 

 oil, used for animal feed

 230500 Oil-cake and other solid residues, whether or not ground or in 

 the form of pellets, resulting from the extraction of ground-nut 

 (peanut) oil, used for animal feed

 230600 Oil-cake and other solid residues, whether or not ground or in 

 the form of pellets, resulting from the extraction of vegetable 

 oil, used for animal feed

ex 230700 Wine lees

ex 230800 Dried and sterilized vegetable waste, residues and byproducts, 

 whether or not in the form of pellets, of a kind used in animal 

 feeding, not elsewhere specified or included

 152200 Degras; residues resulting from the treatement of fatty 

 substances or animal or vegetable waxes

 180200 Cocoa shells, husks, skins and other cocoa waste
L. WASTES ARISING FROM TANNING AND FELLMONGERY OPERATIONS AND LEATHER USE

 050200 Waste of pigs’, hogs’ or boars’ bristles and hair or of badger 

 hair and other brush making hair 

 050300 Horsehair waste, whether or not put up as a layer with or without 

 supporting material

 050590 Waste of skins and other parts of birds, with their feathers or 

 down, of feathers and parts of feathers (whether or not with 

 trimmed edges) and down, not further worked than cleaned, 

 disinfected or treated for preservation

 

 050690 Waste of bones and horn-cores, unworked, defatted, simply 

 prepared (but not cut to shape), treated with acid or 

 degelatinised

 411000 Parings and other waste of leather or of composition leather, not 

 suitable for the manufacture of leather articles, excluding 

 leather sludges 

M. OTHER WASTES

 890800 Vessels and other floating structures for breaking up, properly 

 emptied of any cargo which may have been classified as a 

 dangerous substance or waste

 • Motor vehicle wrecks, drained of liquids

 050100 Waste of human hair

ex 051191 Fish waste

 • Anode butts of petroleum coke and/or bitumen

 • Flue gas desulphurisation (FGD) gypsum

 • Waste gypsum wallboard or plasterboard arising from the 

 demolition of buildings

 ex 2621 Coal fired power station fly ash, bottom ash and slag tap*. 

 • Waste straw

 • Broken concrete

 • Spent catalysts:

 • - fluid catalytic cracking (FCC) catalysts

 • - precious metal bearing catalysts 

 • - transition metal catalysts

__________

* This entry is subject to certain specifications, these to be reviewed by 

 the Review Mechanism
 • Deactivated fungus mycelium from penicillin production to be used 

 as animal feed

 261800 Granulated slag arising from the manufacture of iron and steel

ex 261900 Slag arising from the manufacture of iron or steel*

 310320 Basic slag arising from the manufacture of iron or steel for 

 phosphate fertilizer and other use

ex 262100 Slag from copper production, chemically stabilized, having a high 

 iron content (above 20%) and processed according to industrial 

 specifications (e.g. DIN 4301 and DIN 8201) mainly for 

 construction and abrasive applications

ex 262100 Neutralized red mud from alumina production

ex 262100 Spent activated carbon 

 • Sulphur in solid form 

ex 283650 Limestone from the production of calcium cyanamide (having a pH 

 less than 9)

 • Sodium, calcium, potassium chlorides 

 • Waste photographic film base and waste photographic film not 

 containing silver

 • Single use cameras without batteries

ex 281810 Carborundum

 

* This entry covers the use of such slags as a source of titanium dioxide

 and vanadium.
 Appendix 4

 AMBER LIST OF WASTES+

 Regardless of whether or not wastes are included on this list, they may 

not be moved as Amber Tier wastes if they are contaminated by other materials 

to an extent which (a) increases the risks associated with the waste 

sufficiently to render it appropriate for inclusion in the red list, when 

taking• into account the criteria in Annex 2, or (b) prevents the recovery of 

the waste in an environmentally sound manner.

ex 261900 Dross, scalings and other wastes from the manufacture of iron and 

 steel++ 

 262019 Zinc ash and residues++ 

 262020 Lead ash and residues++

 262030 Copper ash and residues++ 

 262040 Aluminium ash and residues++ 

 262050 Vanadium ash and residues++

 262090 Ash and residues++ containing metals or metal compounds not 

 specified otherwise

 • Residues from alumina production not otherwise specified 

 262100 Other ash and residues, not otherwise specified 

 • Residues arising from the combustion of municipal wastes

 271390 Waste from the production/processing of petroleum coke and 

 bitumen, excluding anode butts• 

 • Lead-acid batteries, whole or crushed

___________________________________________________________________

+ Whenever possible, the Harmonized Commodity Description and Coding System, 

 established by the Brussels Convention of 14th June 1983 under the auspices 

 of the Customs Co-operation Council (hereinafter Harmonized Customs Code) 

 is listed opposite an entry. This code may apply to both wastes and 

 products. This Decision does not include items which are not wastes. 

 Therefore, the code - used by customs officials in order to facilitate 

 their procedures as well as by others - is only provided here to help in 

 identifying wastes that are listed and subject to this Decision. However, 

 corresponding official explanatory notes as issued by the Customs 

 Co-operation Council should be used as interpretative guidance to identify 

 wastes covered by generic headings.

 The indicative "ex" identifies a specific item contained within the 

 Harmonized Customs Code heading.

++ This listing includes ash, residue, slag, dross, skimming, scaling, dust,

 sludge and cake, unless a material is expressly listed elsewhere.
 • Waste oils unfit for their originally intended use

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

 • Wastes from production, formulation and use of inks, dyes, 

 pigments, paints, lacquers, varnish

 • Wastes from production, formulation and use of resins,

 • latex, plasticizers, glues and adhesives

 • Wastes from production, formulation and use of reprographic and 

 photographic chemicals and processing materials not otherwise 

 specified

 • Single use cameras with batteries

 • Wastes from non-cyanide based systems which arise from surface 

 treatment of metals and plastics

 • Asphalt cement wastes

 • Phenols, phenol compounds including chlorophenol in

 • the form of liquids or sludges

 • Treated cork and wood wastes

 • Used batteries or accumulators, whole or crushed, other than 

 lead-acid batteries, and waste and scrap arising from the 

 production of batteries and accumulators, not otherwise specified 

 

 

ex 391590 Nitrocellulose 

ex 700100 Glass from cathode-ray tubes and other activated glasses 

ex 411000 Leather dust, ash, sludges and flours

 • 

ex 252921 Calcium fluoride sludge

 • Other inorganic fluorine compounds in the form of liquids or 

 sludges

 

 • Zinc slags containing up to 18 weight percent zinc

 • Galvanic sludges

 • Liquors from the pickling of metals

 • Sands used in foundry operations

 • Thallium compounds

 • Polychlorinated naphthalenes

 • Ethers
 • Precious metal bearing residues in solid form which contain 

 traces of inorganic cyanides

 • Hydrogen peroxide solutions

 • Triethylamine catalyst for setting foundry sands

ex 280480 Arsenic waste and residue

ex 280540 Mercury waste and residue

 • Precious metal ash, sludge, dust and other residues such as:

 • - ash from incineration of printed circuit boards

 • - film ash

 • 

 • Waste catalysts not on the green list

 • Leaching residues from zinc processing, dusts and sludges such 

 as jarosite, hematite, goethite, etc.

 • Waste hydrates of aluminium

 • Waste alumina

 • Wastes that contain, consist of or are contaminated with any of 

 the following:

 • - inorganic cyanides, excepting precious metal-bearing

 • residues in solid form containing traces of inorganic

 • cyanides

 • - organic cyanides

 • Wastes of an explosible nature, when not subject to specific 

 other legislation

 • Wastes from the manufacture, formulation and use of wood 

 preserving chemicals

 • Leaded petrol (gasoline) sludges

 • Used blasting grit

 • Chlorofluorocarbons

 • Halons

 • Fluff - light fraction from automobile shredding

 • Thermal (heat transfer) fluids

 • Hydraulic fluids
 • Brake fluids

 • Antifreeze fluids

 • Ion exchange resins

 Wastes on the Amber List which will be re-examined as a priority matter

 by the Review Mechanism

 • Organic phosphorous compounds

 • Non-halogenated solvents

 • Halogenated solvents

 • Halogenated or unhalogenated non-aqueous distillation residues 

 arising from organic solvent recovery operations

 • Liquid pig manure; feces

 • Sewage sludge

 • Household wastes+

 • Wastes from the production, formulation and use of biocides and 

 phytopharmaceuticals

 • Wastes from the production and preparation of pharmaceutical 

 products

 • Acidic solutions

 • Basic solutions

 • 

 • Surface active agents (surfactants)

 • Inorganic halide compounds, not otherwise specified 

 • Wastes from industrial pollution control devices for cleaning of 

 industrial off-gases, not otherwise specified 

 ••••• ••• 

 • Gypsum arising from chemical industry processes

 

+ In the Basel Convention household wastes -- defined as an "other waste" -- 

 are controlled when they are subject to transfrontier movements. Therefore 

 under this Decision all household wastes (and not just those which exhibit a 

 hazardous characteristic) will be subject to the procedures in Section IV 

 (Amber Tier). Until exporting countries have the legal authority to control 

 transfrontier movements of household wastes, the provisions in Section II(4) 

 will be applied.
 Appendix 5

 •••••• 

 RED LIST OF WASTES

 "Containing" or "contamined with", when used in this list, mean that the 

substance referred to is present to an extent which (a) renders the waste 

hazardous when taking into account the criteria in Annex 2, or (b) renders it 

not suitable for submission to a recovery operation.

 • Wastes, substances and articles containing, consisting of or 

 contaminated with polychlorinated biphenyl (PCB) and/or 

 polychlorinated terphenyl (PCT) and/or polybrominated biphenyl 

 (PBB), including any other polybrominated analogues of these 

 compounds, at a concentration level of 50mg/kg or more

 • Wastes that contain, consist of or are contaminated with any of 

 the following:

 • - any congenor of polychlorinated dibenzo-furan

 - any congenor of polychlorinated dibenzo-dioxin

 

 Asbestos (dusts and fibres)

 • Ceramic based fibres similar to those of asbestos

 • Leaded anti-knock compound sludges

 Wastes on the Red List which will be re-examined as a priority matter

 by the Review Mechanism

 • 

 • Waste tarry residues (excluding asphalt cements) arising from 

 refining, distillation and any pyrolitic treatment

 • Peroxides other than hydrogen peroxide 
 Annex 2

 CRITERIA

A) Properties

1) Does the waste normally exhibit any of the hazardous characteristics 

 listed in Table 5 of OECD Council Decision C(88)90(Final)? Furthermore, 

 it is useful to know if the waste is legally defined as or considered to 

 be a hazardous waste in one or more Member countries.

2) Is the waste typically contaminated?

3) What is the physical state of the waste?

4) What is the degree of difficulty of cleanup in the case of accidental 

 spillage or mismanagement?

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

 fluctuations?

B) Management

6) Is there technological capability to recover the waste?

7) Is there a history of adverse environmental incidents arising from 

 transfrontier movements of the waste or associated recovery operations?

8) Is the waste routinely traded through established channels and is that 

 evidenced by commercial classification?

9) Is the waste usually moved internationally under the terms of a valid 

 contract or chain of contracts?

10) What is the extent of reuse and recovery of the waste and how is any 

 portion separated from the waste but not subject to recovery managed?

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

 operations?

END-OF-TEXT