1

Basel Convention on the Control of 

Transboundary Movements of Hazardous 

Wastes and Their Disposal 
2

 BASEL CONVENTION ON THE CONTROL OF 

TRANSBOUNDARY MOVEMENTS OF 

HAZARDOUS WASTES AND THEIR DISPOSAL1

PREAMBLE2

The Parties to this Convention, 

 Aware of the risk of damage to human health and the 

environment caused by hazardous wastes and other wastes and the 

transboundary movement thereof, 

 Mindful of the growing threat to human health and the 

environment posed by the increased generation and complexity, and 

transboundary movement of hazardous wastes and other wastes, 

 Mindful also that the most effective way of protecting human 

health and the environment from the dangers posed by such wastes is 

the reduction of their generation to a minimum in terms of quantity 

and/or hazard potential, 

 Convinced that States should take necessary measures to 

ensure that the management of hazardous wastes and other wastes 

_________________________________ 

1

 The present text incorporates amendments to the Convention adopted subsequent to its 

entry into force and that are in force as at 8 October 2005. Only the text of the Convention 

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

Depositary constitutes the authentic version of the Convention, as modified by any 

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

purposes only. 

2

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

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

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, especially to 

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

sound management of hazardous wastes as required by this Convention; 

 ...’” 
3

including their transboundary movement and disposal is consistent with 

the protection of human health and the environment whatever the place 

of disposal, 

 Noting that States should ensure that the generator should 

carry out duties with regard to the transport and disposal of hazardous 

wastes and other wastes in a manner that is consistent with the 

protection of the environment, whatever the place of disposal, 

 Fully recognizing that any State has the sovereign right to ban 

the entry or disposal of foreign hazardous wastes and other wastes in its 

territory, 

 Recognizing also the increasing desire for the prohibition of 

transboundary movements of hazardous wastes and their disposal in 

other States, especially developing countries, 

 Convinced that hazardous wastes and other wastes should, as 

far as is compatible with environmentally sound and efficient 

management, be disposed of in the State where they were generated, 

 Aware also that transboundary movements of such wastes 

from the State of their generation to any other State should be permitted 

only when conducted under conditions which do not endanger human 

health and the environment, and under conditions in conformity with 

the provisions of this Convention, 

 Considering that enhanced control of transboundary movement 

of hazardous wastes and other wastes will act as an incentive for their 

environmentally sound management and for the reduction of the volume 

of such transboundary movement, 

 Convinced that States should take measures for the proper 

exchange of information on and control of the transboundary movement 

of hazardous wastes and other wastes from and to those States, 

 Noting that a number of international and regional agreements 

have addressed the issue of protection and preservation of the 

environment with regard to the transit of dangerous goods, 

 Taking into account the Declaration of the United Nations 

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

Guidelines and Principles for the Environmentally Sound Management 

of Hazardous Wastes adopted by the Governing Council of the United 

Nations Environment Programme (UNEP) by decision 14/30 of 17 June 
4

1987, the Recommendations of the United Nations Committee of 

Experts on the Transport of Dangerous Goods (formulated in 1957 and 

updated biennially), relevant recommendations, declarations, 

instruments and regulations adopted within the United Nations system 

and the work and studies done within other international and regional 

organizations, 

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

World Charter for Nature adopted by the General Assembly of the 

United Nations at its thirty-seventh session (1982) as the rule of ethics 

in respect of the protection of the human environment and the 

conservation of natural resources, 

 Affirming that States are responsible for the fulfilment of their 

international obligations concerning the protection of human health and 

protection and preservation of the environment, and are liable in 

accordance with international law, 

 Recognizing that in the case of a material breach of the 

provisions of this Convention or any protocol thereto the relevant 

international law of treaties shall apply, 

 Aware of the need to continue the development and 

implementation of environmentally sound low-waste technologies, 

recycling options, good house-keeping and management systems with a 

view to reducing to a minimum the generation of hazardous wastes and 

other wastes, 

 Aware also of the growing international concern about the 

need for stringent control of transboundary movement of hazardous 

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

such movement to a minimum, 

 Concerned about the problem of illegal transboundary traffic 

in hazardous wastes and other wastes, 

 Taking into account also the limited capabilities of the 

developing countries to manage hazardous wastes and other wastes, 

 Recognizing the need to promote the transfer of technology for 

the sound management of hazardous wastes and other wastes produced 

locally, particularly to the developing countries in accordance with the 

spirit of the Cairo Guidelines and decision 14/16 of the Governing 
5

Council of UNEP on Promotion of the transfer of environmental 

protection technology, 

 Recognizing also that hazardous wastes and other wastes 

should be transported in accordance with relevant international 

conventions and recommendations, 

 Convinced also that the transboundary movement of hazardous 

wastes and other wastes should be permitted only when the transport 

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

 Determined to protect, by strict control, human health and the 

environment against the adverse effects which may result from the 

generation and management of hazardous wastes and other wastes, 

HAVE AGREED AS FOLLOWS: 

ARTICLE 1 

Scope of the Convention

1. The following wastes that are subject to transboundary 

movement shall be “hazardous wastes” for the purposes of this 

Convention: 

 (a) Wastes that belong to any category contained in 

Annex I, unless they do not possess any of the characteristics contained 

in Annex III; and 

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

are defined as, or are considered to be, hazardous wastes by the 

domestic legislation of the Party of export, import or transit. 

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

are subject to transboundary movement shall be “other wastes” for the 

purposes of this Convention. 

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

other international control systems, including international instruments, 

applying specifically to radioactive materials, are excluded from the 

scope of this Convention. 
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4. Wastes which derive from the normal operations of a ship, the 

discharge of which is covered by another international instrument, are 

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 or 

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

provisions of national law; 

2. “Management” means the collection, transport and disposal of 

hazardous wastes or other wastes, including after-care of disposal sites; 

3. “Transboundary movement” means any movement of 

hazardous wastes or other wastes from an area under the national 

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

jurisdiction of another State or to or through an area not under the 

national jurisdiction of any State, provided at least two States are 

involved in the movement; 

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

Convention; 

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

disposal of hazardous wastes or other wastes which is authorized or 

permitted to operate for this purpose by a relevant authority of the State 

where the site or facility is located; 

6. “Competent authority” means one governmental authority 

designated by a Party to be responsible, within such geographical areas 

as the Party may think fit, for receiving the notification of a 

transboundary movement of hazardous wastes or other wastes, and any 

information related to it, and for responding to such a notification, as 

provided in Article 6; 

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

5 responsible for receiving and submitting information as provided for 

in Articles 13 and 16; 
7

8. “Environmentally sound management of hazardous wastes or 

other wastes” means taking all practicable steps to ensure that 

hazardous wastes or other wastes are managed in a manner which will 

protect human health and the environment against the adverse effects 

which may result from such wastes; 

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

land, marine area or airspace within which a State exercises 

administrative and regulatory responsibility in accordance with 

international law in regard to the protection of human health or the 

environment; 

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

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

or is initiated; 

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

movement of hazardous wastes or other wastes is planned or takes place 

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

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

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

export or import, through which a movement of hazardous wastes or 

other wastes is planned or takes place; 

13. “States concerned” means Parties which are States of export or 

import, or transit States, whether or not Parties; 

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

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

State of export who arranges for hazardous wastes or other wastes to be 

exported; 

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

State of import who arranges for hazardous wastes or other wastes to be 

imported; 

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

hazardous wastes or other wastes; 

18. “Generator” means any person whose activity produces 

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

person who is in possession and/or control of those wastes; 
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19. “Disposer” means any person to whom hazardous wastes or 

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

wastes; 

20. “Political and/or economic integration organization” means an 

organization constituted by sovereign States to which its member States 

have transferred competence in respect of matters governed by this 

Convention and which has been duly authorized, in accordance with its 

internal procedures, to sign, ratify, accept, approve, formally confirm or 

accede to it; 

21. “Illegal traffic” means any transboundary movement of 

hazardous wastes or other wastes as specified in Article 9. 

ARTICLE 3 

National Definitions of Hazardous Wastes

1. Each Party shall, within six months of becoming a Party to this 

Convention, inform the Secretariat of the Convention of the wastes, 

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

hazardous under its national legislation and of any requirements 

concerning transboundary movement procedures applicable to such 

wastes. 

2. Each Party shall subsequently inform the Secretariat of any 

significant changes to the information it has provided pursuant to 

paragraph 1. 

3. The Secretariat shall forthwith inform all Parties of the 

information it has received pursuant to paragraphs 1 and 2. 

4. Parties shall be responsible for making the information 

transmitted to them by the Secretariat under paragraph 3 available to 

their exporters. 
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ARTICLE 43

General Obligations

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

hazardous wastes or other wastes for disposal shall inform the other 

Parties of their decision pursuant to Article 13. 

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

hazardous wastes and other wastes to the Parties which have prohibited 

the import of such wastes, when notified pursuant to subparagraph (a) 

above. 

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

hazardous wastes and other wastes if the State of import does not 

consent in writing to the specific import, in the case where that State of 

import has not prohibited the import of such wastes. 

2. Each Party shall take the appropriate measures to: 

 (a) Ensure that the generation of hazardous wastes and 

other wastes within it is reduced to a minimum, taking into account 

social, technological and economic aspects; 

_________________________________ 

3

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

Convention by adding, inter alia, a new Article 4A. The amendment is 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 Article 4A: 

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

movements of hazardous wastes which are destined for operations according to 

Annex IV A, to States not listed in Annex VII. 

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

1997, and prohibit as of that date, all transboundary movements of hazardous 

wastes under Article 1(1)(a) of the Convention which are destined for 

operations according to Annex IV B to States not listed in Annex VII. Such 

transboundary movement shall not be prohibited unless the wastes in question 

are characterised as hazardous under the Convention. ...’” 
10

 (b) Ensure the availability of adequate disposal facilities, 

for the environmentally sound management of hazardous wastes and 

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

whatever the place of their disposal; 

 (c) Ensure that persons involved in the management of 

hazardous wastes or other wastes within it take such steps as are 

necessary to prevent pollution due to hazardous wastes and other wastes 

arising from such management and, if such pollution occurs, to 

minimize the consequences thereof for human health and the 

environment; 

 (d) Ensure that the transboundary movement of 

hazardous wastes and other wastes is reduced to the minimum 

consistent with the environmentally sound and efficient management of 

such wastes, and is conducted in a manner which will protect human 

health and the environment against the adverse effects which may result 

from such movement; 

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

wastes to a State or group of States belonging to an economic and/or 

political integration organization that are Parties, particularly 

developing countries, which have prohibited by their legislation all 

imports, or if it has reason to believe that the wastes in question will not 

be managed in an environmentally sound manner, according to criteria 

to be decided on by the Parties at their first meeting; 

 (f) Require that information about a proposed 

transboundary movement of hazardous wastes and other wastes be 

provided to the States concerned, according to Annex V A, to state 

clearly the effects of the proposed movement on human health and the 

environment; 

 (g) Prevent the import of hazardous wastes and other 

wastes if it has reason to believe that the wastes in question will not be 

managed in an environmentally sound manner; 

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

interested organizations, directly and through the Secretariat, including 

the dissemination of information on the transboundary movement of 

hazardous wastes and other wastes, in order to improve the 

environmentally sound management of such wastes and to achieve the 

prevention of illegal traffic. 
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3. The Parties consider that illegal traffic in hazardous wastes or 

other wastes is criminal. 

4. Each Party shall take appropriate legal, administrative and 

other measures to implement and enforce the provisions of this 

Convention, including measures to prevent and punish conduct in 

contravention of the Convention. 

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

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 

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

whether or not such wastes are subject to transboundary movement. 

7. Furthermore, each Party shall: 

 (a) Prohibit all persons under its national jurisdiction 

from transporting or disposing of hazardous wastes or other wastes 

unless such persons are authorized or allowed to perform such types of 

operations; 

 (b) Require that hazardous wastes and other wastes that 

are to be the subject of a transboundary movement be packaged, 

labelled, and transported in conformity with generally accepted and 

recognized international rules and standards in the field of packaging, 

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

internationally recognized practices; 

 (c) Require that hazardous wastes and other wastes be 

accompanied by a movement document from the point at which a 

transboundary movement commences to the point of disposal. 

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

to be exported, are managed in an environmentally sound manner in the 

State of import or elsewhere. Technical guidelines for the 

environmentally sound management of wastes subject to this 

Convention shall be decided by the Parties at their first meeting. 

9. Parties shall take the appropriate measures to ensure that the 

transboundary movement of hazardous wastes and other wastes only be 

allowed if: 

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

capacity and the necessary facilities, capacity or suitable disposal sites 
12

in order to dispose of the wastes in question in an environmentally 

sound and efficient manner; or 

 (b) The wastes in question are required as a raw material 

for recycling or recovery industries in the State of import; or 

 (c) The transboundary movement in question is in 

accordance with other criteria to be decided by the Parties, provided 

those criteria do not differ from the objectives of this Convention. 

10. The obligation under this Convention of States in which 

hazardous wastes and other wastes are generated to require that those 

wastes are managed in an environmentally sound manner may not under 

any circumstances be transferred to the States of import or transit. 

11. Nothing in this Convention shall prevent a Party from 

imposing additional requirements that are consistent with the provisions 

of this Convention, and are in accordance with the rules of international 

law, in order better to protect human health and the environment. 

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

sovereignty of States over their territorial sea established in accordance 

with international law, and the sovereign rights and the jurisdiction 

which States have in their exclusive economic zones and their 

continental shelves in accordance with international law, and the 

exercise by ships and aircraft of all States of navigational rights and 

freedoms as provided for in international law and as reflected in 

relevant international instruments. 

13. Parties shall undertake to review periodically the possibilities 

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

hazardous wastes and other wastes which are exported to other States, 

in particular to developing countries. 

ARTICLE 5 

Designation of Competent Authorities and Focal Point

To facilitate the implementation of this Convention, the Parties shall: 

1. Designate or establish one or more competent authorities and 

one focal point. One competent authority shall be designated to receive 

the notification in case of a State of transit. 
13

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

entry into force of this Convention for them, which agencies they have 

designated as their focal point and their competent authorities. 

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

decision, of any changes regarding the designation made by them under 

paragraph 2 above. 

ARTICLE 6 

Transboundary Movement between Parties

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

or exporter to notify, in writing, through the channel of the competent 

authority of the State of export, the competent authority of the States 

concerned of any proposed transboundary movement of hazardous 

wastes or other wastes. Such notification shall contain the declarations 

and information specified in Annex V A, written in a language 

acceptable to the State of import. Only one notification needs to be sent 

to each State concerned. 

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

consenting to the movement with or without conditions, denying 

permission for the movement, or requesting additional information. A 

copy of the final response of the State of import shall be sent to the 

competent authorities of the States concerned which are Parties. 

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

commence the transboundary movement until it has received written 

confirmation that: 

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

State of import; and 

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

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

disposer specifying environmentally sound management of the wastes 

in question. 

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

acknowledge to the notifier receipt of the notification. It may 

subsequently respond to the notifier in writing, within 60 days, 

consenting to the movement with or without conditions, denying 
14

permission for the movement, or requesting additional information. 

The State of export shall not allow the transboundary movement to 

commence until it has received the written consent of the State of 

transit. However, if at any time a Party decides not to require prior 

written consent, either generally or under specific conditions, for transit 

transboundary movements of hazardous wastes or other wastes, or 

modifies its requirements in this respect, it shall forthwith inform the 

other Parties of its decision pursuant to Article 13. In this latter case, if 

no response is received by the State of export within 60 days of the 

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

may allow the export to proceed through the State of transit. 

5. In the case of a transboundary movement of wastes where the 

wastes are legally defined as or considered to be hazardous wastes only: 

 (a) By the State of export, the requirements of paragraph 

9 of this Article that apply to the importer or disposer and the State of 

import shall apply mutatis mutandis to the exporter and State of export, 

respectively; 

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

transit which are Parties, the requirements of paragraphs 1, 3, 4 and 6 of 

this Article that apply to the exporter and State of export shall apply 

mutatis mutandis to the importer or disposer and State of import, 

respectively; or 

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

of paragraph 4 shall apply to such State. 

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

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

notification where hazardous wastes or other wastes having the same 

physical and chemical characteristics are shipped regularly to the same 

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

the same customs office of entry of the State of import, and, in the case 

of transit, via the same customs office of entry and exit of the State or 

States of transit. 

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

use of the general notification referred to in paragraph 6 subject to the 

supply of certain information, such as the exact quantities or periodical 

lists of hazardous wastes or other wastes to be shipped. 
15

8. The general notification and written consent referred to in 

paragraphs 6 and 7 may cover multiple shipments of hazardous wastes 

or other wastes during a maximum period of 12 months. 

9. The Parties shall require that each person who takes charge of 

a transboundary movement of hazardous wastes or other wastes sign the 

movement document either upon delivery or receipt of the wastes in 

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

exporter and the competent authority of the State of export of receipt by 

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

completion of disposal as specified in the notification. If no such 

information is received within the State of export, the competent 

authority of the State of export or the exporter shall so notify the State 

of import. 

10. The notification and response required by this Article shall be 

transmitted to the competent authority of the Parties concerned or to 

such governmental authority as may be appropriate in the case of nonParties. 

11. Any transboundary movement of hazardous wastes or other 

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

be required by the State of import or any State of transit which is a 

Party. 

ARTICLE 7 

Transboundary Movement from a Party through States which are not 

Parties

 Paragraph 1 of Article 6 of the Convention shall apply mutatis 

mutandis to transboundary movement of hazardous wastes or other 

wastes from a Party through a State or States which are not Parties. 

ARTICLE 8 

Duty to Re-import

 When a transboundary movement of hazardous wastes or other 

wastes to which the consent of the States concerned has been given, 

subject to the provisions of this Convention, cannot be completed in 
16

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

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

export, by the exporter, if alternative arrangements cannot be made for 

their disposal in an environmentally sound manner, within 90 days from 

the time that the importing State informed the State of export and the 

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

To this end, the State of export and any Party of transit shall not oppose, 

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

ARTICLE 9 

Illegal Traffic

1. For the purpose of this Convention, any transboundary 

movement of hazardous wastes or other wastes: 

 (a) without notification pursuant to the provisions of this 

Convention to all States concerned; or 

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

Convention of a State concerned; or 

 (c) with consent obtained from States concerned through 

falsification, misrepresentation or fraud; or 

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

documents; or 

 (e) that results in deliberate disposal (e.g. dumping) of 

hazardous wastes or other wastes in contravention of this Convention 

and of general principles of international law, 

shall be deemed to be illegal traffic. 

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

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

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

wastes in question are: 

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

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

 (b) are otherwise disposed of in accordance with the 

provisions of this Convention, 
17

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

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

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

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

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

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

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

the wastes in question are disposed of in an environmentally sound 

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

days from the time the illegal traffic has come to the attention of the 

State of import or such other period of time as the States concerned may 

agree. To this end, the Parties concerned shall co-operate, as necessary, 

in the disposal of the wastes in an environmentally sound manner. 

4. In cases where the responsibility for the illegal traffic cannot 

be assigned either to the exporter or generator or to the importer or 

disposer, the Parties concerned or other Parties, as appropriate, shall 

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

as soon as possible in an environmentally sound manner either in the 

State of export or the State of import or elsewhere as appropriate. 

5. Each Party shall introduce appropriate national/domestic 

legislation to prevent and punish illegal traffic. The Parties shall cooperate with a 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 

improve and achieve environmentally sound management of hazardous 

wastes and other wastes. 

2. To this end, the Parties shall: 

 (a) Upon request, make available information, whether 

on a bilateral or multilateral basis, with a view to promoting the 

environmentally sound management of hazardous wastes and other 

wastes, including harmonization of technical standards and practices for 

the adequate management of hazardous wastes and other wastes; 
18

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

management of hazardous wastes on human health and the 

environment; 

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

and policies, in the development and implementation of new 

environmentally sound low-waste technologies and the improvement of 

existing technologies with a view to eliminating, as far as practicable, 

the generation of hazardous wastes and other wastes and achieving 

more effective and efficient methods of ensuring their management in 

an environmentally sound manner, including the study of the economic, 

social and environmental effects of the adoption of such new or 

improved technologies; 

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

regulations and policies, in the transfer of technology and management 

systems related to the environmentally sound management of hazardous 

wastes and other wastes. They shall also co-operate in developing the 

technical capacity among Parties, especially those which may need and 

request technical assistance in this field; 

 (e) Co-operate in developing appropriate technical 

guidelines and/or codes of practice. 

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

order to assist developing countries in the implementation of 

subparagraphs a, b, c and d of paragraph 2 of Article 4. 

4. Taking into account the needs of developing countries, cooperation between Parties and the competent international organizations 

is encouraged to promote, inter alia, public awareness, the development 

of sound management of hazardous wastes and other wastes and the 

adoption of new low-waste technologies. 

ARTICLE 11 

Bilateral, Multilateral and Regional Agreements

1. Notwithstanding the provisions of Article 4 paragraph 5, 

Parties may enter into bilateral, multilateral, or regional agreements or 

arrangements regarding transboundary movement of hazardous wastes 

or other wastes with Parties or non-Parties provided that such 
19

agreements or arrangements do not derogate from the environmentally 

sound management of hazardous wastes and other wastes as required by 

this Convention. These agreements or arrangements shall stipulate 

provisions which are not less environmentally sound than those 

provided for by this Convention in particular taking into account the 

interests of developing countries. 

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

or regional agreements or arrangements referred to in paragraph 1 and 

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

Convention for them, for the purpose of controlling transboundary 

movements of hazardous wastes and other wastes which take place 

entirely among the Parties to such agreements. The provisions of this 

Convention shall not affect transboundary movements which take place 

pursuant to such agreements provided that such agreements are 

compatible with the environmentally sound management of hazardous 

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 soon 

as practicable, a protocol setting out appropriate rules and procedures in 

the field of liability and compensation for damage resulting from the 

transboundary movement and disposal of hazardous wastes and other 

wastes. 

ARTICLE 13 

Transmission of Information

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

ensure that, in the case of an accident occurring during the 

transboundary movement of hazardous wastes or other wastes or their 

disposal, which are likely to present risks to human health and the 

environment in other States, those States are immediately informed. 

2. The Parties shall inform each other, through the Secretariat, of: 
20

 (a) Changes regarding the designation of competent 

authorities and/or focal points, pursuant to Article 5; 

 (b) Changes in their national definition of hazardous 

wastes, pursuant to Article 3; 

and, as soon as possible, 

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

partially to the import of hazardous wastes or other wastes for disposal 

within the area under their national jurisdiction; 

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

hazardous wastes or other wastes; 

 (e) Any other information required pursuant to paragraph 

4 of this Article. 

3. The Parties, consistent with national laws and regulations, 

shall transmit, through the Secretariat, to the Conference of the Parties 

established under Article 15, before the end of each calendar year, a 

report on the previous calendar year, containing the following 

information: 

 (a) Competent authorities and focal points that have been 

designated by them pursuant to Article 5; 

 (b) Information regarding transboundary movements of 

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

including: 

 (i) The amount of hazardous wastes and other wastes 

exported, their category, characteristics, destination, 

any transit country and disposal method as stated on 

the response to notification; 

 (ii) The amount of hazardous wastes and other wastes 

imported, their category, characteristics, origin, and 

disposal methods; 

 (iii) Disposals which did not proceed as intended; 

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

hazardous wastes or other wastes subject to 

transboundary movement; 
21

 (c) Information on the measures adopted by them in 

implementation of this Convention; 

 (d) Information on available qualified statistics which 

have been compiled by them on the effects on human health and the 

environment of the generation, transportation and disposal of hazardous 

wastes or other wastes; 

 (e) Information concerning bilateral, multilateral and 

regional agreements and arrangements entered into pursuant to Article 

11 of this Convention; 

 (f) Information on accidents occurring during the 

transboundary movement and disposal of hazardous wastes and other 

wastes and on the measures undertaken to deal with them; 

 (g) Information on disposal options operated within the 

area of their national jurisdiction; 

 (h) Information on measures undertaken for development 

of technologies for the reduction and/or elimination of production of 

hazardous wastes and other wastes; and 

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

shall deem relevant. 

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

shall ensure that copies of each notification concerning any given 

transboundary movement of hazardous wastes or other wastes, and the 

response to it, are sent to the Secretariat when a Party considers that its 

environment may be affected by that transboundary movement has 

requested that this should be done. 

ARTICLE 14 

Financial Aspects

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

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

training and technology transfers regarding the management of 

hazardous wastes and other wastes and the minimization of their 

generation should be established. The Parties shall decide on the 

establishment of appropriate funding mechanisms of a voluntary nature. 
22

2. The Parties shall consider the establishment of a revolving 

fund to assist on an interim basis in case of emergency situations to 

minimize damage from accidents arising from transboundary 

movements of hazardous wastes and other wastes or during the disposal 

of those wastes. 

ARTICLE 15 

Conference of the Parties

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

meeting of the Conference of the Parties shall be convened by the 

Executive Director of UNEP not later than one year after the entry into 

force of this Convention. Thereafter, ordinary meetings of the 

Conference of the Parties shall be held at regular intervals to be 

determined by the Conference at its first meeting. 

2. Extraordinary meetings of the Conference of the Parties shall 

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

Conference, or at the written request of any Party, provided that, within 

six months of the request being communicated to them by the 

Secretariat, it is supported by at least one third of the Parties. 

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

and adopt rules of procedure for itself and for any subsidiary body it 

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

financial participation of the Parties under this Convention. 

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

measures needed to assist them in fulfilling their responsibilities with 

respect to the protection and the preservation of the marine environment 

in the context of this Convention. 

5. The Conference of the Parties shall keep under continuous 

review and evaluation the effective implementation of this Convention, 

and, in addition, shall: 

 (a) Promote the harmonization of appropriate policies, 

strategies and measures for minimizing harm to human health and the 

environment by hazardous wastes and other wastes; 

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

Convention and its annexes, taking into consideration, inter alia, 
23

available scientific, technical, economic and environmental 

information; 

 (c) Consider and undertake any additional action that 

may be required for the achievement of the purposes of this Convention 

in the light of experience gained in its operation and in the operation of 

the agreements and arrangements envisaged in Article 11; 

 (d) Consider and adopt protocols as required; and 

 (e) Establish such subsidiary bodies as are deemed 

necessary for the implementation of this Convention. 

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

State not Party to this Convention, may be represented as observers at 

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

whether national or international, governmental or non-governmental, 

qualified in fields relating to hazardous wastes or other wastes which 

has informed the Secretariat of its wish to be represented as an observer 

at a meeting of the Conference of the Parties, may be admitted unless at 

least one third of the Parties present object. The admission and 

participation of observers shall be subject to the rules of procedure 

adopted by the Conference of the Parties. 

7. The Conference of the Parties shall undertake three years after 

the entry into force of this Convention, and at least every six years 

thereafter, an evaluation of its effectiveness and, if deemed necessary, 

to consider the adoption of a complete or partial ban of transboundary 

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

scientific, 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 

Articles 15 and 17; 

 (b) To prepare and transmit reports based upon 

information received in accordance with Articles 3, 4, 6, 11 and 13 as 

well as upon information derived from meetings of subsidiary bodies 
24

established under Article 15 as well as upon, as appropriate, 

information provided by relevant intergovernmental and nongovernmental entities; 

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

implementation of its functions under this Convention and present them 

to the Conference of the Parties; 

 (d) To ensure the necessary coordination with relevant 

international bodies, and in particular to enter into such administrative 

and contractual arrangements as may be required for the effective 

discharge of its function; 

 (e) To communicate with focal points and competent 

authorities established by the Parties in accordance with Article 5 of this 

Convention; 

 (f) To compile information concerning authorized 

national sites and facilities of Parties available for the disposal of their 

hazardous wastes and 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 as: 

- the handling of the notification system of this 

Convention; 

- the management of hazardous wastes and other 

wastes; 

- environmentally sound technologies relating to 

hazardous 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; 

and 
25

- emergency responses; 

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

consultants or consulting firms having the necessary technical 

competence in the field, which can assist them to examine a notification 

for a transboundary movement, the concurrence of a shipment of 

hazardous wastes or other wastes with the relevant notification, and/or 

the fact that the proposed disposal facilities for hazardous wastes or 

other wastes are environmentally sound, when they have reason to 

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

environmentally sound manner. Any such examination would not be at 

the expense of the Secretariat; 

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

cases of illegal traffic and to circulate immediately to the Parties 

concerned any information it has received regarding illegal traffic; 

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

competent international organizations and agencies in the provision of 

experts and equipment for the purpose of rapid assistance to States in 

the event of an emergency situation; and 

 (k) To perform such other functions relevant to the 

purposes of this Convention as may be determined by the Conference of 

the Parties. 

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

by UNEP until the completion of the first meeting of the Conference of 

the Parties held pursuant to Article 15. 

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

designate the Secretariat from among those existing competent 

intergovernmental organizations which have signified their willingness 

to carry out the secretariat functions under this Convention. At this 

meeting, the Conference of the Parties shall also evaluate the 

implementation by the interim Secretariat of the functions assigned to it, 

in particular under paragraph 1 above, and decide upon the structures 

appropriate for those functions. 
26

ARTICLE 17 

Amendment of the Convention

1. Any Party may propose amendments to this Convention and 

any Party to a protocol may propose amendments to that protocol. Such 

amendments shall take due account, inter alia, of relevant scientific and 

technical considerations. 

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

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

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

of any proposed amendment to this Convention or to any protocol, 

except as may otherwise be provided in such protocol, shall be 

communicated to the Parties by the Secretariat at least six months 

before the meeting at which it is proposed for adoption. The Secretariat 

shall also communicate proposed amendments to the Signatories to this 

Convention for information. 

3. The Parties shall make every effort to reach agreement on any 

proposed amendment to this Convention by consensus. If all efforts at 

consensus have been exhausted, and no agreement reached, the 

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

vote of the Parties present and voting at the meeting, and shall be 

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

formal confirmation or acceptance. 

4. The procedure mentioned in paragraph 3 above shall apply to 

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

Parties to that protocol present and voting at the meeting shall suffice 

for their adoption. 

5. Instruments of ratification, approval, formal confirmation or 

acceptance of amendments shall be deposited with the Depositary. 

Amendments adopted in accordance with paragraphs 3 or 4 above shall 

enter into force between Parties having accepted them on the ninetieth 

day after the receipt by the Depositary of their instrument of 

ratification, approval, formal confirmation or acceptance by at least 

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

of the Parties to the protocol concerned who accepted them, except as 

may otherwise be provided in such protocol. The amendments shall 

enter into force for any other Party on the ninetieth day after that Party 
27

deposits its instrument of ratification, approval, formal confirmation or 

acceptance of the amendments. 

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

means 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 form 

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

be and, unless expressly provided otherwise, a reference to this 

Convention or its protocols constitutes at the same time a reference to 

any annexes thereto. Such annexes shall be restricted to scientific, 

technical and administrative matters. 

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

respect to its annexes, the following procedure shall apply to the 

proposal, adoption and entry into force of additional annexes to this 

Convention or of annexes to a protocol: 

 (a) Annexes to this Convention and its protocols shall be 

proposed and adopted according to the procedure laid down in Article 

17, paragraphs 2, 3 and 4; 

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

to this Convention or an annex to any protocol to which it is party shall 

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

the communication of the adoption by the Depositary. The Depositary 

shall without delay notify all Parties of any such notification received. 

A Party may at any time substitute an acceptance for a previous 

declaration of objection and the annexes shall thereupon enter into force 

for that Party; 

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

circulation of the communication by the Depositary, the annex shall 

become effective for all Parties to this Convention or to any protocol 

concerned, which have not submitted a notification in accordance with 

the provision of subparagraph (b) above. 

3. The proposal, adoption and entry into force of amendments to 

annexes to this Convention or to any protocol shall be subject to the 
28

same procedure as for the proposal, adoption and entry into force of 

annexes to the Convention or annexes to a protocol. Annexes and 

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

scientific and technical considerations. 

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

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

annex or amended annex shall not enter into force until such time the 

amendment to this Convention or to the protocol enters into force. 

ARTICLE 19 

Verification

 Any Party which has reason to believe that another Party is 

acting or has acted in breach of its obligations under this Convention 

may inform the Secretariat thereof, and in such an event, shall 

simultaneously and immediately inform, directly or through the 

Secretariat, the Party against whom the allegations are made. All 

relevant information should be submitted by the Secretariat to the 

Parties. 

ARTICLE 20 

Settlement of Disputes

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

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

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

or any other peaceful means of their own choice. 

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

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

to the dispute agree, shall be submitted to the International Court of 

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

Arbitration. However, failure to reach common agreement on 

submission of the dispute to the International Court of Justice or to 

arbitration shall not absolve the Parties from the responsibility of 

continuing to seek to resolve it by the means referred to in paragraph 1. 
29

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

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

political and/or economic integration organization may declare that it 

recognizes as compulsory ipso facto and without special agreement, in 

relation to any Party accepting the same obligation: 

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

Justice; and/or 

 (b) arbitration in accordance with the procedures set out 

in Annex VI. 

Such declaration shall be notified in writing to the Secretariat which 

shall communicate it to the Parties. 

ARTICLE 21 

Signature

 This Convention shall be open for signature by States, by 

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

by political and/or economic integration organizations, in Basel on 22 

March 1989, at the Federal Department of Foreign Affairs of 

Switzerland in Berne from 23 March 1989 to 30 June 1989 and at 

United Nations Headquarters in 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, acceptance or 

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

Council for Namibia, and to formal confirmation or approval by 

political and/or economic integration organizations. Instruments of 

ratification, acceptance, formal confirmation, or approval shall be 

deposited with the Depositary. 

2. Any organization referred to in paragraph 1 above which 

becomes a Party to this Convention without any of its member States 

being a Party shall be bound by all the obligations under the 
30

Convention. In the case of such organizations, one or more of whose 

member States is a Party to the Convention, the organization and its 

member States shall decide on their respective responsibilities for the 

performance of their obligations under the Convention. In such cases, 

the organization and the member States shall not be entitled to exercise 

rights under the Convention concurrently. 

3. In their instruments of formal confirmation or approval, the 

organizations referred to in paragraph 1 above shall declare the extent 

of their competence with respect to the matters governed by the 

Convention. These organizations shall also inform the Depositary, who 

will inform the Parties of any substantial modification in the extent of 

their competence. 

ARTICLE 23 

Accession

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

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

by political and/or economic integration organizations from the day 

after the date on which the Convention is closed for signature. The 

instruments of accession shall be deposited with the Depositary. 

2. In their instruments of accession, the organizations referred to 

in paragraph 1 above shall declare the extent of their competence with 

respect to the matters governed by the Convention. These organizations 

shall also inform the Depositary of any substantial modification in the 

extent of their competence. 

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

political and/or economic integration organizations which accede to this 

Convention. 

ARTICLE 24 

Right to Vote

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

Party to this Convention shall have one vote. 
31

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

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

and Article 23, paragraph 2, shall exercise their right to vote with a 

number of votes equal to the number of their member States which are 

Parties to the Convention or the relevant protocol. Such organizations 

shall not exercise their right to vote if their member States exercise 

theirs, and vice versa. 

ARTICLE 25 

Entry into Force

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

after the date of deposit of the twentieth instrument of ratification, 

acceptance, formal confirmation, approval or accession. 

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

organization which ratifies, accepts, approves or formally confirms this 

Convention or accedes thereto after the date of the deposit of the 

twentieth instrument of ratification, acceptance, approval, formal 

confirmation or accession, it shall enter into force on the ninetieth day 

after the date of deposit by such State or political and/or economic 

integration organization of its instrument of ratification, acceptance, 

approval, formal confirmation or accession. 

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

deposited by a political and/or economic integration organization shall 

not be counted as additional to those deposited by member States of 

such organization. 

ARTICLE 26 

Reservations and Declarations

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

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

political and/or economic integration organization, when signing, 

ratifying, accepting, approving, formally confirming or acceding to this 

Convention, from making declarations or statements, however phrased 

or named, with a view, inter alia, to the harmonization of its laws and 
32

regulations with the provisions of this Convention, provided that such 

declarations or statements do not purport to exclude or to modify the 

legal effects of the 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 

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

from the Convention by giving written notification to the Depositary. 

2. Withdrawal shall be effective one year from receipt of 

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

in the notification. 

ARTICLE 28 

Depository

 The Secretary-General of the United Nations shall be the 

Depository of this Convention and of any protocol thereto. 

ARTICLE 29 

Authentic texts

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

Spanish texts of this Convention are equally authentic. 

 IN WITNESS WHEREOF the undersigned, being duly 

authorized to that effect, have signed this Convention. 

 Done at Basel on the 22 day of March 1989 
33

ANNEX I 

CATEGORIES OF WASTES TO BE CONTROLLED

Waste Streams

Y1 Clinical wastes from medical care in hospitals, medical 

centers and clinics 

Y2 Wastes from the production and preparation of 

pharmaceutical products 

Y3 Waste pharmaceuticals, drugs and medicines 

Y4 Wastes from the production, formulation and use of 

biocides and phytopharmaceuticals 

Y5 Wastes from the manufacture, formulation and use of wood 

preserving chemicals 

Y6 Wastes from the production, formulation and use of organic 

solvents 

Y7 Wastes from heat treatment and tempering operations 

containing cyanides 

Y8 Waste mineral oils unfit for their originally intended use 

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

Y10 Waste substances and articles containing or contaminated 

with polychlorinated biphenyls (PCBs) and/or 

polychlorinated terphenyls (PCTs) and/or polybrominated 

biphenyls (PBBs) 

Y11 Waste tarry residues arising from refining, distillation and 

any pyrolytic treatment 

Y12 Wastes from production, formulation and use of inks, dyes, 
34

pigments, paints, lacquers, varnish 

Y13 Wastes from production, formulation and use of resins, 

latex, plasticizers, glues/adhesives 

Y14 Waste chemical substances arising from research and 

development or teaching activities which are not identified 

and/or are new and whose effects on man and/or the 

environment are not known 

Y15 Wastes of an explosive nature not subject to other 

legislation 

Y16 Wastes from production, formulation and use of 

photographic chemicals and processing materials 

Y17 Wastes resulting from surface treatment of metals and 

plastics 

Y18 Residues arising from industrial waste disposal operations 

Wastes having as constituents:

Y19 Metal carbonyls 

Y20 Beryllium; beryllium compounds 

Y21 Hexavalent chromium compounds 

Y22 Copper compounds 

Y23 Zinc compounds 

Y24 Arsenic; arsenic compounds 

Y25 Selenium; selenium compounds 

Y26 Cadmium; cadmium compounds 
35

Y27 Antimony; antimony compounds 

Y28 Tellurium; tellurium compounds 

Y29 Mercury; mercury compounds 

Y30 Thallium; thallium compounds 

Y31 Lead; lead compounds 

Y32 Inorganic fluorine compounds excluding calcium fluoride 

Y33 Inorganic cyanides 

Y34 Acidic solutions or acids in solid form 

Y35 Basic solutions or bases in solid form 

Y36 Asbestos (dust and fibres) 

Y37 Organic phosphorus compounds 

Y38 Organic cyanides 

Y39 Phenols; phenol compounds including chlorophenols 

Y40 Ethers 

Y41 Halogenated organic solvents 

Y42 Organic solvents excluding halogenated solvents 

Y43 Any congenor of polychlorinated dibenzo-furan 

Y44 Any congenor of polychlorinated dibenzo-p-dioxin 

Y45 Organohalogen compounds other than substances referred 

to in this Annex (e.g. Y39, Y41, Y42, Y43, Y44) 
36

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

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

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

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

paragraph 1 (a), of this Convention. 

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

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

waste is not hazardous pursuant to Article 1, paragraph 1 (a), of this 

Convention. 

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

preclude, in a particular case, characterization of such a waste as 

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

contains Annex I material to an extent causing it to exhibit an Annex III 

characteristic. 

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

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

characterization of wastes.4

_________________________________ 

4 The amendment whereby paragraphs (a), (b), (c) and (d) were added to the end of 

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

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

the Conference of the Parties at its fourth meeting).
37

ANNEX II 

CATEGORIES OF WASTES REQUIRING SPECIAL 

CONSIDERATION

Y46 Wastes collected from households 

Y47 Residues arising from the incineration of household wastes 

 

 
38

ANNEX III 

LIST OF HAZARDOUS CHARACTERISTICS

UN Class5 Code Characteristics

1 H1 Explosive 

 An explosive substance or waste is a solid or liquid 

substance or waste (or mixture of substances or 

wastes) which is in itself capable by chemical 

reaction of producing gas at such a temperature and 

pressure and at such a speed as to cause damage to 

the surroundings. 

3 H3 Flammable liquids 

 The word “flammable” has the same meaning as 

“inflammable”. Flammable liquids are liquids, or 

mixtures of liquids, or liquids containing solids in 

solution or suspension (for example, paints, 

varnishes, lacquers, etc., but not including 

substances or wastes otherwise classified on account 

of their dangerous characteristics) which give off a 

flammable vapour at temperatures of not more than 

60.5oC, closed-cup test, or not more than 65.6oC, 

open-cup test. (Since the results of open-cup tests 

and of closed-cup tests are not strictly comparable 

and even individual results by the same test are often 

variable, regulations varying from the above figures 

to make allowance for such differences would be 

within the spirit of this definition.) 

4.1 H4.1 Flammable solids 

_________________________________ 

5

 Corresponds to the hazard classification system included in the United Nations 

Recommendations on the Transport of Dangerous Goods (ST/SG/AC.10/1Rev.5, United 

Nations, New York, 1988). 
39

 Solids, or waste solids, other than those classed as 

explosives, which under conditions encountered in 

transport are readily combustible, or may cause or 

contribute to fire through friction. 

4.2 H4.2 Substances or wastes liable to spontaneous 

combustion 

 Substances or wastes which are liable to 

spontaneous heating under normal conditions 

encountered in transport, or to heating up on contact 

with air, and being then liable to catch fire. 

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

emit flammable gases 

 Substances or wastes which, by interaction with 

water, are liable to become spontaneously 

flammable or to give off flammable gases in 

dangerous quantities. 

5.1 H5.1 Oxidizing 

 Substances or wastes which, while in themselves not 

necessarily combustible, may, generally by yielding 

oxygen cause, or contribute to, the combustion of 

other materials. 

5.2 H5.2 Organic Peroxides 

 Organic substances or wastes which contain the 

bivalent-o-o-structure are thermally unstable 

substances which may undergo exothermic selfaccelerating decomposition. 

6.1 H6.1 Poisonous (Acute) 

 Substances or wastes liable either to cause death or 

serious injury or to harm human health if swallowed 
40

or inhaled or by skin contact. 

6.2 H6.2 Infectious substances 

 Substances or wastes containing viable micro 

organisms or their toxins which are known or 

suspected to cause disease in animals or humans. 

8 H8 Corrosives 

 Substances or wastes which, by chemical action, 

will cause severe damage when in contact with 

living tissue, or, in the case of leakage, will 

materially damage, or even destroy, other goods or 

the means of transport; they may also cause other 

hazards. 

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

 Substances or wastes which, by interaction with air 

or water, are liable to give off toxic gases in 

dangerous quantities. 

9 H11 Toxic (Delayed or chronic) 

 Substances or wastes which, if they are inhaled or 

ingested or if they penetrate the skin, may involve 

delayed or chronic effects, including 

carcinogenicity. 

9 H12 Ecotoxic 

 Substances or wastes which if released present or 

may present immediate or delayed adverse impacts 

to the environment by means of bioaccumulation 

and/or toxic effects upon biotic systems. 

9 H13 Capable, by any means, after disposal, of yielding 

another material, e.g., leachate, which possesses any 
41

of the characteristics listed above. 

Tests

 The potential hazards posed by certain types of wastes are not 

yet fully documented; tests to define quantitatively these hazards do not 

exist. Further research is necessary in order to develop means to 

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 countries have developed national tests 

which can be applied to materials listed in Annex I, in order to decide if 

these materials exhibit any of the characteristics listed in this Annex. 
42

ANNEX IV 

DISPOSAL OPERATIONS

A. Operations which do not lead to the possibility of resource recovery, 

recycling, reclamation, direct re-use or alternative uses

Section A encompasses all such disposal operations which occur in 

practice. 

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

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

in soils, etc.) 

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

salt domes of naturally occurring repositories, etc.) 

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

discards into pits, ponds or lagoons, etc.) 

D5 Specially engineered landfill, (e.g., placement into lined discrete 

cells which are capped and isolated from one another and the 

environment, etc.) 

D6 Release into a water body except seas/oceans 

D7 Release into seas/oceans including sea-bed insertion 

D8 Biological treatment not specified elsewhere in this Annex which 

results in final compounds or mixtures which are discarded by 

means of any of the operations in Section A 

D9 Physico chemical treatment not specified elsewhere in this Annex 

which results in final compounds or mixtures which are discarded 

by means of any of the operations in Section A, (e.g., evaporation, 

drying, calcination, neutralization, precipitation, etc.) 

D10 Incineration on land 
43

D11 Incineration at sea 

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

etc.) 

D13 Blending or mixing prior to submission to any of the operations in 

Section A 

D14 Repackaging prior to submission to any of the operations in 

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 or alternative uses

Section B encompasses all such operations with respect to materials 

legally defined as or considered to be hazardous wastes and which 

otherwise would have been destined for operations included in Section 

A 

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

generate energy 

R2 Solvent reclamation/regeneration 

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

solvents 

R4 Recycling/reclamation of metals and metal compounds 

R5 Recycling/reclamation of other inorganic materials 

R6 Regeneration of acids or bases 

R7 Recovery of components used for pollution abatement 

R8 Recovery of components from catalysts 
44

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

R10 Land treatment resulting in benefit to agriculture or ecological 

improvement 

R11 Uses of residual materials obtained from any of the operations 

numbered R1-R10 

R12 Exchange of wastes for submission to any of the operations 

numbered R1-R11 

R13 Accumulation of material intended for any operation in Section B 

 

 

 

 
45

ANNEX V A 

INFORMATION TO BE PROVIDED ON NOTIFICATION

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 

waste is to be exported and proposed itinerary (including point 

of entry and exit)3/ 

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

waters) 

12. Information relating to insurance 4/ 

13. Designation and physical description of the waste including Y 

number and UN number and its composition 5/ and 

information on any special handling requirements including 

emergency provisions in 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: 

hazardous characteristic, H number, and UN class 
46

18. Method of disposal as per Annex IV 

19. Declaration by the generator and exporter that the information 

is correct 

20. Information transmitted (including technical description of the 

plant) to the exporter or generator from the disposer of the 

waste upon which the latter has based his assessment that there 

was no reason to believe that the wastes will not be managed 

in an environmentally sound manner in accordance with the 

laws and regulations of the country of import 

21. Information concerning the contract between the exporter and 

disposer. 

Notes

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

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

person to be contacted. 

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

3/ In the case of a general notification covering several 

shipments, either the expected dates of each shipment or, if 

this is not known, the expected frequency of the shipments will 

be required. 

4/ Information to be provided on relevant insurance requirements 

and how they are met by exporter, carrier and disposer. 

5/ The nature and the concentration of the most hazardous 

components, in terms of toxicity and other dangers presented 

by the waste both in handling and in relation to the proposed 

disposal method. 

6/ In the case of a general notification covering several 

shipments, both the estimated total quantity and the estimated 

quantities for each individual shipment will be required. 

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

the appropriateness of the proposed disposal operation. 
47

ANNEX V B 

INFORMATION TO BE PROVIDED ON THE MOVEMENT 

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(s) and 

signature on receipt by each person who takes charge of the 

waste 

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

including countries of export, transit and import, also point of 

entry and exit where these have been designated 

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

shipping name and class, UN number, Y number and H 

number as applicable) 

9. Information on special handling requirements including 

emergency provision in case of accidents 

10. Type and number of packages 

11. Quantity in weight/volume 

12. Declaration by the generator or exporter that the information is 

correct 

13. Declaration by the generator or exporter indicating no 

objection from the competent authorities of all States 

concerned which are Parties 

14. Certification by disposer of receipt at designated disposal 

facility and indication of method of disposal and of the 

approximate date of disposal. 

Notes

The information required on the movement document shall where 

possible be integrated in one document with that required under 
48

transport rules. Where this is not possible the information should 

complement rather than duplicate that required under the transport 

rules. The movement document shall carry instructions as to who is to 

provide information and fill-out any form. 

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

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

person to be contacted in case of emergency. 
49

ANNEX VI 

ARBITRATION

Article 1

 Unless the agreement referred to in Article 20 of the 

Convention provides otherwise, the arbitration procedure shall be 

conducted in accordance with Articles 2 to 10 below. 

Article 2

The claimant Party shall notify the Secretariat that the Parties have 

agreed to submit the dispute to arbitration pursuant to paragraph 2 or 

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

Convention the interpretation or application of which are at issue. The 

Secretariat shall forward the information thus received to all Parties to 

the Convention. 

Article 3

The arbitral tribunal shall consist of three members. Each of the Parties 

to the dispute shall appoint an arbitrator, and the two arbitrators so 

appointed shall designate by common agreement the third arbitrator, 

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

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

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

any of them, nor have dealt with the case in any other capacity. 

Article 4

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

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

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

Party, designate him within a further two months period. 

2. If one of the Parties to the dispute does not appoint an 

arbitrator within two months of the receipt of the request, the other 

Party may inform the Secretary-General of the United Nations who 

shall designate the chairman of the arbitral tribunal within a further two 

months’ period. Upon designation, the chairman of the arbitral tribunal 

shall request the Party which has not appointed an arbitrator to do so 

within two months. After such period, he shall inform the SecretaryGeneral of the United Nations, who shall make this appointment within 

a further two months’ period. 
50

Article 5

1. The arbitral tribunal shall render its decision in accordance 

with international law and in accordance with the provisions of this 

Convention. 

2. Any arbitral tribunal constituted under the provisions of this 

Annex shall draw up its own rules of procedure. 

Article 6

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

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

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

establish the facts. It may, at the request of one of the Parties, 

recommend essential interim measures of protection. 

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

for the effective conduct of the proceedings. 

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

constitute an impediment to the proceedings. 

Article 7

 The tribunal may hear and determine counter-claims arising 

directly out of the subject-matter of the dispute. 

Article 8

 Unless the arbitral tribunal determines otherwise because of 

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

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

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

expenses, and shall furnish a final statement thereof to the Parties. 

Article 9

 Any Party that has an interest of a legal nature in the subjectmatter of the dispute which may be affected by the decision in the case, 

may intervene in the proceedings with the consent of the tribunal. 

Article 10

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

date on which it is established unless it finds it necessary to extend the 

time-limit for a period which should not exceed five months. 
51

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

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

the dispute. 

3. Any dispute which may arise between the Parties concerning 

the interpretation or execution of the award may be submitted by either 

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

cannot be seized thereof, to another tribunal constituted for this purpose 

in the same manner as the first. 
52

ANNEX VII 

[not yet entered into force]6

_________________________________ 

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

Conference of the Parties in 1995 in its Decision III/1. The amendment is 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: 

‘Annex VII

Parties and other States which are members of OECD, EC, Liechtenstein.’” 
53

ANNEX VIII7

LIST A 

 Wastes contained in this Annex are characterized as hazardous 

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

designation on this Annex does not preclude the use of Annex III to 

demonstrate that a waste is not hazardous. 

A1 Metal and metal-bearing wastes

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

following: 

• Antimony 

• Arsenic 

• Beryllium 

• Cadmium 

• Lead 

• Mercury 

• Selenium 

• Tellurium 

• Thallium 

_________________________________ 

7

 The amendment whereby Annex VIII was added to the Convention entered into force on 

6 November 1998, six months following the issuance of depositary notification 

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

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

added entered into force on 20 November 2003 (depositary notification C.N.1314.2003), 

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

2003 (reflecting Decision VI/35 adopted by the Conference of the Parties at its sixth 

meeting). The amendment to Annex VIII whereby one new entry was added entered into 

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

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

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

seventh meeting). The present text includes all amendments. 
54

 but excluding such wastes specifically listed on 

list B. 

A1020 Waste having as constituents or contaminants, excluding 

metal waste in massive form, any of the following: 

• Antimony; antimony compounds 

• Beryllium; beryllium compounds 

• Cadmium; cadmium compounds 

• Lead; lead compounds 

• Selenium; selenium compounds 

• Tellurium; tellurium compounds 

A1030 Wastes having as constituents or contaminants any of the 

following: 

• Arsenic; arsenic compounds 

• Mercury; mercury compounds 

• Thallium; thallium compounds 

A1040 Wastes having as constituents any of the following: 

• Metal carbonyls 

• Hexavalent chromium compounds 

A1050 Galvanic sludges 

A1060 Waste liquors from the pickling of metals 

A1070 Leaching residues from zinc processing, dust and sludges 

such as jarosite, hematite, etc. 

A1080 Waste zinc residues not included on list B, containing 

lead and cadmium in concentrations sufficient to exhibit 

Annex III characteristics 

A1090 Ashes from the incineration of insulated copper wire 
55

A1100 Dusts and residues from gas cleaning systems of copper 

smelters 

A1110 Spent electrolytic solutions from copper electrorefining 

and electrowinning operations 

A1120 Waste sludges, excluding anode slimes, from electrolyte 

purification systems in copper electrorefining and 

electrowinning operations 

A1130 Spent etching solutions containing dissolved copper 

A1140 Waste cupric chloride and copper cyanide catalysts 

A1150 Precious metal ash from incineration of printed circuit 

boards not included on list B8

A1160 Waste lead-acid batteries, whole or crushed 

A1170 Unsorted waste batteries excluding mixtures of only list B 

batteries. Waste batteries not specified on list B 

containing Annex I constituents to an extent to render 

them hazardous 

A1180 Waste electrical and electronic assemblies or scrap9

containing components such as accumulators and other 

batteries included on list A, mercury-switches, glass from 

cathode-ray tubes and other activated glass and PCBcapacitors, or contaminated with Annex I constituents 

(e.g., cadmium, mercury, lead, polychlorinated biphenyl) 

to an extent that they possess any of the characteristics 

contained in Annex III (note the related entry on list B 

B1110)10

_________________________________ 

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. 
56

A1190 Waste metal cables coated or insulated with plastics 

containing or contaminated with coal tar, PCB11, lead, 

cadmium, other organohalogen compounds or other 

Annex I constituents to an extent that they exhibit Annex 

III characteristics. 

A2 Wastes containing principally inorganic constituents, which may 

contain metals and organic materials

A2010 Glass waste from cathode-ray tubes and other activated 

glasses 

A2020 Waste inorganic fluorine compounds in the form of 

liquids or sludges but excluding such wastes specified on 

list B 

A2030 Waste catalysts but excluding such wastes specified on 

list B 

A2040 Waste gypsum arising from chemical industry processes, 

when containing Annex I constituents to the extent that it 

exhibits an Annex III hazardous characteristic (note the 

related entry on list B B2080) 

A2050 Waste asbestos (dusts and fibres) 

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

substances in concentrations sufficient to exhibit Annex 

III characteristics (note the related entry on list B B2050) 

_________________________________ 

11 PCBs are at a concentration level of 50 mg/kg or more. 
57

A3 Wastes containing principally organic constituents, which may 

contain metals and inorganic materials

A3010 Waste from the production or processing of petroleum 

coke and bitumen 

A3020 Waste mineral oils unfit for their originally intended use 

A3030 Wastes that contain, consist of or are contaminated with 

leaded anti-knock compound sludges 

A3040 Waste thermal (heat transfer) fluids 

A3050 Wastes from production, formulation and use of resins, 

latex, plasticizers, glues/adhesives excluding such wastes 

specified on list B (note the related entry on list B B4020) 

A3060 Waste nitrocellulose 

A3070 Waste phenols, phenol compounds including 

chlorophenol in the form of liquids or sludges 

A3080 Waste ethers not including those specified on list B 

A3090 Waste leather dust, ash, sludges and flours when 

containing hexavalent chromium compounds or biocides 

(note the related entry on list B B3100) 

A3100 Waste paring and other waste of leather or of composition 

leather not suitable for the manufacture of leather articles 

containing hexavalent chromium compounds or biocides 

(note the related entry on list B B3090) 

A3110 Fellmongery wastes containing hexavalent chromium 

compounds or biocides or infectious substances (note the 

related entry on list B B3110) 

A3120 Fluff - light fraction from shredding 
58

A3130 Waste organic phosphorous compounds 

A3140 Waste non-halogenated organic solvents but excluding 

such wastes specified on list B 

A3150 Waste halogenated organic solvents 

A3160 Waste halogenated or unhalogenated non-aqueous 

distillation residues arising from organic solvent recovery 

operations 

A3170 Wastes arising from the production of aliphatic 

halogenated hydrocarbons (such as chloromethane, 

dichloro-ethane, vinyl chloride, vinylidene chloride, allyl 

chloride and epichlorhydrin) 

A3180 Wastes, substances and articles containing, consisting of 

or contaminated with polychlorinated biphenyl (PCB), 

polychlorinated terphenyl (PCT), polychlorinated 

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

any other polybrominated analogues of these compounds, 

at a concentration level of 50 mg/kg or more12

A3190 Waste tarry residues (excluding asphalt cements) arising 

from refining, distillation and any pyrolitic treatment of 

organic materials 

A3200 Bituminous material (asphalt waste) from road 

construction and maintenance, containing tar (note the 

related entry on list B, B2130) 

 

_________________________________ 

12 The 50 mg/kg level is considered to be an internationally practical level for all wastes. 

However, many individual countries have established lower regulatory levels (e.g., 20 

mg/kg) for specific wastes. 
59

A4 Wastes which may contain either inorganic or organic constituents

A4010 Wastes from the production, preparation and use of 

pharmaceutical products but excluding such wastes 

specified on list B 

A4020 Clinical and related wastes; that is wastes arising from 

medical, nursing, dental, veterinary, or similar practices, 

and wastes generated in hospitals or other facilities during 

the investigation or treatment of patients, or research 

projects 

A4030 Wastes from the production, formulation and use of 

biocides and phytopharmaceuticals, including waste 

pesticides and herbicides which are off-specification, 

outdated,13 or unfit for their originally intended use 

A4040 Wastes from the manufacture, formulation and use of 

wood-preserving chemicals14

A4050 Wastes that contain, consist of or are contaminated with 

any of the following: 

• Inorganic cyanides, excepting precious-metalbearing residues in solid form containing traces of 

inorganic cyanides 

• Organic cyanides 

A4060 Waste oils/water, hydrocarbons/water mixtures, 

emulsions 

A4070 Wastes from the production, formulation and use of inks, 

dyes, pigments, paints, lacquers, varnish excluding any 

such waste specified on list B (note the related entry on 

list B B4010) 

_________________________________ 

13 “Outdated” means unused within the period recommended by the manufacturer. 

14 This entry does not include wood treated with wood preserving chemicals. 
60

A4080 Wastes of an explosive nature (but excluding such wastes 

specified on list B) 

A4090 Waste acidic or basic solutions, other than those specified 

in the corresponding entry on list B (note the related entry 

on list B B2120) 

A4100 Wastes from industrial pollution control devices for 

cleaning of industrial off-gases but excluding such wastes 

specified on list B 

A4110 Wastes that contain, consist of or are contaminated with 

any of the following: 

• Any congenor of polychlorinated dibenzo-furan 

• Any congenor of polychlorinated dibenzo-dioxin 

A4120 Wastes that contain, consist of or are contaminated with 

peroxides 

A4130 Waste packages and containers containing Annex I 

substances in concentrations sufficient to exhibit Annex 

III hazard characteristics 

A4140 Waste consisting of or containing off specification or 

outdated15 chemicals corresponding to Annex I categories 

and exhibiting Annex III hazard characteristics 

A4150 Waste chemical substances arising from research and 

development or teaching activities which are not 

identified and/or are new and whose effects on human 

health and/or the environment are not known 

A4160 Spent activated carbon not included on list B (note the 

related entry on list B B2060) 

_________________________________ 

15 “Outdated” means unused within the period recommended by the manufacturer. 
61

ANNEX IX16

LIST B 

 Wastes contained in the Annex will not be wastes covered by 

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

I material to an extent causing them to exhibit an Annex III 

characteristic. 

B1 Metal and metal-bearing wastes

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

form: 

• Precious metals (gold, silver, the platinum 

group, but not mercury) 

• Iron and steel scrap 

• Copper scrap 

• Nickel scrap 

• Aluminium scrap 

• Zinc scrap 

• Tin scrap 

• Tungsten scrap 

• Molybdenum scrap 

_________________________________ 

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

6 November 1998, six months following the issuance of depositary notification 

C.N.77.1998 (reflecting Decision IV/9 adopted by the Conference of the Parties at its 

fourth meeting). The amendment to Annex IX whereby new entries were added entered 

into force on 20 November 2003 (depositary notification C.N.1314.2003), six months 

following the issuance of depositary notification C.N.399.2003 of 20 May 2003 

(reflecting Decision VI/35 adopted by the Conference of the Parties at its sixth meeting). 

The amendment to Annex IX whereby one entry was added entered into force on 8 

October 2005 (depositary notification C.N.1044.2005), six months following the issuance 

of depositary notification C.N.263.2005 of 8 April 2005 (re-issued on 13 June 2005, 

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

meeting). The present text includes all amendments. 
62

• Tantalum scrap 

• Magnesium scrap 

• Cobalt scrap 

• Bismuth scrap 

• Titanium scrap 

• Zirconium scrap 

• Manganese scrap 

• Germanium scrap 

• Vanadium scrap 

• Scrap of hafnium, indium, niobium, rhenium and 

gallium 

• Thorium scrap 

• Rare earths scrap 

• Chromium scrap 

B1020 Clean, uncontaminated metal scrap, including alloys, in 

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

• Antimony scrap 

• Beryllium scrap 

• Cadmium scrap 

• Lead scrap (but excluding lead-acid batteries) 

• Selenium scrap 

• Tellurium scrap 

B1030 Refractory metals containing residues 

B1031 Molybdenum, tungsten, titanium, tantalum, niobium and 

rhenium metal and metal alloy wastes in metallic 

dispersible form (metal powder), excluding such wastes 

as specified in list A under entry A1050, Galvanic 
63

sludges 

B1040 Scrap assemblies from electrical power generation not 

contaminated with lubricating oil, PCB or PCT to an 

extent to render them hazardous 

B1050 Mixed non-ferrous metal, heavy fraction scrap, not 

containing Annex I materials in concentrations sufficient 

to exhibit Annex III characteristics17

B1060 Waste selenium and tellurium in metallic elemental form 

including powder 

B1070 Waste of copper and copper alloys in dispersible form, 

unless they contain Annex I constituents to an extent that 

they exhibit Annex III characteristics 

B1080 Zinc ash and residues including zinc alloys residues in 

dispersible form unless containing Annex I constituents 

in concentration such as to exhibit Annex III 

characteristics or exhibiting hazard characteristic H4.318

B1090 Waste batteries conforming to a specification, excluding 

those made with lead, cadmium or mercury 

B1100 Metal-bearing wastes arising from melting, smelting and 

refining of metals: 

• Hard zinc spelter 

• Zinc-containing drosses: 

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

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

_________________________________ 

17 Note that even where low level contamination with Annex I materials initially exists, 

subsequent processes, including recycling processes, may result in separated fractions 

containing significantly enhanced concentrations of those Annex I materials. 

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

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

not be dangerous goods. 
64

- Zinc die casting dross (>85% Zn) 

- Hot dip galvanizers slab zinc dross 

(batch)(>92% Zn) 

- Zinc skimmings 

• Aluminium skimmings (or skims) excluding salt 

slag 

• Slags from copper processing for further 

processing or refining not containing arsenic, lead or 

cadmium to an extent that they exhibit Annex III hazard 

characteristics 

• Wastes of refractory linings, including crucibles, 

originating from copper smelting 

• Slags from precious metals processing for 

further refining 

• Tantalum-bearing tin slags with less than 0.5% 

tin 

B1110 Electrical and electronic assemblies: 

• Electronic assemblies consisting only of metals 

or alloys 

• Waste electrical and electronic assemblies or 

scrap19 (including printed circuit boards) not containing 

components such as accumulators and other batteries 

included on list A, mercury-switches, glass from cathoderay tubes and other activated glass and PCB-capacitors, 

or not contaminated with Annex I constituents (e.g., 

cadmium, mercury, lead, polychlorinated biphenyl) or 

from which these have been removed, to an extent that 

they do not possess any of the characteristics contained in 

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

• Electrical and electronic assemblies (including 

printed circuit boards, electronic components and wires) 

_________________________________ 

19 This entry does not include scrap from electrical power generation. 
65

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

disposal21

 

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 wastes. 
66

B1115 Waste metal cables coated or insulated with plastics, not 

included in list A1190, excluding those destined for Annex 

IVA operations or any other disposal operations involving, 

at any stage, uncontrolled thermal processes, such as openburning. 

B1120 Spent catalysts excluding liquids used as catalysts, 

containing any of: 

Transition metals, 

excluding waste 

catalysts (spent 

catalysts, liquid 

used catalysts or 

other catalysts) on 

list A: 

Scandium 

Vanadium 

Manganese 

Cobalt 

Copper 

Yttrium 

Niobium 

Hafnium 

Tungsten 

Titanium 

Chromium 

Iron 

Nickel 

Zinc 

Zirconium 

Molybdenum 

Tantalum 

Rhenium 

Lanthanides (rare 

earth metals): 

Lanthanum 

Praseodymium 

Samarium 

Gadolinium 

Dysprosium 

Erbium 

Ytterbium 

Cerium 

Neody 

Europium 

Terbium 

Holmium 

Thulium 

Lutetium 

B1130 Cleaned spent precious-metal-bearing catalysts 

B1140 Precious-metal-bearing residues in solid form which 

contain traces of inorganic cyanides 

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

platinum group, but not mercury) in a dispersible, nonliquid form with appropriate packaging and labelling 

B1160 Precious-metal ash from the incineration of printed circuit 

boards (note the related entry on list A A1150) 
67

B1170 Precious-metal ash from the incineration of photographic 

film 

B1180 Waste photographic film containing silver halides and 

metallic silver 

B1190 Waste photographic paper containing silver halides and 

metallic silver 

B1200 Granulated slag arising from the manufacture of iron and 

steel 

B1210 Slag arising from the manufacture of iron and steel 

including slags as a source of TiO2 and vanadium 

B1220 Slag from zinc production, chemically stabilized, having a 

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

industrial specifications (e.g., DIN 4301) mainly for 

construction 

B1230 Mill scaling arising from the manufacture of iron and steel 

B1240 Copper oxide mill-scale 

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

liquids nor other hazardous components 

 

B2 Wastes containing principally inorganic constituents, which may 

contain metals and organic materials

B2010 Wastes from mining operations in non-dispersible form: 

• Natural graphite waste 

• Slate waste, whether or not roughly trimmed or 

merely cut, by sawing or otherwise 

• Mica waste 

• Leucite, nepheline and nepheline syenite waste 
68

• Feldspar waste 

• Fluorspar waste 

• Silica wastes in solid form excluding those used 

in foundry operations 

B2020 Glass waste in non-dispersible form: 

• Cullet and other waste and scrap of glass except 

for glass from cathode-ray tubes and other activated 

glasses 

B2030 Ceramic wastes in non-dispersible form: 

• Cermet wastes and scrap (metal ceramic 

composites) 

• Ceramic based fibres not elsewhere specified or 

included 

B2040 Other wastes containing principally inorganic 

constituents: 

• Partially refined calcium sulphate produced from 

flue-gas desulphurization (FGD) 

• Waste gypsum wallboard or plasterboard arising 

from the demolition of buildings 

• Slag from copper production, chemically 

stabilized, having a high iron content (above 20%) and 

processed according to industrial specifications (e.g., DIN 

4301 and DIN 8201) mainly for construction and abrasive 

applications 

• Sulphur in solid form 

• Limestone from the production of calcium 

cyanamide (having a pH less than 9) 

• Sodium, potassium, calcium chlorides 

• Carborundum (silicon carbide) 

• Broken concrete 
69

• Lithium-tantalum and lithium-niobium 

containing glass scraps 

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

(note the related entry on list A A2060) 

B2060 Spent activated carbon not containing any Annex I 

constituents to an extent they exhibit Annex III 

characteristics, for example, carbon resulting from the 

treatment of potable water and processes of the food 

industry and vitamin production (note the related entry on 

list A, A4160) 

B2070 Calcium fluoride sludge 

B2080 Waste gypsum arising from chemical industry processes 

not included on list A (note the related entry on list A 

A2040) 

B2090 Waste anode butts from steel or aluminium production 

made of petroleum coke or bitumen and cleaned to 

normal industry specifications (excluding anode butts 

from chlor alkali electrolyses and from metallurgical 

industry) 

B2100 Waste hydrates of aluminium and waste alumina and 

residues from alumina production excluding such 

materials used for gas cleaning, flocculation or filtration 

processes 

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

11.5) 

B2120 Waste acidic or basic solutions with a pH greater than 2 

and less than 11.5, which are not corrosive or otherwise 

hazardous (note the related entry on list A A4090) 
70

B2130 Bituminous material (asphalt waste) from road 

construction and maintenance, not containing tar22 (note 

the related entry on list A, A3200) 

 

B3 Wastes containing principally organic constituents, which may 

contain metals and inorganic materials

B3010 Solid plastic waste: 

The following plastic or mixed plastic materials, provided 

they are not mixed with other wastes and are prepared to a 

specification: 

• Scrap plastic of non-halogenated polymers and 

co-polymers, including but not limited to the following23

- 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 

_________________________________ 

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

23 It is understood that such scraps are completely polymerized. 
71

• Cured waste resins or condensation products 

including the following: 

- urea formaldehyde resins 

- phenol formaldehyde resins 

- melamine formaldehyde resins 

- epoxy resins 

- alkyd resins 

- polyamides 

• The following fluorinated polymer wastes24

- perfluoroethylene/propylene (FEP) 

- perfluoro alkoxyl alkane 

- tetrafluoroethylene/per fluoro vinyl ether (PFA) 

- tetrafluoroethylene/per fluoro methylvinyl 

ether (MFA) 

- polyvinylfluoride (PVF) 

- polyvinylidenefluoride (PVDF) 

B3020 Paper, paperboard and paper product wastes 

 The following materials, provided they are not 

mixed with hazardous wastes: 

 Waste and scrap of paper or paperboard of: 

• unbleached paper or paperboard or of corrugated 

paper or paperboard 

• other paper or paperboard, made mainly of 

bleached chemical pulp, not coloured in the mass 

• paper or paperboard made mainly of mechanical 

pulp (for example, newspapers, journals and similar 

printed matter) 

• other, including but not limited to 1) laminated 

paperboard 2) unsorted scrap 

 

24 Post-consumer wastes are excluded from this entry: 

- Wastes shall not be mixed 

- Problems arising from open-burning practices to be considered 
72

B3030 Textile wastes 

 The following materials, provided they are not 

mixed with other wastes and are prepared to a 

specification: 

• Silk waste (including cocoons unsuitable for 

reeling, yarn waste and garnetted stock) 

- not carded or combed 

- other 

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

including yarn waste but excluding garnetted stock 

- noils of wool or of fine animal hair 

- other waste of wool or of fine animal hair 

- waste of coarse animal hair 

• Cotton waste (including yarn waste and 

garnetted stock) 

- yarn waste (including thread waste) 

- garnetted stock 

- other 

• Flax tow and waste 

• Tow and waste (including yarn waste and 

garnetted stock) of true hemp (Cannabis sativa L.) 

• Tow and waste (including yarn waste and 

garnetted stock) of jute and other textile bast fibres 

(excluding flax, true hemp and ramie) 

• Tow and waste (including yarn waste and 

garnetted stock) of sisal and other textile fibres of the 

genus Agave 

• Tow, noils and waste (including yarn waste and 

garnetted stock) of coconut 

• Tow, noils and waste (including yarn waste and 

garnetted stock) of abaca (Manila hemp or Musa textilis

Nee) 

• Tow, noils and waste (including yarn waste and 
73

garnetted stock) of ramie and other vegetable textile 

fibres, not elsewhere specified or included 

• Waste (including noils, yarn waste and garnetted 

stock) of man-made fibres 

- of synthetic fibres 

- of artificial fibres 

• Worn clothing and other worn textile articles 

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

and worn out articles of twine, cordage, rope or cables of 

textile materials 

- sorted 

- other 

B3035 Waste textile floor coverings, carpets 

B3040 Rubber wastes 

 The following materials, provided they are not 

mixed with other wastes: 

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

• Other rubber wastes (excluding such wastes 

specified elsewhere) 

B3050 Untreated cork and wood waste: 

• Wood waste and scrap, whether or not 

agglomerated in logs, briquettes, pellets or similar forms 

• Cork waste: crushed, granulated or ground cork 

B3060 Wastes arising from agro-food industries provided it is 

not infectious: 

• Wine lees 

• Dried and sterilized vegetable waste, residues 

and byproducts, whether or not in the form of pellets, of a 

kind used in animal feeding, not elsewhere specified or 

included 
74

• Degras: residues resulting from the treatment of 

fatty substances or animal or vegetable waxes 

• Waste of bones and horn-cores, unworked, 

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

with acid or degelatinised 

• Fish waste 

• Cocoa shells, husks, skins and other cocoa waste 

• Other wastes from the agro-food industry 

excluding by-products which meet national and 

international requirements and standards for human or 

animal consumption 

B3065 Waste edible fats and oils of animal or vegetable origin 

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

III characteristic 

B3070 The following wastes: 

• Waste of human hair 

• Waste straw 

• Deactivated fungus mycelium from penicillin 

production to be used as animal feed 

B3080 Waste parings and scrap of rubber 

B3090 Paring and other wastes of leather or of composition 

leather not suitable for the manufacture of leather articles, 

excluding leather sludges, not containing hexavalent 

chromium compounds and biocides (note the related entry 

on list A A3100) 

B3100 Leather dust, ash, sludges or flours not containing 

hexavalent chromium compounds or biocides (note the 

related entry on list A A3090) 

B3110 Fellmongery wastes not containing hexavalent chromium 

compounds or biocides or infectious substances (note the 
75

related entry on list A A3110) 

B3120 Wastes consisting of food dyes 

B3130 Waste polymer ethers and waste non-hazardous monomer 

ethers incapable of forming peroxides 

B3140 Waste pneumatic tyres, excluding those destined for 

Annex IVA operations 

B4 Wastes which may contain either inorganic or organic constituents

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

inks and hardened varnishes not containing organic 

solvents, heavy metals or biocides to an extent to render 

them hazardous (note the related entry on list A A4070) 

B4020 Wastes from production, formulation and use of resins, 

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

free of solvents and other contaminants to an extent that 

they do not exhibit Annex III characteristics, e.g., waterbased, or glues based on casein starch, dextrin, cellulose 

ethers, polyvinyl alcohols (note the related entry on list A 

A3050) 

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

list A