Technical Working Group to prepare 

draft technical guidelines for the 

environmentally sound management 

of hazardous wastes subject to the 

Basel Convention 

Twelfth session 

Geneva, 24-28 February 1997 

REPORT OF THE TECHNICAL WORKING GROUP 

I. INTRODUCTION 

1. The twelfth session of the Technical Working Group (TWG) took place in 

Geneva from 24-28 February 1997. 

2. The meeting was convened in accordance with decision III/1 (Amendment to 

the Basel Convention), decision III/12 (Hazard characterization), decision III/26 

(Cooperation with UN bodies, specialized agencies and regional systems and 

organizations) and decision III/5 (Illegal traffic in hazardous wastes and other 

wastes) adopted by the Conference of the Parties at its third meeting. 

II. PROCEEDINGS OF THE MEETING 

A. Opening of the meeting 

3. The Chairman of the Technical Working Group, Mr. Andreas Jaron, welcomed 

the participants. He referred to the need to progress with the work on lists and 

the applicable procedure for their review. He emphasized that this is the last 

opportunity for the TWG to complete its work for consideration by the Fourth 

meeting of the Conference of the Parties. He then invited the Executive 

Secretary to address the meeting. 

4. The Executive Secretary in her opening words, thanked the Government of 

Switzerland for providing the SBC with the conference facilities and the 
Government of Denmark for assisting in organization of the meeting. She 

emphasized that the TWG has a very broad mandate and she referred to the 

need for the finalization of lists of wastes and the applicable procedure for their 

review at this meeting. This Group is also requested to work further on hazard 

characterization of wastes and to provide technical guidance on bilateral, 

multilateral or regional agreements or arrangements concluded within the 

framework of the Basel Convention. She also introduced the state of discussion 

on modalities for incorporating the lists of wastes into the system of the Basel 

Convention. The President of COP3 and Extended Bureau decided to circulate a 

Note from the President on this topic for consideration by the TWG meeting. The 

Executive Secretary also stressed that this was the last meeting of the TWG 

before COP4. It was therefore essential to complete the tasks placed upon the 

TWG by the COP3. She informed the meeting that the next COP will be held in 

Kuala Lumpur (6-10 October 1997), at the invitation of the Government of 

Malaysia. In this respect, she took the opportunity to thank the Governments of 

Japan, Denmark, Finland, Norway and Sweden and the European Commission 

for their readiness to provide financial support for the meeting of the Conference 

of the Parties. Concerning the Amendment (Decision III/1) she informed the 

meeting that Finland had ratified it and that some other Parties indicated their 

intention to ratify it. Finally, the Executive Secretary indicated that a number of 

developing countries were in the process of acceding to the Convention. She 

also expressed hope that the remaining developed countries would soon become 

Party to the Basel Convention. 

B. Attendance 

5. The meeting was attended by experts designated by the following Parties to 

the Convention: Antigua and Barbuda, Argentina, Australia, Austria, Bahamas, 

Bahrain, Bangladesh, Belgium, Brazil, Canada, Chile, China, Costa Rica, 

Croatia, Cuba, Cyprus, Czech Republic, Denmark, Ecuador, Egypt, El Salvador, 

Estonia, European Community, Finland, France, Germany, Guinea, Hungary, 

India, Indonesia, Italy, Japan, Jordan, Lebanon, Luxembourg, Malaysia, 
Mauritius, Mexico, Morocco, Netherlands, New Zealand, Nigeria, Norway, 

Pakistan, Panama, Philippines, Poland, Qatar, Republic of Korea, Romania, 

Russian Federation, Saudi Arabia, Senegal, Singapore, Slovakia, Slovenia, 

South Africa, Spain, Sri Lanka, Sweden, Switzerland, Syrian Arab Republic, 

Tunisia, United Kingdom of Great Britain and Northern Ireland, United Republic 

of Tanzania, Uzbekistan and Zambia. 

6. The following observer States were represented: Haiti, Thailand and the 

United States of America. 

7. The following intergovernmental organizations were represented: International 

Lead and Zinc Study Group (ILZSG), Organisation for Economic Cooperation 

and Development (OECD), United Nations Conference on Trade and 

Development (UNCTAD), United Nations Economic Commission for Europe 

(UNECE), United Nations Industrial Development Organization (UNIDO) and the 

World Trade Organization (WTO). 

8. Greenpeace and the following industry non-governmental organizations were 

represented at the meeting: Association Force Ouvriere Consommateurs 

(AFOC), Bureau of International Recycling (BIR), European Association of Metals 

(EUROMETAUX), European Chemical Industry Council (CEFIC), European 

Federation of Waste Management and Environmental Services (FEAD), 

European Metal Trade and Recycling Federation (EUROMETREC), Institute of 

Scrap Recycling Industries, International Chamber of Commerce (ICC), 

International Precious Metals Institute (IPMI), Japan Mining Industry Association, 

Japan PVC Association, and Waste Minimization Technology International, Inc. 

(WMTI). 

C. Officers 

9. The following officers constituted the Bureau of the meeting: 

Mr. Andreas Jaron, Germany, Chairperson 

Mrs. Lakshmi Raghupathy, India, Vice-Chairperson 

Mr. Ibrahima Sow, Senegal, Rapporteur 

D. Agenda 
10. The meeting adopted the following agenda: 

1. Opening of the meeting. 

2. Adoption of the agenda 

3. Organizational matters. 

4. Classification of wastes: 

a) review of wastes placed on list C; 

b) re-arrangement and adjustment of entries for wastes on list A and on list B; 

c) procedural matters related to the preparation of lists of wastes. 

5. Consideration and review of the third revision of the draft position paper on 

hazard characterization and classification of wastes within the framework of the 

Basel Convention. 

6. Modalities for consideration by the fourth meeting of the Conference of the 

Parties on the use of lists of wastes prepared by the Technical Working Group 

and the applicable procedure for their review or adjustment, and draft elements 

for a guidance document on bilateral, multilateral or regional 

agreement/arrangement within the framework of the Basel Convention. 

7. Review of the proposed work programme of the Technical Working Group. 

8. Update on the cooperation between the World Customs Organisation and the 

Secretariat of the Basel Convention concerning the separate identification of 

hazardous wastes in the Harmonised System. 

9. Consideration of the draft illegal traffic report form. 

10. Other matters. 

11. Adoption of the Report. 

12. Closure of the meeting. 

E. Organizational matters 

11. The Chairman proposed to create two sub-working groups. One sub-working 

group was to deal with Metals while the second group was to consider the 

remaining wastes placed on list C. The Sub-working group on Metals was to be 

chaired by Mr. Andreas Moser from Austria. The Sub-working group on the other 

C-listed wastes was to be chaired by Mr. P. Kowlesser from Mauritius. 
III. GENERAL OBSERVATIONS 

12. One expert raised the issue of how to deal with uncertainties in regard to 

placement of wastes on list A or on list B. More specifically, he referred to the 

use of the "de minimis" approach and the need to get figures or data for 

assessing whether or not a hazardous constituent in a waste will make that 

waste hazardous. 

13. Another expert noted on this subject that the TWG at its ninth session (Bonn, 

December 1995) asked national authorities and industry to come up with figures 

(ie: percentage) that could be used in assessing the effects of a hazardous 

constituent on a waste. However, such figures could not be made available. He 

stressed, in this regard, that further work on hazard characterization will help the 

process. 

IV. PLENARY MEETINGS 

AGENDA ITEM 4 (a): REVIEW OF WASTES PLACED ON LIST C 

14. The respective chairpersons of the two Sub-working groups established by 

the TWG reported on the outcome of work on assessing the wastes placed on list 

C. 

15. Based on the report of the two Sub-working groups, the meeting had a 

prolonged discussion on the C-listed wastes C6 (PVC coated cables), C7 

(Scraps of polymers and copolymers) and C8 (Scraps of halogenated polymers). 

The chairman indicated that it may be useful to consider these three categories 

of wastes in a comprehensive manner, noting the difficulties of assigning such 

wastes to list A or list B. 

16. The meeting recognized the need for work by the Sub-working group on 

Metals concerning C1 (Copper compounds) and C2 (Zinc compounds). 

17. The meeting agreed to the following: 

• C5 (Waste brake fluids): To delete from list C and place this waste on the list of 

waste about which particular concern were expressed 

• C9 (Beryllia ceramic compounds): The Group agreed to the recommendation of 

the Informal meeting in Bonn (December 1996) that this waste is already covered 

under both list A and B; consequently it decided to delete this entry from list C 

and not to have a specific entry for C9 on either list A or B 
18. The meeting had an extensive discussion on C3 (Residues arising from 

industrial waste disposal operations) and a small group was established to 

propose some text. 

19. The Chairman proposed to reconvene the two Sub-working groups (with the 

same person chairing the respective groups) to consider the following matters: 

a) one Sub-working group to pursue the review of the application forms 

concerning non-halogenated polymer and copolymer wastes (C7), fluorinated 

polymer wastes (C8) and chlorinated polymer and copolymer wastes (C8). 

b) the other Sub-working group to consider the applications received for mixed 

non-ferrous shredded scrap (USA) and slag from zinc production (Japan), and to 

initiate discussion on the proposal by the electronic industry concerning glass 

waste from cathode-ray tubes and other activated glasses (current entry A6). 

20. The meeting considered the informal application concerning the classification 

of cathode ray tube (CRT) glass. No complete application was available and the 

meeting agreed that the matter would be considered if and when a 

comprehensive application was made. 

21. Further to the presentation by the Chairman of the Sub-working group on 

plastic wastes, the meeting adopted the proposals formulated by the Group on 

non-halogenated polymer and copolymer wastes, fluorinated polymer wastes and 

chlorinated polymer and copolymer wastes with some clarifying text. While 

discussing the placement of these wastes, the meeting recognized that these 

wastes do not have intrinsic hazard characteristics. It also recognized the 

hazardous effects that may arise from the disposal of these wastes. 

22. The expert from Indonesia informed the meeting about her delegation's 

reservation concerning the B entries for Copper compounds and Zinc 

compounds in dispersible form. 

23. One expert expressed concern about the possibility for some Copper 

compounds to be harmful to the aquatic environment. 

24. The expert from India indicated India's reservation on the entry of Zinc ash in 

list B only. 
25. The placement of wastes on list A and on list B as agreed by the meeting are 

described in Annex 1 to this report. Annex 2 includes the wastes placed on list C 

awaiting classification. 

AGENDA ITEM 4 (b): RE-ARRANGEMENT AND ADJUSTMENT OF ENTRIES 

FOR

WASTES ON LIST A AND ON LIST B 

26. The meeting considered the outstanding matters concerning clarification and 

arrangement of entries on list A or on list B. 

27. However, the meeting could not agree, at this point of time, on the proposed 

change of wording (by introducing elements such as repairs or refurbishment) for 

the B list entry "electrical and electronic assemblies (including printed circuit 

boards, electronic components and wires) destined for direct re-use, and not for 

recycling or final disposal". It decided to have the Friends of the Chairman to 

meet again to address this matter. See Annex 3 to this report for the text agreed 

upon by the meeting. 

28. The expert from Australia informed the meeting about the efforts made by 

Australia to correlate entries for wastes controlled by the Hazardous Waste Act 

with the Basel Convention preliminary list A, with OECD number, Annex I and 

Annex III of the Convention, and the Customs code. The expert invited 

comments from other countries on this work. 

29. Annex 3 to this report contains the agreed clarifications or changes to list A or 

list B. 

AGENDA ITEM 4 (c): PROCEDURAL MATTERS RELATED TO THE 

PREPARATION OF LISTS OF WASTES 

30. Further to some discussion on the procedure and comments on the revised 

Application Form and procedure, the Chairman proposed to establish a small 

group to work on the Application Form and procedure. 

31. The question was raised whether States, non-Party to the Convention, can 

transmit an application. It was decided that this question should be further 
considered by the Open-Ended Ad Hoc Committee for the Implementation of the 

Basel Convention in June 1997. 

32. The meeting agreed that the Application Form should be distributed to the 

Focal Point for each Party and Observer State (one copy each). It was 

recognized that there is difficulty for observers from industry and other NGOs in 

obtaining information. It was agreed that the issue of distribution of applications 

to observers should be referred to the Open-ended Ad Hoc Committee for the 

Implementation of the Basel Convention for further consideration. 

33. The meeting agreed that any financial implications resulting from additional 

workload mandated to the Secretariat by the review mechanism system, in 

particular related to the distribution of application forms and attachments, should 

be brought to the attention of the appropriate body responsible for the 

preparation and adoption of the future budget for the implementation of the 

Convention. 

34. Annex 4 to this report contains the Application Form and procedure as 

agreed by the meeting. 

AGENDA ITEM 5: CONSIDERATION AND REVIEW OF THE THIRD REVISION 

OF THE DRAFT POSITION PAPER ON HAZARD CHARACTERIZATION AND 

CLASSIFICATION OF WASTES WITHIN THE FRAMEWORK OF THE BASEL 

CONVENTION 

35. The meeting considered the draft position paper, sought clarifications on a 

number of points and made suggestions for improvement. 

36. The discussion focused on the explanatory text for list A, list B and the 

working list C. In particular, concern was expressed about the way to consider 

wastes on list C and whether Article 1, paragraph 1(b) of the Convention could 

apply to wastes on this working list. One expert suggested that it would be useful 

to have a reference in the Revised Model National Legislation (on the 

management of hazardous wastes as well as on the control of transboundary 

movements of hazardous wastes and their disposal) about lists A and B. 
37. A revised draft position paper will be prepared by SBC incorporating the 

comments made by this meeting and submitted to COP4 together with the 

consolidated lists of wastes A and B, including the applicable procedure for their 

review. 

AGENDA ITEM 6: MODALITIES FOR CONSIDERATION BY THE FOURTH 

MEETING OF THE CONFERENCE OF THE PARTIES ON THE USE OF LISTS 

OF WASTES PREPARED BY THE TECHNICAL WORKING GROUP AND THE 

APPLICABLE PROCEDURE FOR THEIR REVIEW OR ADJUSTMENT, AND 

DRAFT ELEMENTS FOR A GUIDANCE DOCUMENT ON BILATERAL, 

MULTILATERAL AND REGIONAL AGREEMENT/ARRANGEMENT WITHIN 

THE FRAMEWORK OF THE BASEL CONVENTION 

38. The meeting considered the Note by the President of the Extended Bureau of 

COP3 on modalities for incorporating lists of wastes in the Basel Convention. In 

accordance with Decisions III/1 and III/12, the TWG was requested to develop 

"lists of wastes which are hazardous and wastes which are not subject to the 

Convention" (Decision III/1) and "consider ways of taking forward the 

development of lists of hazardous wastes and the applicable procedure for their 

review based on the outcome of the work of the Technical Working Group, in 

particular the outcome of its seventh and eighth sessions as well as further 

developing lists of wastes not covered by the Basel Convention" (Decision III/12). 

39. The meeting agreed that the list A and the list B are very closely linked from 

the technical point of view because, for instance, of the so called "mirror entries" 

and because the list B brings a better clarity to the understanding of the definition 

under the Basel Convention, and only considered together could allow easier 

implementation of the Convention. However, a few experts drew the attention of 

the meeting to the fact that the list B of wastes not covered by the Basel 

Convention could be considered as being outside the scope of the Convention. 

After extensive discussion the meeting agreed that due to technical and 

substantive reasons, the list A and the list B have to be considered together for 
adoption into the system of the Basel Convention. The attention was also brought 

to the need to link both lists to the review mechanism. 

40. The majority of experts expressed the view that list A and list B should be 

adopted into the system of the Basel Convention in a legally binding manner. To 

assure this, some expressed the view that the lists should be adopted as new 

annexes to the Convention, a few preferred an amendment to the existing 

annexes or a protocol. Few others opted for the adoption of list A and list B into 

the system of the Basel Convention by decision of the next meeting of the 

Conference of the Parties. It was mentioned that new annexes may need an 

amendment to the body of the Convention. 

41. The meeting was of the opinion that the system of lists A and B together with 

the review mechanism should be able to maintain long-term flexibility as well as 

adequate legal value. The attention of the meeting was brought to the short time 

before the meeting of the Conference of the Parties. Some experts supported a 

step-by-step approach in deciding on inclusion of the lists and review mechanism 

into the system of the Basel Convention. The meeting agreed that the whole 

package containing list A and list B with link to the review mechanism should be 

presented by the Technical Working Group for the consideration of and adoption 

by the next Conference of the Parties. 

42. The meeting considered the draft elements for a guidance document 

prepared by the SBC concerning bilateral, multilateral or regional 

agreement/arrangement. In doing so, the meeting recognized the difficulties in 

fulfilling the task placed upon it by COP3 in its decision III/1. 

43. A number of suggestions were made on how to carry forward the work. It was 

mentioned that emphasis should be placed on the criteria for environmentally 

sound management as prepared by the TWG and to further expand on the 

questions adopted by the COP for Parties reporting on the conformity of bilateral, 

multilateral or regional agreements or arrangements with the provisions of Article 

11. 
44. A draft framework for guidance elements for bilateral, multilateral or regional 

agreement or arrangement is attached to this report as Annex 5. 

AGENDA ITEM 7: REVIEW OF THE PROPOSED WORK PROGRAMME OF 

THE TECHNICAL WORKING GROUP 

45. The meeting discussed its work programme until COP4 and on a more long 

term basis. The meeting agreed that in addition to the tasks placed upon the 

TWG by COP, there was a need to consider other important issues, such as the 

scope of Annex II to the Convention. 

46. The TWG agreed to the need to provide COP4 with a request for a clear and 

extended mandate to complete tasks, in particular on hazard characterization, to 

consolidate existing activities such as the preparation of technical guidelines and 

undertake new tasks. Several experts mentioned the need to further develop 

technical guidelines on priority waste streams and disposal operations, ie: on 

waste pneumatic tyres and clinical wastes. In this context, the expert from 

Australia informed the meeting that his Government was ready to cooperate 

closely with the Secretariat in preparing a first draft text for technical guidelines 

on clinical wastes. The expert from the Netherlands indicated that his ministry 

was in the process of working on a guidance document concerning waste 

pneumatic tyres in cooperation with both industry and other NGOs. 

47. SBC was requested by the meeting to prepare a list of activities completed by 

the TWG as well as a list of proposed activities to be carried out by both the 

TWG and SBC during 1998 and the next biennium (1999-2000). The Secretariat 

informed the meeting that the list of activities undertaken or completed by the 

TWG for consideration by COP4 will be submitted in the form of reports with 

proposals for future actions to the next meeting of the Extended Bureau (in June 

1997) and then, through the Extended Bureau meeting in October 1997 to COP4. 

SBC will work on the preparation of these reports, including proposals for future 

actions, in consultation with the President of COP3 and is in close cooperation 

with the Chairman of the TWG and other members of TWG. In this regard, the 
meeting may wish to see the list of the future work programme activities of the 

TWG be presented as a separate subject to COP4. 

AGENDA ITEM 8: UPDATE ON THE COOPERATION BETWEEN THE WORLD 

CUSTOMS ORGANISATION AND THE SECRETARIAT OF THE BASEL 

CONVENTION CONCERNING THE SEPARATE IDENTIFICATION OF 

HAZARDOUS WASTES IN THE HARMONISED SYSTEM 

48. The meeting considered the draft report prepared by SBC on the possible 

relationship between the wastes placed on list A and on list B and The 

Harmonized Commodity Description and Coding System (HS). 

49. The meeting agreed that this work is required and that it was important to 

further review the relationship between the Basel Convention and HS 

nomenclature. 

50. The meeting, for this purpose, agreed to the proposal of the Chairman to 

invite Australia and India to work with SBC and the World Customs Organization 

(WCO) in consolidating this work. The Chairman invited governments, industry 

and other NGOs to provide comments on the draft report to SBC by the end of 

April 1997. 

AGENDA ITEM 9: CONSIDERATION OF THE DRAFT ILLEGAL TRAFFIC 

REPORT FORM 

51. The meeting considered the revised draft form for confirmed cases of illegal 

traffic and was of the opinion that the form as presented is practicable and 

workable. 

52. The meeting made a number of suggestions for improving the format and 

content of the form. The new revised form is attached as Annex 6 to this report. 

V. OTHER MATTERS 

53. The European Commission, France, the Netherlands and the United 

Kingdom expressed their concern about the difficulties in classifying coal fired 

power plant fly ash. 

54. The meeting was informed that one Party, Monaco, requested that it should 

be added to the Annex VII of the Amendment to the Basel Convention. This 
amendment proposal will be distributed to all Contracting Parties, and 

Signatories of the Convention for information, and considered at the Fourth 

meeting of the COP. 

55. The meeting was informed about the ongoing activities of the Secretariat and 

Contracting Parties in the process of establishment of Regional Centres for 

Training and Technology Transfer for minimization of generation of hazardous 

wastes and their environmentally sound disposal; in this context the Secretariat 

and the representative of Senegal requested Contracting Parties and observers 

to consider providing financial support for the organization of the upcoming 

meeting in Dakar, Senegal, for the establishment of a Centre for francophone 

Africa. The Government of France was thanked for their readiness to support the 

organization of the meeting; however, additional financial support is required to 

organize this meeting. The meeting was informed that the Centre in Slovakia, 

whose operation has been supported by the Government of Switzerland, has 

already started its activities. 

56. The Secretariat was requested to ensure that the lists of wastes prepared by 

TWG would be, as far as possible, translated into French as well as in other U.N. 

languages. In this connection, France expressed support for this request. 

57. The meeting was informed about the ongoing session of the Ad Hoc 

Intersessional Working Group of the Commission on Sustainable Development 

(CSD) which is meeting from 24 February to 7 March 1997 and which is, inter 

alia, considering the draft report of the Secretary General on Implementation of 

Chapter 20 of Agenda 21 namely, Environmentally Sound Management of 

Hazardous Wastes, including the Prevention of Illegal International Traffic in 

hazardous wastes. 

58. The President of COP3 requested the Secretariat to report to this meeting on 

its cooperation with the United Nations Commission on Human Rights, in 

particular on matters related to illegal traffic in hazardous wastes. The Secretariat 

informed the meeting that it has met with the Special Rapporteur of the 

Commission on Human Rights on this subject and that the Commission was 
comprehensively informed about activities of the Secretariat and Contracting 

Parties of the Basel Convention on the prevention and monitoring of illegal traffic 

in hazardous wastes as well as on how the Secretariat and Parties deal with 

cases of illegal traffic. The Commission was provided with all necessary 

documentation. The SBC will get into contact again with the Commission to 

obtain further information on the work of the Special Rapporteur on this subject. 

VI. CLOSURE OF THE MEETING 

59. The Chairman of the TWG expressed thanks to all participants, Parties, 

States non-Parties, industry and Greenpeace for their hard work, active 

participation and spirit of cooperation which has enable the TWG to complete the 

preparation of lists of wastes. 

60. The Chairman declared the meeting closed at 13.15hr. on 28 February 1997. 

ANNEX 1 

New entries on list A and on list B 

List A 

• Fellmongery wastes containing hexavalent chromium compounds or biocides or 

infectious substances (Note the related entry on list B No. ) 

• Ashes from the incineration of insulated copper wire 

• Dusts and residues from gas cleaning systems of copper smelters 

• Spent electrolytic solutions from copper electrorefining and electrowinning 

operations 

• Waste sludges, excluding anode slimes, from electrolyte purification systems in 

copper electrorefining and electrowinning operations 

• Spent etching solutions containing dissolved copper 

• Waste cupric chloride and copper cyanide catalysts 

• Waste zinc residues not included on list B, containing lead and cadmium in 

concentrations sufficient to exhibit Annex III characteristics (Note the related 

entry on list B No. ) 

List B 

• Fellmongery wastes not containing hexavalent chromium compounds or biocides 

or infectious substances (Note the related entry on list A No. ) 
• Wastes of refractory linings, including crucibles, originating from copper 

smelting 

• Wastes of copper and copper alloys in dispersible form, unless they contain 

Annex 1 constituents to an extent that they exhibit Annex III characteristics 

• 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 H4.31

 

• Mixed non-ferrous metal, heavy fraction scrap, not containing Annex I materials 

in concentrations sufficient to exhibit Annex III characteristics 2

 

• Slag from zinc production, chemical stabilized, having a high iron content (above 

20%) and processed according to industrial specifications (eg.: DIN 4301) mainly 

for construction 

• Fluorinated polymer wastes3: 

• Perfluoroethylene/propylene (FEP) 

- Perfluoroalkoxy alkane (PFA) 

- Perfluoroalkoxy alkane (MFA) 

- Polyvinylfluoride (PVF) 

- Polyvinylidenefluoride (PVDF) 

ANNEX 2 

Wastes placed on list C awaiting classification 

C1 4PVC coated cables 

C2 4Fluorinated polymer wastes 

- Polytetrafluoroethylene (PTFE) 

- Ethylene/Tetrafluoroethylene (ETFE) 

C3 Chlorinated polymer and copolymer wastes 

- Polyvinyl chloride 

- Polyvinylidene chloride 

C4 5Residues arising from industrial waste disposal operations 

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

with UNCTAD that zinc ashes should not be dangerous goods. 

2 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. 

3 . post-consumer wastes are excluded from this entry 

. wastes shall not be mixed 

. problems arising from open-burning practices to be considered 

4 . lack of clarity on the use of Annex III H 13 characteristic 

. difficulties arising from the disposal of these wastes (ie: open burning) 

. the need to consider the scope of Annex II to the Basel Convention 

5 . need to clarify the scope and meaning of the term "industrial waste disposal 

operations" 

. recognition that the industry proposal had focused on final residues from the 

specialist waste management contracting sector, but that the issue could be 

much wider. 

. whether it was the intention to address only the operations listed on Part A of 

Annex IV, and if so, whether all such operations should be covered, irrespective 

of whether they were specialist contracting facilities, or integral parts of other 

industrial and production activities 

. identification of specific waste streams which might be candidates for either list, 

together where appropriate, with any information on the nature of the waste and 

scale of transboundary movements 

. consideration of replacing residues by wastes. 

ANNEX 3 

Modifications agreed by the TWG concerning the 

preliminary consolidated lists A and B 

1. The title of list A shall read: 

"Wastes characterized as hazardous under Article 1 paragraph 1(a) of the 

Convention" 
2. Entry A42; add the following footnote (same reference as in A24): 

"PCB are at a concentration level of 50 mg/kg or more" 

3. Reintroduce footnote for A24: 

"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 (eg: 20 mg/kg) for specific wastes"

4. Add a new entry on list B after Selenium and Tellurium to include: 

"Refractory metals containing residues" 

5. Revised text for B2: 

"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". 

6. B8 The meeting agreed to the following change of wording: 

"The following materials, provided they are not mixed with hazardous wastes"

7. B14 Revised text: 

"Scrap plastic of non-halogenated polymers and copolymers, including but not 

limited to" 

Add footnote: It is understood that such scrap are completely polymerized 

8. B24 Delete the text in brackets and associated footnote 

9. B33 The meeting agreed to add "inks" after paint to be consistent with the 

entry on list A (A41) 

10. B37 Change text as follows: 

"eg: water based, or glues based on casein, starch, dextrin, cellulose ethers, 

polyvinyl alcohols (Note the related entry on list A No. ) 

11. B45 The meeting agreed to add a comma after cameras to show clearly that 

it is the batteries that are not included on list A. The Netherlands has lifted 

reservation against this entry so footnote to be deleted. 

12. B46 The following text was to be added after "transition metals": 

"Excluding waste catalysts (spent catalysts; liquid used catalysts or other 

catalysts) on list A" 
13. B entry: Electrical and electronic assemblies 

- Add "waste" in front of second indent 

- Add footnote to "direct re-use" reading: "Re-use can include repair, 

refurbishment or upgrading, but not major reassembly" 

14. Addition of term waste in front of the following entries: 

List A: 

A51: Replace the entry "Ethers not including those specified on list B"with "Waste 

ethers..." 

List B: 

B : Replace the entry "Selenium and Tellurium in metallic elemental form 

including powder" with "Waste Selenium and Tellurium ..." 

B26: Replace the entry "Photographic film containing silver halides and metallic 

silver" with "Waste photographic film ..." 

B27: Replace the entry "Photographic paper containing silver halides and 

metallic silver" with "Waste photographic paper ..." 

B22: Replace the entry "Gypsum arising from the chemical industry processes 

not included on list A" with "Waste gypsum ..." 

B41: Replace the entry "Polymer ethers and non-hazardous monomer ethers 

incapable of forming peroxides" with "Waste polymer ethers and waste nonhazardous monomer ethers..." 

B45: Replace the entry "Single use cameras, with batteries not included on list A" 

with "Used single ..."

ANNEX 4 

Application Form for the placement or removal 

of wastes on lists A or B 

A. WASTE IDENTIFICATION 

1. Proposed wording for the placement (or replacement wording for existing 

category) 
2. Name of the Waste: 

3. Origin of the Waste: 

4. Physical form: 

5. Major constituents: 

6. Typical contaminants: 

7. Waste Code: UN Class ____ UN number ____ 

IWIC ____ OECD ____ 

EWC ____ Others (e.g. Harmonized System Code, BIR, ISRI, IPMI, etc.) 

8. Enter all relevant Y numbers 

9. Hazardous characteristics 

�H3 �H4.3 �H6.2 � H32 

� H3 �H5.1 �H8 �H33 

� H4.1 � H5.2 � H30 

� H4.2 � H6.1 � H31 

B. PROPOSED PLACEMENT PROPOSED REMOVAL 

List A � From List A � 

List B � From List B � 

C. NATIONAL DEFINITION 

Is the waste legally defined as or considered to be hazardous in the country 

submitting the application? 

Yes � No �

D. COMMERCIAL CLASSIFICATION 

Is the waste routinely traded through established channels and is that evidenced 

by commercial classifications? 

Yes � No �

SUMMARY OF REASONS FOR PROPOSED PLACEMENT 

NB: A detailed case (no more than 8 additional pages) should be attached 

considering the category(ies) in Annex I to the Basel Convention under which the 

waste falls with evidence demonstrating that the waste does or does not exhibit 

any of the hazard characteristics in Annex III to the Convention (see guidance - 
to be drafted). Additional material may be submitted in the form of annexes or 

attachments. All such annexes or attachments must be listed in the Application 

Form together with instructions on how to obtain these documents. 

1. NAME OF APPLICANT 

Name: 

Address: 

Tel: 

Fax: 

E-mail: 

Party � Observer State � NGO � Company � Individual � 

____________________ ____________________ 

(Signature) (Stamp) 

F. AUTHORITY TRANSMITTING APPLICATION 

Name: 

Address: ____________________ 

Tel: 

Fax: 

E-mail: ____________________ 

Date of transmission: 

(Stamp) (Signature) 

This Application Form may include up to 8 additional pages. 

APPLICATION FORM PROCEDURE

Who is to complete the Form (applicant)? 

Any Contracting Party, observer State, NGO, private company or individual has 

the right to fill in the Application Form with the proposed placement of wastes 

under list A or list B, or with a proposal for removing wastes from list A , list B or 

working list C. 
Procedure for transmission of the Form 

• The applicant must present the Application Form with any supporting annexes 

and attachments to national authorities for the Basel Convention. 

• The Competent Authority and/or Focal Point should consider the Application 

Form with any supporting annexes and attachments and only forward it to the 

SBC if it is properly completed and if it considers the completed application 

provides sufficient information for the TWG to reach a decision. 

• It is for the national authority to decide how the Application Form will be 

forwarded to the Secretariat of the Basel Convention. Normally, the Competent 

Authority or Focal Point of the Basel Convention will be responsible for 

transmitting the Form to SBC. For those Parties that have more than one 

Competent Authority, they will need to decide through which Competent 

Authority the Form should be forwarded to SBC. 

• The TWG will consider the application at its next meeting provided it is received 

by the SBC within the timeframe outlined below. 

Time-frame for application

• The Application Form for placement or removal of wastes has to be submitted to 

SBC at least three months prior to the meeting of the TWG. The Secretariat will 

despatch completed applications within two months of the date of the next TWG 

meeting. 

• Competent Authorities and/or Focal Points are requested to make available any 

annexes or attachments to all Focal Points of the Basel Convention and to advise 

the SBC that this is done. 

• If a Competent Authority and/or Focal Point is unable to make available any 

annexes or attachments to all Focal Points of the Basel Convention, they may 

request the Secretariat to undertake this function. 

• In exceptional circumstances, a Party may communicate a proposal(s) for 

placement or removal of wastes six weeks before the meeting of the Technical 

Working Group if such proposal(s) cannot be sent to SBC within the three month 

deadline. The Party, in this case, would need to send the proposal(s) to all other 

Focal Points as well as to SBC. The TWG would endeavour to consider such 

applications at its next meeting. 
ANNEX 5 

Draft 

Guidance elements for bilateral, multilateral 

or regional agreement or arrangement 

Framework 

1. PURPOSE

It is in the wider global interest that hazardous wastes are dealt with in an 

environmentally sound manner. It is often the case that these wastes will arise at 

locations where suitable facilities do not exist and that a transboundary 

movement may be required to enable access to suitable facilities. Any 

transboundary movement of hazardous wastes involving a Party and a non-Party 

as an exporter, importer or as a country of transit, is prohibited unless a bilateral, 

multilateral or regional agreement or arrangement is in place. It is therefore 

important that such agreements are designed to meet the objectives of the Basel 

Convention and to assist both Parties and non-Parties lacking adequate capacity 

to manage their own wastes in an environmentally sound manner. 

It is also the case that transboundary movements may be desirable, in the 

interest of efficient use of resources within a region, and for the purposes of 

reducing environmental risk. 

2. REQUIREMENTS

The provisions of the Basel Convention are minimum requirements in any 

agreement or arrangement 

3. SCOPE

a) The framework of the Basel Convention 

b) The environmentally sound management of hazardous wastes and other 

wastes subject to the Basel Convention 

c) Decision III/1 of the Third meeting of the Conference of the Parties to the 

Basel Convention 

4. OPTIONAL CONSIDERATIONS 

- considerations that may be given in developing such agreements and 
arrangements: 

- time consideration, limitation of waste streams, sources and destination; 

limitation of facilities; restrictions on routing or modes of transport, packaging and 

labelling; assessment of facilities, operations or of legislation; requirement of 

wastes as a raw material for recycling or recovery industries in the State of 

import, etc. 

5. ADDITIONAL CONSIDERATIONS

Basic principles will vary from country to country recognizing that cost and 

economic efficiency are considerations in developing a waste management 

strategy. 

Some principles that merit further consideration include: 

- Least transboundary movements principle 

- self-sufficiency principle 

- proximity principle 

- integrated life-cycle principle 

these principles can be considered jointly with: 

- flexibility according to specific needs or situation, producer responsibility 

6. OTHER USEFUL ELEMENTS

- information on environmental and health effects of wastes subject to agreement 

or arrangement 

- occurrence of problems/incidents 

- legislation regulating existing facilities 

- technical assistance 

ANNEX 6 

(Draft Form for) 

CONFIRMED CASES OF ILLEGAL TRAFFIC 

A. TRANSMITTING AUTHORITY 

Name: 
Address: 

Tel: 

Fax: 

E-mail: 

Date of transmission: 

Party 

Competent Authority � Focal Point � National Authority � 

B. REPORTING BODY 

Name: 

Address: 

Tel: 

Fax: 

E-mail: 

Party � Observer State � NGO � Company � 

C. DESCRIPTION OF THE ILLEGAL ACT 

C.1. Act(s) found to be illegal traffic (please include information on which Basel 

Convention provisions has (have) been contravened)

Description: 

If more space required, please use additional sheet(s) 

C.2. Name of States affected by the illegal traffic (i.e. country of origin, transit or 

destination): 

 

C.3. Brief description of the waste(s) subject to the illegal act, including modes of 

transport, place of discovery, environmental conditions of the location: 

 

Date of discovery of the wastes: 

C.4. Date of the infraction: 

Day Month Year 
Infraction: _____ _____ _____ 

D. WASTE IDENTIFICATION 

D.1. Description of the waste: 

Name of the Waste: 

Origin of the Waste: 

Physical form: 

Major constituents: 

Typical contaminants: 

Volume/Quantity of wastes: 

Waste Code: Y number(s) ____ ____ ____ UN Class ____ 

H number(s) ____ ____ ____ UN number ____ 

IWIC ____ OECD ____ HS ____ 

EWC ____ 

D.2. Sampling and testing: 

Results: 

 

D.3. Other relevant information (e.g. containment appearance, etc.): 

 

E. DETECTION OF ILLEGAL TRAFFIC, TYPES OF DAMAGES, REMEDIAL 

ACTIONS AND DISPOSAL 

E.1. Detection of illegal traffic: 

By whom: 

Where: 

When: 

E.2. Damages: 

Details of type and extent of known damages: 

E.3. Remedial actions: 

Type of action(s): 
Date: 

Cost: 

Allocation: 

E.4. Final disposal of wastes subject to illegal traffic (i.e. measures taken, State 

of disposal, etc.) 

 

F. PUNISHMENT 

F.1. State of conviction: 

F.2. Date of conviction: 

Day Month Year 

Conviction: _____ _____ _____ 

F.3. Description of punishment by the authority in the State of conviction: 

If more space required, please use additional sheet(s) 

Authority completing the Form shall forward a copy to all Competent Authorities 

or Focal Points in the State(s) concerned as appropriate.