### 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 TECHNI CAL WORKING GROUP

I. INTRODUCTION 1. The twelfth session of the Tec hnical Working Group (TWG) too k 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 C onference of the Parties at its third m eeting. II. PROCEEDINGS OF THE MEETING A. Opening of the meeting 3. The Chairman of the Technica l Working Group, Mr. Andreas Jar on, welcomed the participants. He referred to the need to progress with the work on lists and the applicable procedure for t heir review. He emphasized that t his is the last opportunity for the TWG to complet e its work for consideration by the Fourth meeting of the Confer ence of the Parties. He then invited the E xecutive Secretary to addre ss the meeting.

4. The Executive Secretary in her opening words, thanked the Go vernment of Switzerland for providing the SB C with the conference facilitie s and theGovernment of Denmark for assist ing in organization of the meet ing. She emphasized that the TWG has a v ery broad mandate and she referr ed to the need for the finalization of lis ts of wastes and the applicable procedure for their review at this meeting. This Gr oup is also requested to work fu rther on hazard characterization of wastes and to provide technical guidance on bilateral, multilateral or regional agreement s or arrangements concluded w ithin the framework of the Basel Conventio n. She also introduced the stat e of discussion on modalities for incorporating the lists of wastes into the sy stem of the Basel Convention. The President of C OP3 and Extended Bureau decided t o circulate a Note from the President on this t opic for consideration by the TWG meeting. The Executive Secretary also stress ed that this was the last meetin g of the TWG before COP4. It was therefore ess ential to complete the tasks p laced upon the TWG by the COP3. She informed t he meeting that the next COP wil l be held in Kuala Lumpur (6-10 Oc tober 1997), at the invitation of the Gove rnment of Malaysia. In this respect, she took the opportunity to thank th e Governments of Japan, Denmark, Finland, Norwa y and Sweden and the European Com mission for their readiness to provide fi nancial support for the meetin g of the Conference of the Parties. Concerning the Amendment (Decision III/1) she i nformed the meeting that Finland had ratified it and that some other Partie s indicated their intention to ratify it. Finally , the Executive Secretary indica ted that a number of developing countries were in the process of acceding to the Con vention. She also expressed hope that the re maining developed countries woul d soon become Party to the Basel Convention. B. Attendance 5. The meeting was attended by ex perts designated by the follow ing Parties to the Convention: Antigua and Bar buda, Argentina, Australia, Aust ria, Bahamas, Bahrain, Bangladesh, Belgium, B razil, Canada, Chile, China, Cos ta Rica, Croatia, Cuba, Cyprus, Czech Re public, Denmark, Ecuador, Egypt, El Salvador, Estonia, European Community, Fin land, France, Germany, Guinea, Hungary, India, Indonesia, Italy, Japan, Jordan, Lebanon, Luxembourg, Ma laysia,Mauritius, Mexico, Morocco, Net herlands, New Zealand, Nigeria, Norway, Pakistan, Panama, Philippines, P oland, Qatar, Republic of Korea , Romania, Russian Federation, Saudi Arabi a, Senegal, Singapore, Slovakia, Slovenia, South Africa, Spain, Sri Lanka , Sweden, Switzerland, Syrian Ara b Republic, Tunisia, United Kingdom of Gr eat Britain and Northern Ireland, United Republic of Tanzania, Uzbekistan and Zambia. 6. The following observer States were represented: Haiti, Thail and and the United States of America. 7. The following intergovernment al organizations were represent ed: International Lead and Zinc Study Group (ILZSG), Organisation for Economic Co operation and Development (OECD), United Nations Conference on Trade and Development (UNCTAD), United Na tions Economic Commission for Eu rope (UNECE), United Nations Industria l Development Organization (UN IDO) and the World Trade Organization (WTO). 8. Greenpeace and the following i ndustry non-governmental organ izations were represented at the meeting: Associ ation Force Ouvriere Consomma teurs (AFOC), Bureau of International R ecycling (BIR), European Assoc iation of Metals (EUROMETAUX), European Chemical I ndustry Council (CEFIC), Europ ean Federation of Waste Management and Environmental Services (FEAD ), European Metal Trade and Recycling Federation (EUROMETREC), Ins titute of Scrap Recycling Industries, Inte rnational Chamber of Commerce ( ICC), International Precious Metals Institute (IPMI), Japan Mining In dustry Association, Japan PVC Association, and Waste Minimization Technology Intern ational, Inc. (WMTI). C. Officers 9. The following officers constitu ted the Bureau of the meeting : Mr. Andreas Jaron, Germany, Chairperson Mrs. Lakshmi Raghupathy, India, Vice-Chairperson Mr. Ibrahima Sow, Senegal, Rapporteur D. Agenda10. The meeting adopted t he 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 o f entries for wastes on list A and on list B; c) procedural matters related to the preparation of lists of wa stes. 5. Consideration and review of t he third revision of the draft position paper on hazard characterization and classi fication of wastes within the framework of the Basel Convention. 6. Modalities for consideration by the fourth meeting of the Co nference 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, an d draft elements for a guidance document on bilatera l, multilateral or regional agreement/arrangement within the fr amework of the Basel Convent ion. 7. Review of the proposed work pr ogramme of the Technical Worki ng Group. 8. Update on the cooperation betw een the World Customs Organisa tion and the Secretariat of the Basel Conventio n concerning the separate ide ntification 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 w hile the second group was to con sider the remaining wastes placed on lis t C. The Sub-working group on Met als was to be chaired by Mr. Andreas Moser fro m Austria. The Sub-working grou p on the other C-listed wastes was to be chaire d by Mr. P. Kowlesser from Maur itius.III. GENERAL OBSERVATIONS 12. One expert raised the issue of how to deal with uncertainti es in regard to placement of wastes on list A or on list B. More specifically, he referred to the use of the "de minimis" approac h and the need to get figures ordata for assessing whether or not a hazar dous constituent in a waste wil l make that waste hazardous. 13. Another expert noted on this subject that the TWG at its ni nth session (Bonn, December 1995) asked national aut horities and industry to come up with figures (ie: percentage) that could be us ed 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 character ization 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 e stablished by the TWG reported on t he outcome of work on assessing the wastes placed on list C. 15. Based on the report of the tw o Sub-working groups, the meet ing had a prolonged discussion on the C-listed wastes C6 (PVC coated cabl es), C7 (Scraps of polymers and copolym ers) and C8 (Scraps of halogenat ed polymers). The chairman indicated that it may be useful to consider these three categories of wastes in a comprehensive ma nner, 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 c ompounds) and C2 (Zinc compounds)

. 17. The meeting agreed to the following:

• C5 (Waste brake fluids): To delete fro m list C and place this waste on the list of waste about which particularconcern were expressed

• C9 (Beryllia ceramic compounds): The Gr oup 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 de cided to delete this entry from list C and not to have a specific entry for C9 on either list A or B18. The meeting had an extensive discussion on C3 (Residues ari sing from industrial waste disposal operat ions) and a sma ll group was est ablished to propose some text. 19. The Chairman proposed to reconv ene the two Sub-working grou ps (with the same person chairing the respec tive groups) to consider the fol lowing matters: a) one Sub-working group to purs ue the review of the applicatio n forms concerning non-halogenat ed polymer and copolym er wastes (C7), f luorinated polymer wastes (C8) and chlorina ted polymer and copolymer waste s (C8). b) the other Sub-working group to consider the applications rec eived 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 (curre nt entry A6). 20. The meeting considered the informal application concerning the classification of cathode ray tube (CRT) glass. N o complete application was av ailable and the meeting agreed that the matter would be considered if and when a comprehensive applic ation was made. 21. Further to the presentation by the Chairman of the Sub-work ing group on plastic wastes, the meeting adopted the proposals formulated by the Group on non-halogenated polymer and copolym er wastes, fluorinated polym er wastes and chlorinated polymer and copolymer wastes with some clarifying t ext. While discussing the placement of thes e wastes, the meeting recognize d that these wastes do not have intrinsic haz ard characteristics. It also re cognized the hazardous effects that may arise f rom the disposal of these was tes. 22. The expert from Indonesia info rmed the meeting about her de legation's reservation concerning the B entries for Copper compounds and Z inc compounds in dispersible form. 23. One expert expressed concer n about the possibility for some Copper compounds to be harmful to the aquatic environment. 24. The expert from India indicate d 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 b y the meeting are described in Annex 1 to this report. Annex 2 includes the waste s placed on list C awaiting classification. AGENDA ITEM 4 (b): RE-ARRANGE MENT AND ADJUSTMENT OF ENTRIES FOR WASTES ON LIST A AND ON LIST B 26. The meeting considered the outstanding matters concerning c larification 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 r efurbishment) for the B list entry "electrical and electronic assemblies (includi ng printed circuit boards, electronic co mponents 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 matte r. See Annex 3 to this report for the text agreed upon by the meeting. 28. The expert from Australia inf ormed the meeting about the ef forts made by Australia to correlate entries fo r wastes controlled by the Haz ardous Waste Act with the Basel Convention prelim inary list A, with OECD number, Annex I and Annex III of the Convention, and the Customs code. The expert i nvited comments from other countries on this work. 29. Annex 3 to this report contai ns the agreed clarifications o r changes to list A or list B. AGENDA ITEM 4 (c): PROCEDUR AL 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, t he Chairman proposed to establ ish a small group to work on the Applic ation Form and procedure. 31. The question was raised whetherStates, non-Party to the Co nvention, can transmit an application. It was decided that this question shou ld be furtherconsidered by the Open-Ended Ad H oc Committee for the Implement ation of the Basel Convention in June 1997. 32. The meeting agreed that the Applicati on Form should be dist ributed to the Focal Point for each Party and Ob server State (one copy each). It was recognized that there is difficu lty for observers from industry and other NGOs in obtaining information. It was agr eed that the issue of distribu tion of applications to observers should be referr ed to the Open-ended Ad Hoc Commit tee for the Implementation of the Basel Conv ention for further consideratio n. 33. The meeting agreed that any f inancial implications resultin g from additional workload mandated to the Secretar iat by the review mechanism sy stem, in particular related to the distri bution of application forms and attachments, should be brought to the attention of t he appropriate body responsible for the preparation and adoption of the fu ture budget for the implement ation of the Convention. 34. Annex 4 to this report contains the Application Form and pr ocedure as agreed by the meeting. AGENDA ITEM 5: CONSIDERATION AND REVIEW OF THE THIRD REVISION OF THE DRAFT POSITION PAPER ON H AZARD CHARACTERIZATION AND CLASSIFICATION OF WASTES WITHIN THE FRAMEWORK OF THE BASEL CONVENTION 35. The meeting considered t he draft position paper, sought cla rifications on a number of points and made sugg estions for improvement. 36. The discussion focused on t he explanatory text for list A, list B and the working list C. In particular, c oncern was expressed about the way to consider wastes on list C and whether Art icle 1, paragraph 1(b) of the C onvention could apply to wastes on this working list. One expert suggested that it would be useful to have a reference in the Revi sed Model National Legislation ( on the management of hazardous wastes as w ell as on the control of tra nsboundary movements of hazardous wastes and their disposal) about lists Aand B.37. A revised draft position pape r will be prepared by SBC inco rporating the comments made by this meeting and submitted to COP4 together wi th 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 TECHN ICAL WORKING GROUP AND THE APPLICABLE PROCEDURE FOR THEIR REVIEW OR ADJUSTMENT, AND DRAFT ELEMENTS FOR A GUIDAN CE DOCUMENT ON BILATERAL, MULTILATERAL AND REGIONAL AGR EEMENT/ARRANGEMENT WITHIN THE FRAMEWORK OF T HE BASEL CONVENTION 38. The meeting considered the No te by the President of the Ext ended Bureau of COP3 on modalities for incorpor ating lists of wastes in the Bas el Convention. In accordance with Decisions III/1 and III/12, the TWG was request ed to develop "lists of wastes which are hazar dous and wastes which are not s ubject to the Convention" (Decision III/1) and "c onsider ways of taking forwa rd the development of lists of hazardous wastes and the applicable pro cedure for their review based on the outcome of t he work of the Technical Workin g Group, in particular the outcome of its s eventh and eighth sessions as we ll as further developing lists of wastes not covered by the Basel Convention" (Decision III/12). 39. The meeting agree d that the list A and the list B are very closely linked from the technical point of view becau se, for instance, of the so ca lled "mirror entries" and because the list B brings a better clarity to the understan ding of the definition under the Basel Convent ion, and only cons idered together could allow easier implementation of the Convention. However, a few experts drew t he attention of the meeting to the fact that the list B of wastes not covered b y the Basel Convention could be considered as being outside the scope of th e Convention. After extensive discussion the meeting agreed that due to techn ical and substantive reasons, the list A and the list B have to be consi dered together foradoption 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 exp ressed the view that list A and list B should be adopted into the system of the Base l Convention in a legally bi nding manner. To assure this, some expressed t he view that the lists should be a dopted as new annexes to the Convention, a few preferred an amendment to the existing annexes or a protocol. Few other s opted for the adoption of lis t A and list B into the system of the Basel Conventio n by decision of the next meet ing of the Conference of the Parties. It w as mentioned that new annexes ma y need an amendment to the body of the Convention. 41. The meeting was of the opini on that the system of lists A a nd B together with the review mechanism should be abl e to maintain long-term flexi bility as well as adequate legal value. The attenti on 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 decidin g on inclusion of the lists and review mechanism into the system of the Basel Co nvention. The meeting agreed tha t the whole package containing list A and lis t B with link to the review me chanism should be presented by the Technical Worki ng Group for the consideration of and adoption by the next Conference of the Parties. 42. The meeting considered the draft elements for a guidance do cument prepared by the SBC concerning bila teral, multilateral or regio nal agreement/arrangement. In doing so, the meeting recognized the difficulties in fulfilling the task placed upon i t by COP3 in its decision III/ 1. 43. A number of suggestions were made on how to carry forward t he work. It was mentioned that emphasis should be placed on the criteria for en vironmentally sound management as prepared by t he TWG and to further expand o n the questions adopted by the COP for Pa rties reporting on the confo rmity of bilateral, multilateral or regional agreem ents or arrangement s with the pr ovisions of Article 11.44. A draft framework for guidanc e elements for bilateral, mult ilateral or regional agreement or arrangement is atta ched to this report as Annex 5. AGENDA ITEM 7: REVIEW OF THE P ROPOSED WORK PROGRAMME OF THE TECHNICAL WORKING GROUP 45. The meeting discussed its wo rk programme until COP4 and on a more long term basis. The meeting agreed that in addition to the tasks pl aced upon the TWG by COP, there was a need to c onsider other important issues , such as the scope of Annex II to the Convention. 46. The TWG agreed to the need to p rovide COP4 with a request for a clear and extended mandate to complete tasks , in particular on hazard cha racterization, to consolidate existing activities such as the preparation of tech nical guidelines and undertake new tasks. Several experts mentioned the need to furt her develop technical guidelines on prioritywaste streams and disposal ope rations, ie: on waste pneumatic tyres and clinic al 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 fo r technical guidelines on clinical wastes. The expert fro m the Netherlands indicated t hat his ministry was in the process of working on a guidance document concerning waste pneumatic tyres in cooperation wit h both industry and other NGO s. 47. SBC was requested by the meeti ng to prepare a list of activ ities completed by the TWG as well as a list of pr oposed 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 lis t of activities undertaken or completed by the TWG for consideration by COP4 wil l be submitted in the form of reports with proposals for future actions to the next meeting of the Extende d 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 pr oposals for future actions, in consultation with t he President of COP3 and is in c lose cooperation with the Chairman of the TWG and other members of TWG. In this regard, themeeting may wish to see the lis t of the future work programme a ctivities of the TWG be presented as a separate subject to COP4. AGENDA ITEM 8: UPDATE ON THE C OOPERATION BETWEEN THE WORLD CUSTOMS ORGANISATION AND THE SECRETARIAT OF THE BASEL CONVENTION CONCERNING THE S EPARATE 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 Descrip tion and Coding System (HS). 49. The meeting agreed that this work is required and that it w as important to further review the relationship between the Basel Convention an d HS nomenclature. 50. The meeting, for this purpos e, agreed to the proposal of th e Chairman to invite Australia and India to w ork with SBC and t he World Custo ms Organization (WCO) in consolidating this wor k. The Chairman invited governme nts, industry and other NGOs to provide comment s on the draft report to SBC b y the end of April 1997. AGENDA ITEM 9: CONSIDERATION OF THE DRAFT ILLEGAL TRAFFIC REPORT FORM 51. The meeting considered the re vised draft form for confirmed cases of illegal traffic and was of the opinion th at the form as presented is pr acticable and workable. 52. The meeting made a number of suggestions for improving the format and content of the form. The new revis ed form is attached as Annex 6 to this report. V. OTHER MATTERS 53. The European Commission, France , the Netherlands and the Un ited Kingdom expressed their concer n about the difficulties in class ifying coal fired power plant fly ash. 54. The meeting was informed th at one Party, Monaco, requested that it should be added to the Annex VII of the Am endment to the Basel Convent ion. Thisamendment proposal will be distributed to all Contracting Parti es, and Signatories of the Convention fo r information, and considered a t the Fourth meeting of the COP. 55. The meeting was informed about the ongoing activities of th e Secretariat and Contracting Parties in the proc ess of establishment of Regional Centres for Training and Technology Transfer for minimization of generation of hazardous wastes and their env ironmentally sound disposal; in this contex t the Secretariat and the representative of Senegal r equested Contracting Parties and observers to consider providing financial support for the organization of the upcoming meeting in Dakar, Senegal, for th e establishment of a Centre fo r francophone Africa. The Government of France was thanked for their readines s to support the organization of the meeting; however, additional financial supp ort is required to organize this meeting. The meeti ng was informed that the Centre in Slovakia, whose operation has been support ed by the Government of Switzer land, has already started its activities. 56. The Secretariat was requested to ensure that the lists of w astes prepared by TWG would be, as far as possible , translated into French as wel l as in other U.N. languages. In this connection, Franc e expressed support for thi s request. 57. The meeting was informed about the ongoing session of the A d Hoc Intersessional Working Group of the Commission on Sustainable D evelopment (CSD) which is meeting from 24 February to 7 March 1997 and whi ch is, inter alia, considering the draft report of the Secretary General on Implementation of Chapter 20 of Agenda 21 namely, Env ironmentally Sound Managemen t of Hazardous Wastes, including the Prevention of Illegal Internati onal Traffic in hazardous wastes. 58. The President of COP3 request ed the Secretariat to report t o this meeting on its cooperation with the United Nations Commission on Human Rig hts, in particular on matters related to illegal traffic in hazardous w astes. The Secretariat informed the meeting that it has met with the S pecial Rapporteu r of the Commission on Human Rights on th is subject and that the Commiss ion wascomprehensively informed about act ivities of the Secretariat an d Contracting Parties of the Basel Convention on the prevention and monitorin g of illegal traffic in hazardous wastes as well as on how the Secretariat and Parti es deal with cases of illegal traffic. The Co mmission was provided with all necessary documentation. The SBC will get i nto contact again with the Com mission to obtain further information on t he work of the Special Rapporteu r on this subject. VI. CLOSURE OF THE MEETING 59. The Chairman of the TWG exp ressed thanks to all participant s, Parties, States non-Parties, industry and Greenpeace for their hard work , active participation and spirit of cooper ation which has enable the TW G to complete the preparation of lists of wastes. 60. The Chairman declared the m eeting 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 cleani ng systems of copper smelters

• Spent electrolytic solutions from c opper electrorefining and electrowinning operations

• Waste sludges, excluding anode slimes, from electrolyte purification systems in copper electrorefining and el ectrowinning operations

• Spent etching solutions containing dissolved copper

• Waste cupric chloride and copper cyanide catalysts

• Waste zinc residues not included on listB, containing lead and cadmium in concentrations sufficient to exhibit A nnex III characteristics (Note the related entry on list B No. )

List B

• Fellmongery wastes notcontaining hexavalent chro mium compounds or biocides or infectious substances (Note th e related entry on list A No. )• Wastes of refractory linings, includi ng crucibles, origin ating 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 includi ng zinc alloys residues in dispersible form unless containing Annex I constituents in concen tration such as to exhibit Annex III characteristics or exhibiting hazard characteristic H4.3 1

• Mixed non-ferrous metal, heavy fraction sc rap, not containing Annex I materials in concentrations sufficient to exhibit Annex III characteristics 2

• Slag from zinc production, chemical stab ilized, having a high iron content (above 20%) and processed according to industria l specifications (eg.: DIN 4301) mainly for construction

• Fluorinated polymer wastes 3 :

• Perfluoroethylene/propylene (FEP) - Perfluoroalkoxy alkane (PFA) - Perfluoroalkoxy alkane (MFA) - Polyvinylfluoride (PVF) - Polyvinylidenefluoride (PVDF)

ANNEX 2 Wastes placed on list C a waiting classification

C1 4 PVC coated cables C2 4 Fluorinated polymer wastes - Polytetrafluoroethylene (PTFE) - Ethylene/Tetrafl uoroethylene (ETFE) C3 Chlorinated polymer a nd copolymer wastes - Polyvinyl chloride - Polyvinylidene chloride C4 5 Residues arising from industria l waste disposal operations

1 The status of zinc ash is curr ently under review and there is a recommendation with UNCTAD that zinc ashes should not be dangerous goods.

2 Note that even where low level contaminat ion with Annex I mater ials initially exists, subsequent processes, including recycling processes, ma y result inseparated fractions containing s ignificantly enhanced concentra tions of those Annex I materials.

3 . post-consumer wastes ar e excluded from this entry . wastes shall not be mixed . problems arising from open-burni ng practices to be considered

4 . lack of clarity on the use o f Annex III H 13 characteristic . difficulties arising from the disposal of these wastes (ie: o pen burning) . the need to consider the scope o f Annex II to the Basel Conve ntion

5 . need to clarify the scope and m eaning of the term "industrial waste disposal operations" . recognition that the industry pr oposal had focused on final r esidues from the specialist waste management contra cting sector, but that the is sue could be much wider. . whether it was the intention to address only the operations l isted on Part A of Annex IV, and if so, whether all such operations should be cove red, irrespective of whether they were specialist c ontracting facilities, or inte gral parts of other industrial and production activities . identification of specific was te streams which might be candi dates 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 haz ardous under Article 1 paragraph 1( a) of the Convention"2. Entry A42; add the following f ootnote (same reference as in A24): "PCB are at a concentration le vel of 50 mg/kg or more" 3. Reintroduce footnote for A24: "The 50 mg/kg level is considered to be an internationally prac tical level for all wastes; however, many individual countries have established low er regulatory levels (eg: 20 mg/kg) for specific wastes" 4. Add a new entry on list B afte r Selenium and Tellurium to in clude: "Refractory metals containing residues" 5. Revised text for B2: "Slags from copper processing for further processing or refinin g not containing arsenic, lead or cadmium to an extent that they exhibit Annex I II hazard characteristics". 6. B8 The meeting agreed to t he following change of wording: "The following materials, provi ded they are not mixed with haza rdous wastes" 7. B14 Revised text: "Scrap plastic of non-halogenated polymers and copolymers, incl uding but not limited to" Add footnote: It is understood tha t such scrap are completely p olymerized 8. B24 Delete the text in bra ckets and associated footnote 9. B33 The meeting agreed to add "inks" after paint to be consi stent with the entry on list A (A41) 10. B37 Change text as follows: "eg: water based, or glues based on casein, starch, dextrin, ce llulose ethers, polyvinyl alcohols (Note the re lated entry on list A No. ) 11. B45 The meeting agreed to add a comma after cameras to showclearly that it is the batteries that are not included on list A. The Nether lands has lifted reservation against this entry so footnote to be deleted. 12. B46 The following text was to be added after "transition me tals": "Excluding waste catalysts (spent catalysts; liquid used cataly sts 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, bu t not major reassembly" 14. Addition of term w aste in front of the following entries: List A : A51: Replace the entry "Ethers no t including those specified on list B"with "Waste ethers..." List B : B : Replace the entry "Selenium and Tellurium in metallic eleme ntal form including powder" with "Waste Selenium and Tellurium ..." B26: Replace the entry "Photogr aphic film containing silver hal ides and metallic silver" with "Waste photographic film ..." B27: Replace the entry "Photogr aphic paper containing silver ha lides and metallic silver" with "Was te photographic paper ..." B22: Replace the entry "Gypsum a rising from the chemical indust ry processes not included on list A" with "Waste gypsum ..." B41: Replace the entry "Polyme r ethers and non-haz ardous monome r ethers incapable of forming peroxides" with "Waste polymer ethers and waste nonhazardous monomer ethers..." B45: Replace the entry "Single us e 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 plac ement (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 i n 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 Conventio n under which the waste falls with evidence demonstr ating that the waste does or does not exhibit any of the hazard characteristics in Annex III to the Conventio n (see guidance -to be drafted) . Additional material may be subm itted in the form of annexes o r attachments. All such annexes or attachments must be listed in the Application Form together with instructions on how to obtain these document s.

1. NAME OF APPLICANT

Name: Address: Tel: Fax: E-mail: Party � Observer State � NGO � Company � Individual �

____________________ ____________________ (Signature) (Stamp)

F. AUTHORITY TRANSMI TTING APPLICATION Name: Address: ____________________ Tel: Fax: E-mail: ____________________ Date of transmission: (Stamp) (Signature)

This Application Form may incl ude up to 8 additional pages. APPLICATION FORM PROCEDURE Who is to complete t he Form (applicant)? Any Contracting Party, observe r State, NGO, private company or individual has the right to fill in t he Application Form with the proposed pla cement 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 Appli cation 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 de cide how the Appli cation Form will be forwarded to the Secretariat of the Basel Conventi on. Normally, the Competent Authority or Focal Point of the Base l 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 tw o 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 Po int is unable to make available any annexes or attachments to all Focal Po ints 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 n eed to send the proposa l(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 b ilateral, multilateral or regional agreement or arrangement Framework

1. PURPOSE It is in the wider global intere st that hazardous wastes are de alt with in an environmentally sound manner. It is often the case that these w astes will arise at locations where suitable facilit ies do not exist and that a tra nsboundary movement may be required to enabl e access to suitable facilitie s. Any transboundary movement of hazardous wastes involving a Party an d a non-Party as an exporter, importer or as a country of transit, is prohibi ted unless a bilateral, multilateral or regional agreement or arrangement is in place. It is therefore important that such agreements ar e designed to meet the objecti ves of the Basel Convention and to assist both Pa rties and non-Parties lacking a dequate capacity to manage their own wastes in an environmentally sound manner. It is also the case that transboundar y movements may be desirab le, in the interest of efficient use of res ources within a region, and for the purposes of reducing environmental risk. 2. REQUIREMENTS The provisions of the Basel Conv ention are minimum requirements in any agreement or arrangement 3. SCOPE a) The framework of t he Basel Convention b) The environmentally sound managem ent of hazardous wastes and other wastes subject to the Basel Convention c) Decision III/1 of the Third m eeting of the Conference of the Parties to the Basel Convention 4. OPTIONAL CON SIDERATIONS - considerations that may be gi ven in developing such agreement s andarrangements: - time consideration, limitati on of waste streams, sources and destination; limitation of facilities; restr ictions on routing or modes of t ransport, packaging and labelling; assessment of facilities , operations or of legislati on; requirement of wastes as a raw material for recy cling or recovery industries i n the State of import, etc. 5. ADDITIONAL CONSIDERATIONS Basic principles will vary fro m country to country recognizing that cost and economic efficiency are considerat ions in developing a waste ma nagement strategy. Some principles that merit fu rther consideration include: - Least transboundary movements principle - self-sufficiency principle - proximity principle - integrated life- cycle principle these principles can be c onsidered jointly with: - flexibility according to specif ic needs or situation, produce r responsibility 6. OTHER USEFUL ELEMENTS - information on environmental a nd 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 informa tion on which Basel Convention provisions has (have) been contravened) Description: If more space required, pleas e use additional sheet(s) C.2. Name of States affected by the il legal traffic (i.e. country of origin, transit or destination):

C.3. Brief descripti on of the waste(s) sub ject to the illegal a ct, 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 YearInfraction: _____ _____ _____

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 informati on (e.g. containment appearance, e tc.):

E. DETECTION OF ILLEG AL TRAFFIC, TYPES OF D AMAGES, 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 s ubject 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 b y the authority in the State of conviction: If more space required, pl ease use additional sheet(s) Authority completing the Form sh all forward a copy to all Compe tent Authorities or Focal Points in the State( s) concerned as appropriate.