Technical Working Group to prepare 

draft technical guidelines for the 

environmentally sound management 

of hazardous wastes subject to the 

Basel Convention 

Tenth session 

Kuala Lumpur, 22-26 April 1996 

Report of the Technical Working Group 

I. INTRODUCTION 

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

Lumpur from 22-26 April 1996. 

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

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

III/26 (Cooperation with UN bodies, specialized agencies and regional systems 

and organizations) 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 Peter Hinchcliffe, 

welcomed participants. He referred to the mandate of the Group and noted that 

the agenda in front of the meeting was heavy. He thanked the Government of 

Malaysia for hosting the meeting in Kuala Lumpur. 

4. In her introductory statement the Executive Secretary extended the 

Secretariat's gratitude to the Government of Malaysia for the perfect organization 

in hosting this meeting and to the European Commission for having made 

possible the participation of a large number of experts from developing countries 

and countries with economies in transition. She emphasized that Malaysia was 
among the most active governments behind the successful adoption of the 

Convention in 1989 and since then for its effective implementation. She further 

said that Malaysia played a very important role in negotiations on decision II/12 

and decision III/1 (Amendment to the Convention) adopted by the second and 

third meetings of the Conference of the Parties respectively. The Executive 

Secretary emphasized that there was a need to work further on hazard 

characterization and lists of hazardous wastes as a matter of priority and said 

she was confident that work will proceed in a constructive manner allowing the 

Technical Working Group to provide the next Conference of the Parties with the 

input and guidance requested by the third meeting of the Conference of the 

Parties. The Basel Convention is the first and only global Convention that deals 

with the transboundary movements and environmentally sound management of 

hazardous wastes worldwide. The minimization of the generation of hazardous 

wastes is a prime objective to attain within the Basel Convention which is very 

much a technical assistance oriented Convention. The fact that there are now 

over 100 Contracting Parties to the Convention is a sign of significant 

achievement, taking into consideration the fact that the Basel Convention is one 

of the most difficult multilateral environmental treaties to implement in view not 

only of the volume of hazardous wastes generated every year but also because 

of the diversity of such wastes and their components. The Executive Secretary 

then invited the Hon. Dato' Abu Bakar Daud, Deputy Minister of Science, 

Technology and the Environment of Malaysia to make the opening address at the 

session of the Technical Working Group. 

5. In his opening address, the Deputy Minister of Science, Technology and the 

Environment of Malaysia expressed his pleasure to address and officially open 

the meeting noting that Malaysia is a key player in the development and 

implementation of the Basel Convention since 1987, working very closely with 

developed and developing countries to strengthen the provisions of the 

Convention. 
6. The Deputy Minister recognized that this meeting in Kuala Lumpur of the 

Technical Working Group is very important, particularly with regard to the 

definition of hazardous wastes under the Convention vis-a-vis the ban decision 

adopted in March 1994 and the subsequent amendment to the Convention to 

give effect to the ban agreed upon by consensus in September 1995. The 

Deputy Minister reminded the meeting that Malaysia being an important trading 

nation, they would like to see that genuine trade in recoverables is not hampered 

while at the same time uphold the original goals of the Convention, that is to 

protect vulnerable countries from the threat posed by improper disposal of 

hazardous wastes. 

7. Over the last two decades, Malaysia has progressively developed 

environmentally sound management practices. Since May 1989, Malaysia has 

enforced the Environmental Quality (Scheduled Wastes) Regulations 1989 under 

the Environmental Quality Act 1974. Since the end of 1995, work has started to 

review these regulations in order to improve their implementation. This includes 

an improved waste list. Malaysia realized, however, that the setting up of a waste 

treatment and disposal facility alone would not in the long term totally solve the 

problem of hazardous waste. Waste generators and policy makers must work 

more diligently towards other options such as waste minimization programmes 

and cleaner technologies. In this regard, the Department of the Environment has 

launched a new programme called MAWAR (Malaysian Agenda for Waste 

Reduction) aimed at encouraging industries to reduce waste generation in a 

specified period to be determined on a voluntary basis by the industries 

themselves. 

8. The Deputy Minister informed that Malaysia has been observing the strict 

requirements of the Basel Convention, even before the Convention entered into 

force and Malaysia became a Party. Strict enforcement and penalty against 

violators have been promoted. The Ministry of Science, Technology and the 

Environment has proposed to the Parliament to amend the Environmental Quality 

Act to include specific provisions on the control of import, export and transit of 
wastes including the increase in penalties from RM 10,000 to RM 500,000 for 

certain offences and jail terms from two years to five years. This again reflects 

Malaysia's consistent stand at international fora. We may be critical, but we are 

sincere in our efforts towards contributing to global environmental protection 

concluded the Deputy Minister, who then declared open the tenth session of the 

Technical Working Group. 

B. Attendance 

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

the Convention: Argentina, Australia, Austria, Brazil, Bulgaria, Canada, Chile, 

China, Croatia, Cuba, Denmark, Ecuador, Egypt, El Salvador, Estonia, European 

Community, Germany, Guinea, Honduras, India, Indonesia, Japan, Malaysia, 

Mauritius, Morocco, Netherlands, New Zealand, Norway, Peru, Poland, Republic 

of Korea, Saudi Arabia, Senegal, Slovak Republic, South Africa, Spain, Sri 

Lanka, Sweden, Switzerland, Syria, United Kingdom, United Republic of 

Tanzania. 

10. The following observer States were represented: Albania, Cambodia, 

Colombia, Ghana, Mongolia, Rwanda, Thailand, Ukraine, United States of 

America. 

11. The following intergovernmental organizations were represented: 

Organisation for Economic Cooperation and Development (OECD), United 

Nations Conference on Trade and Development (UNCTAD). 

12. Greenpeace, Centre for Environment, Technology and Development 

(CETDEM), and the following industry non-governmental organizations were 

represented at the meeting: Bureau of International Recycling (BIR), European 

Chemical Industry Council (CEFIC), Eurometaux, European Federation of Waste 

Management (FEAD), International Chamber of Commerce (ICC), International 

Precious Metals Institute (IPMI), Japan Mining Industry Association (JMIA). 

C. Officers 

13. The following officers continued their mandate: 
Mr Peter Hinchcliffe, UK, Chairperson 

Ms Lakshmi Ragupathy, India, Vice-Chairperson 

Mr Ibrahima Sow, Senegal, Rapporteur 

D. Agenda 

14. The meeting adopted the following agenda: 

1. Opening of the meeting; 

2. Adoption of the agenda; 

3. Organizational matters; 

4. Hazard characterization and classification of wastes 

a. Consideration and review of the work of Sub-Working Group 1 on Metals, SubWorking Group 2 on Lists and Sub-Working Group 3 on General Principles 

b. Programme of work to complete task on hazard characterization and 

classification of wastes; 

5. Follow-up to other decisions adopted by the third meeting of the Conference of 

the Parties 

a. Decision III/5 (Illegal traffic in hazardous wastes and other wastes) - Review of 

the draft Illegal Traffic Report Form 

b. Decision III/26 (Cooperation with UN bodies, specialized agencies and 

regional systems and organizations) - Report on cooperation with the World 

Customs Organization 

c. Decision III/27 (Cooperation between the Basel Convention and the activities 

undertaken at the global level leading to the development of the legally binding 

instrument on trade in hazardous chemicals including the Prior Informed Consent 

- PIC - concept) - Report on current activities; 

6. Other matters; 

7. Adoption of the Report; 

8. Closure of the meeting. 
15. The Technical Working Group being a subsidiary body of the Conference of 

the Parties, the meeting applies, mutatis mutandis, the rules of procedure of the 

Conference of the Parties. 

E. Organization of the meeting 

16. Taking into consideration that the main task of this meeting is its Agenda item 

4 namely continuation of work on hazard characterization and classification of 

wastes, the Chairman proposed that although some work could be carried out in 

plenary sessions, it would be profitable to split the meeting into two Sub-working 

groups: 

. a Sub-working group on metals and review procedures co-chaired by Germany 

and India: Sub-working group 1 

. a Sub-working group on wastes placed on list C requiring priority attention cochaired by Malaysia and the Netherlands: Sub-working group 2 

The main task of these Sub-working groups is to take forward the work done so 

far. 

17. The Chairman agreed to continue and finalize the necessary work on the lists 

with the assistance of the "Friends of the Chairman Group". 

18. The Executive Secretary of the Secretariat of the Basel Convention 

introduced briefly the documentation available to this meeting, noting the 

importance to focus the work of the Technical Working Group on the 

development of lists and the applicable procedure for their review. She 

emphasized that in this process it was critical to avoid as far as possible 

unnecessary complications. 

III. GENERAL OBSERVATIONS 

19. The experts who took the floor expressed their appreciation for being able to 

participate in this meeting and thanked the Government of Malaysia for hosting 

the meeting with the support of the European Commission. 

20. The Industry Coordinator extended thanks on behalf of the Industry experts 

for being able to participate as observer to this meeting. He said that since 

Dakar, Industry has committed itself to contribute to the important subject of 
hazard characterization and classification of wastes and that Industry is carrying 

a lot of work on this issue that would be useful to the Parties to the Basel 

Convention. 

21. The expert from Japan informed the meeting that his country is delivering no 

permits for export of hazardous wastes for final disposal and that as far as the 

prohibition of movements of hazardous wastes destined for recovery is 

concerned, it may be that in some cases, such prohibition would not be in favour 

of sustainable development. He said that Japan supports the approach of using 

OECD lists as a base for the work of the Technical Working Group. He 

concluded by raising the issues of commercial specifications for wastes and what 

is a waste as meriting the attention of the Technical Working Group. 

22. Many experts indicated that significant progress was made during the ninth 

session of the Technical Working Group (Bonn, December 1995). One expert 

further said that while caring for the environment it was important not to impair 

legitimate trade in hazardous wastes and their recovery. 

23. A number of experts insisted on the importance of having concrete proposals 

by the end of this meeting. 

24. The issue of outdated or obsolete pesticides was raised by one expert in 

conjunction with the establishment of lists. 

25. The expert from Brazil informed the meeting that Brazil supports the adoption 

of the green, amber and red lists to be used as a working document by the 

Technical Working Group in its deliberations on lists. In doing so, the Technical 

Working Group, however, should not lose sight of the mandate assigned to it in 

decision III/1, namely to finalize the specification of waste categories and further 

define the hazard characteristics listed in Annexes I and III of the Basel 

Convention. Any addition of specific wastes that do not correspond to the 

categories aforementioned or are not contaminated by Annex I constituents 

should be subjected to consideration by Parties and preferably presented as an 

amendment to the Convention. By the same token, discussion on wastes that are 

considered environmentally undesirable by some Parties, although not being 
hazardous (in the Convention terms) should not deviate the Technical Working 

Group from its present task and thus might deserve a different approach, to be 

eventually defined by the Conference of the Parties. 

IV. PLENARY MEETINGS 

26. The plenary meetings were held on a daily basis. 

27. The reports on development of work in the Sub-working groups were 

presented by their Chairpersons. The reports of the Sub-working groups are 

included in the last part of this report under section VII. 

28. After completion of its work, the Sub-working group on metals, co-chaired by 

Germany and India, carried on the review procedures. 

Approval of preliminary lists 

29. The Chairman of the TWG presented to the meeting the document entitled 

"List of wastes placed on lists A and B and approved at the 10th session of the 

Technical Working Group" and its slightly reviewed version. The Technical 

Working Group approved 29 entries onto list A, shown in Appendix I to this 

report. The group also approved 14 entries onto list B, shown in Appendix II. A 

number of wastes would need further elaboration, and were added to list C 

(Appendix III). Further work would be needed to incorporate explanatory material, 

originally footnoted in the lists, into an accompanying document. They include 

. PCB, PCT and PBB. The Technical Working Group may wish to review the de 

minimis level in entry A28. 

. Furans and dioxins. The Technical Working Group may wish to develop de 

minimis levels associated with A32 in order to exclude materials such as waste 

paper. 

. Metal-bearing wastes arising from melting, smelting and refining of metals. 

Further information on de minimis levels and types of waste is required for 

entries under B2. The entry should be subjected to the review process for further 

elaboration. 

References to copper slag in list B are within square brackets. This is because 

one delegation was concerned by the proposal to include references to copper 
slag in list B and remarked upon its hazardous properties, and proposed that a 

general description of potentially hazardous copper slags could be placed on list 

A and a clear description of non-hazardous copper slags could be placed on list 

B. Other delegations explained that copper slags were not hazardous, and those 

materials should remain on list B. Relevant delegations agreed to forward to the 

Secretariat descriptions for entry onto lists A and B, with supporting evidence, at 

the next meeting of the Technical Working Group. Information was also 

requested about any related copper wastes such as dust, ashes, residues, etc. 

It was agreed that clinical wastes would be considered at an early stage and 

appropriate entries would be made on the lists. Concern was expressed about 

certain wastes considered to be hazardous but not on Annex I to the Convention. 

These wastes are listed on Appendix IV to the report. 

Co-operation with NGOs 

30. The Chairman brought the attention of the Technical Working Group to the 

procedural issue of the participation of observers at the meeting. In accordance 

with the Rules of Procedure of the Conference of the Parties, there are two 

different kinds of observers at the meetings under the Basel Convention, namely 

observers in accordance with Rule 6 and observers in accordance with Rule 7. 

Rule 6 of the Rules of Procedure refers to the observer States while Rule 7 refers 

to the NGO observers. The Chairman further explained the differences in relation 

to their status and underlined that it is expected from the observer States - 

potential Parties to the Basel Convention - to take more active action and 

participation during the meetings. As it relates to the participation of NGO 

observers, he emphasized that it is expected to receive from them professional 

support related to their expertise in the field of treatment of hazardous wastes 

and encouraged them to share information related to their practical activities with 

the experts at the meeting if and as far as it is requested by the meeting. 

31. The Chairman informed the meeting that it would be useful to further develop 

the ways of co-operation with NGO observers (including the private sector) and 
their ways and means of communication with the Secretariat, Contracting Parties 

and other States as well as their participation at the meetings. 

Review procedures 

32. The Chairman of the Sub-working group on the Review Procedures reported 

on the proposed procedure for the presentation of applications to the Technical 

Working Group for the entry of a waste onto a list as well as the application form 

to be used in the procedure. The Technical Working Group adopted the following 

procedures and form (Appendix VI): 

- Any Contracting Party, observer State, national authority, NGO, company or 

individual person has the right to fill in the application form with the proposed 

placement of wastes under list A or list B and present it to national authorities for 

the Basel Convention within its country. It is for the Government to decide how 

and through which Competent Authority and/or Focal Point of the Basel 

Convention this application form will be forwarded to the Secretariat of the Basel 

Convention. 

- It is understood that the Competent Authority(ies) and/or Focal Point is/are to 

decide if it considers the application form properly filled in and if it agrees to 

forward this application form for consideration at the next meeting of the 

Technical Working Group. 

- The Technical Working Group or any special group with competencies to review 

the application form will consider the application at its next meeting if possible. If 

the Technical Working Group would be of the opinion that the special additional 

information, explanation or any further advice would be needed, it would have the 

right to approach appropriate bodies/authorities/NGO including private 

sector/industry for the necessary expertise. 

Further Listing 

33. The Technical Working Group considered the recommendation of the Subworking groups for the placement of additional wastes on the lists. Appendix V 

shows the recommendations which were adopted by the Technical Working 

Group. These wastes will be added to the preliminary lists by the Secretariat and 
the lists circulated for information before the next meeting of the Technical 

Working Group. 

34. A number of experts explained that the entry on list B referring to metal scrap 

in bulk finished form caused difficulties in relation to domestic policies. It was 

agreed that for the time being the entry would be retained as adopted by the 

Technical Working Group but that: 

- the Chairman of the TWG and the Chairpersons of the Sub-working group 1 

would draft an explanation of the decision for submission to the next meeting of 

the Technical Working Group; and 

- the entries referring to metals would be subjected to the review procedure 

adopted at this meeting at some future time 

35. The Technical Working Group agreed that polychlorinated naphthalenes 

(PCN) should be included on list A, possibly by adding them to entry A28. It was 

recognized that this decision was taken in the absence of the opportunity to 

examine the precise wording and placement of PCNs and that the final decision 

on these matters would be taken at the next session of the Technical Working 

Group. 

Framework 

36. The Secretariat introduced the draft position paper on hazard 

characterization and classification of wastes within the framework of the Basel 

Convention (UNEP/CHW/WG.4/10/6). The group considered this document and 

agreed to provide comments in particular in relation to the diagrams included as 

Appendix 2 and Appendix 3 to the draft position paper. 

37. Delegates indicated concern about the flow diagrams. The Secretariat 

undertook to prepare a paper covering this issue and the question of the 

chapeau to list A for submission to the next meeting of the Technical Working 

Group and asked for comments over the same time period. 

Follow-up to decisions III/5, III/26 and III/27 of COP 

38. The meeting agreed that the illegal traffic report form would be the subject of 

further consideration by the Technical Working Group at its next meeting as 
requested by decision III/5 (illegal traffic in hazardous wastes and other wastes). 

Some experts emphasized that the reports on illegal traffic notifed to the 

Secretariat should be the ones confirmed by the appropriate authorities within the 

countries where the illegal traffic took place. In relation to this agenda item, the 

meeting was informed about the background and development of similar agenda 

item which was included in 1996 Human Rights Commission work. The 

Secretariat referred to its statement at the Human Rights Commission and 

emphasized that the resolution adopted at the Commission referred on several 

occasions to the necessity for co-operation between SBC and the Commission 

on Human Rights on this subject. In this connection several experts emphasized 

that there is a need to avoid any duplication of work between SBC and the 

Commission with the clear indication that the subject of illegal traffic has been on 

the agenda of the Basel Convention for the last several years and has been 

satisfactorily dealt with by the Basel Convention. 

39. The group welcomed the report on co-operation with the World Customs 

Organization on the separate identification of hazardous waste in the 

Harmonized System and underlined that this work should still be carried on by 

the Secretariat in close co-operation with the European Commission and OECD 

(as per decision III/26 of third meeting of COP). 

40. The group was of the opinion that in relation to the Basel Convention the 

expression "notification and consent" should be used rather than "PIC" - prior 

informed consent, which refers clearly to the trade in toxic chemicals. The group 

agreed that outdated pesticides as well as outdated chemicals are within the 

scope of the Basel Convention and therefore should not be included in the scope 

of the new convention related to chemicals. The same approach should refer to 

the unwanted pesticides; some experts, however, suggested that further 

consideration should be given to "unwanted" pesticides in relation to the Basel 

Convention. The group further agreed that empty contaminated packages are 

within the scope of the Basel Convention. The group agreed that a special entry 

should be ensured for the above-mentioned categories. The meeting requested 
the Contracting Parties, as well as SBC, to follow up closely on the development 

of the legally binding instrument on trade in hazardous chemicals to avoid any 

duplication of scope of both legal instruments (ref. decision III/27). 

V. OTHER MATTERS 

41. The representative of Malaysia requested the representative of the European 

Commission to inform him whether Article 16 of the Council Regulation (EEC - 

no. 259/93) referring to bilateral, multilateral agreements and arrangements 

concluded in accordance with Article 11 of the Basel Convention, is to be 

modified in such a way that after 1 January 1998 Members of the European 

Community would not be able either to conclude or continue with such bilateral 

and/or multilateral agreements. 

42. In response to this query, the representative of the European Community 

stated that the European Union is currently in the process of amending existing 

legislation on shipments of waste (Council Regulation (EEC) no. 259/93 on the 

supervision and control of shipments of waste within, into and out of the 

European Community) in order to implement the amendment to the Basel 

Convention as laid down in decision III/1 adopted by the third Conference of the 

Parties to the Basel Convention. The proposal for amending Regulation 259/93 

provides that bilateral, multilateral or regional agreements or arrangements in 

accordance with Article 11 of the Basel Convention will no longer be possible 

after 1 January 1998 as far as exports of hazardous waste from the EC to nonOECD countries are concerned. Such agreements or arrangements will only be 

allowed for imports from non-OECD countries into the European Community. The 

proposal also provides to end existing agreements or arrangements covering 

exports of hazardous waste from the EC to non-OECD countries as of 1 January 

1998, whether concluded at EC level or by individual Member States. The reason 

for this is that the European Community is of the opinion that Article 11 of the 

Convention refers to Article 4 paragraph 5 as such constitutes an exception to 

the prohibition of exports of hazardous waste from Parties to non-Parties. Article 

11 does not refer to the new Article 4A, inserted into the Convention by decision 
III/1, and can therefore not constitute an exception to the ban as laid down in that 

Article 4A. In addition Article 4A does not foresee any such exception itself either. 

The adoption process of this proposal is already at an advanced stage. The 

Council of Environment Ministers of the Member States has adopted a common 

position on it early March. Consequently, political agreement of the Member 

States in this matter is clearly established. The Secretariat of the Basel 

Convention will be provided with a copy of the common position, for information, 

as soon as officially published. 

43. Canada explained that a preliminary legal analysis indicates that decision 

III/1 may not permit the signature of Article 11 agreements concerning the export 

of hazardous wastes from countries listed in the proposed Annex VII to the 

Convention to countries not listed in the proposed Annex VII to the Convention. 

44. The delegate from New Zealand also stated that their initial view was that 

Article 11 agreements would be possible after 1 January 1998 and recalled their 

statement made at COP3. Australia stated that while the query and the reply 

were appreciated, the issue concerned the legal interpretation of Basel 

Convention articles. This was outside the mandate and competence of the 

Technical Working Group. 

45. The representative of the USA stated that the USA had only recently learned 

of the EC proposal and that his Government would review it. He stated, however, 

that an initial view was that Article 11 agreements would be possible after 1 

January 1998 (i.e. upon entry into force of the ban amendment). 

46. The Greenpeace representative offered the observation that in their view the 

proposal at COP2 and COP3 for an Article 11 exception to the ban was clearly 

rejected as unacceptable during negotiations. 

47. The Secretariat informed the Technical Working Group of the schedule for 

meetings over the next half year including the organization of workshops and 

seminars under the Basel Convention. Referring to the next session of the 

Technical Working Group which is scheduled to take place in September 1996, 

the Secretariat expressed its gratitude to the Government of the United Kingdom 
for inviting the Technical Working Group to meet in the United Kingdom and to 

provide assistance to experts from developing countries and countries with 

economies in transition to participate in this meeting. 

48. The Chairman reported on discussions he and the Executive Secretary had 

held with representatives of NGOs. It was agreed that in view of the critical 

importance of NGO input to the work of the Technical Working Group, the 

following procedures would be adopted: 

- Informal meetings between the Chairman, the Executive Secretary and 

representatives of NGOs would take place in coincidence with meetings of the 

Technical Working Group and on other suitable occasions, or would be called in 

Geneva on an ad hoc basis when needed; 

- Correspondence would be directed through the Secretariat; 

- Noting that participation of NGOs was important to maintain but that from time 

to time difficulties arose in connection with costs, numbers and other issues, it 

was agreed that the informal meetings would be used to discuss and resolve 

these problems; 

- NGOs offered to establish focal points for communications with the Secretariat 

to help ease resource pressures. 

VI. CLOSURE OF THE MEETING 

49. Concerning the training seminars and workshops organized by SBC on the 

implementation of the Convention, the Executive Secretary emphasized how 

useful it would be for NGOs to take an active part in these meetings. 

50. The Chairman of the TWG expressed thanks to the Government of Malaysia 

for the organization of this meeting, to the Chairpersons of the two Sub-working 

groups, Ms Rosnani, Ms Ragupathy, Mr Bus and Mr Jaron for their diligence and 

hard work, and to the Chairman of the two informal meetings of technical experts, 

Mr Sow, which laid down the work for the successful outcome of this meeting. 

51. The meeting closed at 5.15 p.m. on 26 April 1996. 

VII. REPORTS OF THE SUB-WORKING GROUPS 

A. Report of Sub-working group 1

Listing of wastes
52. The Chairman opened the session, welcoming delegates, and expressing the 

hope that everyone could continue to contribute to the debates in a constructive 

and helpful manner. This was supported by the Co-chair. 

53. The provisional agenda was agreed as submitted to the meeting by the 

Secretariat. 

54. The Chairman invited comments on the latest results concerning the listing of 

wastes. 

55. Discussion took place on the Review Mechanism with a number of 

clarifications sought from the delegates as to its precise purpose, mode of 

operation, and status. There was general agreement that the process of 

reviewing C list entries in this way was of value, and that the form proposed as a 

draft was broadly suitable. Several comments were made about the purpose of 

certain sections of the form, and whether they were relevant. It was pointed out 

that it was in Industry's interest to submit as much information as it thought 

necessary to support its view. 

56. Discussion led to queries over the meaning of A, B and C lists, and their 

relationships to each other. The status of C list was discussed. It was clarified 

that C list could only be a temporary location for a waste which should be finally 

placed on list A or B. The Chairman indicated that wastes could remain on list C, 

but that they would then be subject to assessment and control under national 

legislation. 

57. Metals in massive form were discussed at length. Industry representatives 

indicated that whilst they were preparing comprehensive information on all traded 

alloys and residues, this was unlikely to be available at this meeting. There was 

discussion on the requirement for environmentally sound management and 

unsatisfactory processing of materials at facilities. Many argued that the 

Convention should not allow issues of workplace health and poor management 

control to dictate waste status. A view was expressed that in strict legal terms, 

the definitions of H31 and H32 meant that intrinsic properties were what 

mattered, and that the issue of "massive form" was not relevant. The Co-Chair 
reminded the group that this group should use the technical inputs and clarify the 

position of waste only on a technical basis. 

58. Discussion focussed on the case of lead, although the meeting remained 

concerned with principles rather than individual metal detail. In the course of this, 

it was pointed out that there were many subdivisions of lead scrap, as set out in 

Industry publications. Batteries and battery scrap, although containing lead, were 

a cause of concern if considered as "lead in massive form", but it was pointed out 

that battery scrap had its own list entry and that this had already been proposed 

for list A. 

59. There was discussion on means of defining "massive form", and that this 

might focus on a particle size. Views differed on the feasibility of reaching 

agreement. Toxicity due to inhalation and ingestion were related to particle size. 

60. Industry offered an illustrative summary of the case for lead scrap being 

assigned to the B list by identifying toxicity, exposure, bioavailability, etc. issues 

which they felt confirmed its non-hazardous characteristic. 

61. An observer restated a legal argument in favour of A list, and the nonrelevance of "massive form", proposing that a decision should be deferred 

pending a view of the legal issue by the Ad Hoc Working Group of legal and 

technical experts. 

62. After preliminary discussions on the issue and in response to the request 

made by the Chair for suggestions and illustrative examples, a need was felt to 

arise at a consensus in consultation with Parties. Accordingly, the Chairman 

requested observers to leave the meeting so that his proposal could be debated 

by national delegates only. The Co-chair requested that discussion be confined 

to technical considerations and that economic and legal issues be put to one side 

for the time being. 

63. The proposals of the Chairman comprised proposed assignment of the 

various waste streams listed in Annex I of the Sub-Working group 1 agenda into 

the preliminary lists A or B, as set out in document UNEP/CHW/WG.4/10/2. 

Discussion and decisions were as follows: 
Annex I - Section I (Metal waste in massive form) 

(1) Y29 Mercury (in massive form) - placed in A3 

(2) Y24 Arsenic; Arsenic Compounds - placed in A2 

(3) Y30 Thallium, Thallium Compounds - placed in A2 

(4) Adoption of A5 (i.e. Lead-Acid batteries, whole or crushed), as provisionally 

agreed at the informal meeting in Geneva - agreed to adopt 

(5) Metal Scrap, including alloys, in bulk finished form (e.g. sheet, plate and/or 

beams and rods, etc.) excepting A5 from: 

Y20 Beryllium 

Y25 Selenium 

Y26 Cadmium 

Y27 Antimony 

Y28 Tellurium 

Y31 Lead 

64. The Chairman proposed assigning these to the B list by creating B.1(b) and 

renumbering B.1 as B.1(a). It was also suggested that the word "scrap" should 

be added to clarify that this list would only pertain to the metal scrap. It was 

further proposed that it should be stated that it would be limited to clean, 

uncontaminated material. This was accepted by the group subject to reservations 

by Spain and Sweden. 

65. On the issue of some States being anxious to retain notification procedures 

for these materials, it was agreed that although B list materials would not attract 

this directly via the Basel Convention, States could invoke Article 1.1(b) to 

reassign these as hazardous wastes for national purposes, and hence reestablish notification requirements. 

Annex I - Section II (Wastes consisting of alloys) 

(6) Metal waste and waste consisting of alloys excepting B2, consisting of: 

Y20, Y24, Y25, Y26, Y27, Y28, Y29, Y30 and Y31. 

66. The Chairman's proposal that these be assigned to the A list was accepted. 
67. Observers were re-admitted to the meeting. The Chairman outlined what had 

been discussed and dealt with clarifications. The meeting then continued with its 

main agenda, working through the items in Annex I to that agenda. 

Annex I - Section III (Metal compounds) 

68. Y22 (Copper Compounds) and Y23 (Zinc Compounds) - Agreed to leave on 

C list, but to seek to use the review mechanism for those individual compounds 

submitted for consideration. 

Annex I - Section IV (Wastes on list C requiring priority attention as referred to by 

the Informal Meeting, Geneva, March 1996) 

69. Iron and steel - already dealt with, but insert "scrap" in B1 for consistency. 

70. Zinc, Copper, Lead - already dealt with. 

71. Electronic Scrap and Sweep - dealt with by Sub-working group 2. 

72. Galvanic Sludges - dealt with by Sub-working group 2. 

73. Used batteries: After some discussion, including proposals for both lists A 

and B, it was agreed that Industry and Greenpeace would generate a list of 

battery types, and constituents, with proposals for assignment of each type to 

lists A or B. 

74. Waste hydrates of aluminium and waste alumina: It was agreed that Industry 

would gather further information and hold discussions with Greenpeace. 

Annex I - Section V (Other wastes on list C) 

75. C1 Residues from aluminium production, etc.: Industry explained that as 

aluminium was not on Annex I, they had not compiled information. It was agreed 

to deal with this under the arrangements in the preceding section on waste 

aluminium hydrate and alumina. 

76. C4 Leaching residues from zinc processing, etc.: After an initial proposal that 

this go to list A, there was some debate as to the precise problems encountered 

with the waste. Canada did not believe all wastes under this description were list 

A, but accepted an A listing subject to its reservation being noted. 

77. C5 Precious metal bearing residues in solid form containing trace inorganic 

cyanides: there was debate as to whether concerns over this waste originated 
from the cyanide present, or from other Annex I substances which could be 

present. Several delegates suggested that their experience of these wastes did 

not indicate problems, and that levels of trade were low, and rather specialized. It 

was agreed that list B would be appropriate, subject to the title being amended to 

specify that there should be no other Annex I constituent present in quantities 

sufficient to trigger an Annex III hazardous characteristic. 

78. C6 Precious metal ash. 

79. The group considered, in addition, the priority list of wastes under C-24 to C28. 

80. The placement of "coal fired power plant fly ash" was debated and it was 

agreed that there is a need to place it on list A as well as on list B. The following 

were proposed by Canada: 

List A "Coal fired power plant fly ash containing Annex I substances in 

concentrations sufficient to exhibit Annex III characteristics" 

List B "Coal fired power plant fly ash" only Indonesia, however, expressed their 

reservation on the above proposal. 

81. The group discussed the possible sources of spent activated carbon (C-25). 

It was agreed that "spent activated carbon" would also require double entry on 

both lists A and B as there were distinct waste steams with hazardous and nonhazardous characteristics. Accordingly the following was adopted: 

List A "Spent activated carbon not included in list B" 

List B "Spent activated carbon, resulting from the treatment of potable water and 

process of the food industry and vitamin production" 

It was agreed by the group that "waste, parings and scrap of rubber" (C-26) and 

"used pneumatic tyres" (C-27) to be placed on list B. 

82. The group considered that C-28 "paring and other waste of leather or of 

composition leather not suitable for the manufacture of leather articles, excluding 

leather sludges" and agreed that it should be listed similar to the "leather dust, 

ash, sludges and flours" (C-16) by providing a dual entry in list A and B using the 

wordings for list A "paring and other waste of leather or of composition leather 
not suitable for the manufacture of leather articles, excluding leather sludges, 

containing hexavalent chromium compounds or biocides" for list B "paring and 

other waste of leather or of composition leather not suitable for the manufacture 

of leather articles, excluding leather sludges, not containing hexavalent 

chromium compounds and biocides" 

Review procedures 

83. The Sub-working group agreed on the Application Form for the Technical 

Working Group Review Procedures (Appendix VI to this Report). 

84. The group agreed on the following procedures in relation to the presentation 

of this application form for consideration of the Technical Working Group under 

the Basel Convention or any other special group to deal with review procedures if 

so decided by the meeting of the Contracting Parties: 

- Any Contracting Party, observer State, national authority, NGO, company or 

individual person has the right to fill in the application form with the proposed 

placement of wastes under list A or list B and present it to national authorities for 

the Basel Convention within its country. It is for the Government to decide how 

and through which Competent Authority and/or Focal Point of the Basel 

Convention this application form will be forwarded to the Secretariat of the Basel 

Convention. 

- It is understood that the Competent Authority(ies) and/or Focal Point is/are to 

decide if it considers the application form properly filled in and if it agrees to 

forward this application form for consideration at the next meeting of the 

Technical Working Group. 

- The Technical Working Group or any special group with competencies to review 

the application form will consider the application at its next meeting if possible. If 

the Technical Working Group would be of the opinion that the special additional 

information, explanation or any further advice would be needed, it would have the 

right to approach appropriate bodies/authorities/NGO including private 

sector/industry for the necessary expertise. 

B. Report of the Sub-working group 2 
85. The Sub-working group discussed a number of elements developed by the 

Technical Working Group that it considered useful for conducting its work in 

conjunction with the placement of wastes on list A or list B, and the assessment 

of wastes on list C. It endorsed the progress made by the two informal meetings 

of technical experts (January and March 1996), in particular concerning the 

proposal for establishing three lists (A, B and C), noting, however, that there is a 

need to clarify links with Annex I-Y categories. 

86. The Sub-working group recognized the need to clarify the meaning of list A 

(wastes subject to the Basel Convention) to facilitate placement of wastes that 

are currently on list C. It could not come to an agreement as to the proper 

wording required to ensure such clarification and defer discussion on this item to 

a later time. 

87. The development of criteria that could be used to place wastes on list C was 

discussed. The experts reiterated that the first set of criteria to use is Annex III 

hazardous characteristics for wastes identified in Annex I. However, where this 

does not lead to the possibility of assigning wastes to the list, the group pointed 

out that other criteria could be used to assist in characterizing wastes as 

hazardous as already pointed out through the on-going work of the Technical 

Working Group. While discussing this item, the Sub-working group made 

reference to the proposals presented by Indonesia concerning placement of Clisted wastes to list A or list B, and document UNEP/CHW/WG.4/10/3 (Elements 

that could be considered useful in assessing wastes placed on list C). 

88. The Sub-working group decided to initiate work on the priority C list (ref. 

Appendix 3 to the Report of the Informal Meeting, March 1996, 

UNEP/CHW/MT.2/4). 

89. While considering wastes placed on the list C requiring priority attention, the 

Sub-working group did not review the following wastes as they were the subject 

of discussion in the Sub-working group 1, namely: 

C Iron and steel, zinc, copper, lead and aluminium scrap 

C Used batteries or accumulators, whole or crushed, other than lead-acid 
batteries, and waste and scrap arising from the production of batteries and 

accumulators, not elsewhere specified or included 

C Waste hydrates of aluminium and waste alumina 

C Wastes from production, formulation and use of reprographic and photographic 

chemicals and materials not elsewhere specified or included 

90. Further consideration was given to a number of different proposals 

concerning Aelectronic scrap and sweep@ regarding definitions and possible 

placement onto list A or B. A small group was set up under the chairmanship of 

Switzerland to deal with the matter: 

91. Concerning the placement of Abasic solutions@, it was decided to refer to 

speciation and to the UN Recommendations on the Transport of Dangerous 

Goods. The discussion was postponed until further information is being obtained. 

92. Concerning the placement of Awaste from the production, formulation and 

use of resins, latex, plasticisers, glues and adhesives@, it was decided to 

maintain it on list C awaiting substantial information to be provided by 

governments and industry in particular. The group agreed to further assess 

placement of this waste at the next informal meeting of technical experts (June 

1996). 

93. As regard Agypsum arising from chemical industry processes@ the Subworking group agreed to provide entries into both lists A and B. For waste oils 

unfit for their originally intended use, the group decided to use the description of 

Annex I to the Basel Convention. And for Abrake fluids@, the group recognized 

that although this waste can present important hazardous characteristics, it 

decided not to place it on any list as it could not identify it as an Annex I waste 

category. 

94. The Sub-working group agreed to the placement on list A or B of the 

following wastes: 

Approved entries on list A 

- Galvanic sludges 

- Liquors from the pickling of metals 
- Gypsum arising from chemical industry processes, when containing Annex I 

constituents to the extent that it exhibits an Annex III hazardous characteristic 

- Thermal (heat transfer) fluids 

- Waste mineral oils unfit for their originally intended use 

Approved entries on list B 

- Calcium fluoride sludge 

- Gypsum arising from chemical industry processes, not included in list A 

95. The Sub-working group further considered the wastes placed on list C 

requiring priority attention and agreed to the placement on list A or B of the 

wastes specified in paragraph 99. The wastes for which an entry was maintained 

on list C and new entry are also included under paragraph 99. 

96. While considering Aethers@ and Asurface active agents (surfactants)@, the 

Sub-working group was of the opinion that they were very broad categories for 

which specific information was insufficient. Concerning Asurface active agents 

(surfactants)@, the group felt that further investigation was necessary to 

establish a link with Annex I categories of wastes. Consequently, the group 

decided to maintain these wastes on list C until further clarification could be 

provided. The Group invited Parties and non-Parties as well as industry to 

provide the Secretariat with such specific information before mid-July 1996 to 

enable further consideration of these wastes at the eleventh session of the 

Technical Working Group (September 1996). 

97. For Aleather dust, ash, sludges and flours@, the group decided to adopt two 

entries one in A and one in B to take into consideration the serious problems 

faced by a number of countries due to the presence of hexavalent chromium 

compounds or contamination with biocides. 

98. When assessing Awastes from production, formulation and use of inks, dyes, 

pigments, paints, lacquers, varnish@, the group decided for an entry on list A and 

also to maintain one entry on list C. Although full support was given for 

placement of this waste on list A, consideration was given to the need to further 

assess the hazardousness of water-based/latex paints and hardened varnishes. 
A provisional text was prepared for an entry on list C to cover this concern. 

Parties, non-Parties and industry were invited to submit relevant information to 

the Secretariat on this point. 

99. Approved entries on list A 

- Nitrocellulose 

- Leather dust, ash, sludges and flours when containing hexavalent chromium 

compounds and/or biocides 

- Fluff-light fraction from shredding 

- Wastes from the manufacture, formulation and use of wood preserving 

chemicals 

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

- Wastes from the production, formulation and use of inks, dyes, pigments, 

paints, lacquers, varnish 

- Electrical and electronic assemblies and/or scrap containing components such 

as accumulators and other batteries, mercury-switches, glass from cathode-ray 

tubes and other activated glass and PCB-capacitors, or contaminated with Annex 

I constituents (e.g. cadmium, mercury, lead, polychlorinated biphenyls) to an 

extent that they possess any of the characteristics contained in Annex III 

Approved entries on list B 

- Leather dust, ash, sludges and flours not containing hexavalent chromium 

compounds and biocides 

- Electrical and electronic assemblies and/or scrap (including printed circuit 

boards) not containing components such as accumulators and other batteries, 

mercury-switches, glass from cathode-ray tubes and other activated glass and 

PCB-capacitors, or not contaminated with Annex I constituents (e.g. cadmium, 

mercury, lead, polychlorinated biphenyls) or from which these have been 

removed, to an extent that they do not possess any of the characteristics 

contained in Annex III 
- Electrical and electronic assemblies (including printed circuit boards, electronic 

components and wires) destined for direct re-use, and not for recycling or final 

disposal 

Concerning these entries on lists A and B respectively, further changes were 

made which are reflected in the Appendix V to this Report. 

Wastes on list C 

- Ethers 

- Surface active agents (surfactants) 

- Wastes from the production, formulation and use of food dyes, waterbased/latex paints and hardened varnishes (provisional text) 

APPENDIX I 

List A

List of wastes characterized as hazardous

under Article 1 paragraph 1(a) of the Convention

[Designation of a waste on list A does not preclude the use of Annex III (hazard 

characteristics) to demonstrate that a waste is not hazardous.] 

A 1 Waste having as constituents or contaminants, excluding waste consisting of 

alloys or metal waste in massive form: 

- Beryllium; beryllium compounds 

- Arsenic; arsenic compounds 

- Selenium; selenium compounds 

- Cadmium; cadmium compounds 

- Antimony; antimony compounds 

- Tellurium; tellurium compounds 

- Mercury; mercury compounds 

- Thallium; thallium compounds 

- Lead; lead compounds 

A 2 Wastes consisting of alloys containing mercury; mercury compounds. 

A 3 Wastes consisting of the following metals in massive form: 

- Arsenic 

- Thallium 
A 4 Wastes having as constituents: 

- metal carbonyls 

- hexavalent chromium compounds 

A 5 Lead-acid batteries, whole or crushed 

A 6 Glass waste from cathode-ray tubes and other activated glasses 

A 7 Inorganic fluorine compounds in the form of liquids or sludges but excluding 

such wastes specified on list B or list C. 

A 8 Waste catalysts but excluding such wastes specified on list B or list C 

A 9 Waste from the production or processing of petroleum coke and bitumen 

A 10 Waste mineral oils unfit for their originally intended use 

A 11 Leaded petrol (gasoline) sludges 

A 12 Phenols, phenol compounds including chlorophenol in the form of liquids or 

sludges 

A 13 Organic phosphorous compounds 

A 14 Non-halogenated organic solvents but excluding such wastes specified on 

list B or list C 

A 15 Halogenated organic solvents 

A 16 Halogenated or unhalogenated non-aqueous distillation residues arising 

from organic solvent recovery operations 

A 17 Wastes arising from the production of aliphatic halogenated hydrocarbons 

(such as chloromethanes, dichloro-ethane, vinyl chloride, vinylidene chloride, 

allyl chloride and epichlorhydrin) 

A 18 Wastes from the production and preparation of pharmaceutical products but 

excluding such wastes specified on list B or list C 

A 19 Wastes from the production, formulation and use of biocides and 

phytopharmaceuticals 

A 20 Wastes that contain, consist of or are contaminated with any of the 

following: 
- inorganic cyanides, excepting precious metal-bearing residues in solid form 

containing traces of inorganic cyanides 

- organic cyanides 

A 21 Wastes of an explosive nature but excluding such wastes specified on list B 

or list C 

A 22 Single use cameras with batteries 

A 23 Wastes from industrial pollution control devices for cleaning of industrial offgases but excluding such wastes specified on list B or list C 

A 24 Wastes, substances and articles containing, consisting of or contaminated 

with polychlorinated biphenyl (PCB), polychlorinated terphenyl (PCT), or 

polybrominated biphenyl (PBB), including any other polybrominated analogues of 

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

A 25 Waste tarry residues (excluding asphalt cements) arising from refining, 

distillation and any pyrolitic treatment of organic materials 

A 26 Asbestos (dusts and fibres) 

A 27 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 

A 28 Wastes that contain, consist of or are contaminated with leaded anti-knock 

compound sludges 

A 29 Wastes that contain, consist of or are contaminated with peroxides 

APPENDIX II 

List B

Wastes placed on list B will not be wastes covered by Article 1, paragraph 1(a)

of the Basel Convention unless they contain Annex I material

to an extent causing them to exhibit an Annex III characteristic 

B 1 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 

- Alumium scrap 

- Zinc scrap 

- Tin scrap 

- Tungsten scrap 

- Molybdenum scrap 

- 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 

B 2 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) 

- Zinc die casting dross (>85% Zn) 

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

- Zinc skimmings 

- Aluminium skimmings 

- Slags from precious metals [and copper] processing for further refining 

- Tantalum bearing tin slags with less than 0.5% tin 
B 3 Other wastes containing metal: 

- electronic assemblies consisting only of metals or alloys; 

- precious metals and alloy wastes (gold, silver, the platinum group, but not 

mercury) in a dispersible, non-liquid form with appropriate packaging and 

labelling. 

B 4 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 

- Feldspar waste 

- Fluospar waste 

- Silica wastes in solid form excluding those used in foundry operations 

B 5 Glass waste in non-dispersible form: 

C Cullet and other waste and scrap of glass except for glass from cathode-ray 

tubes and other activated glasses 

B 6 Ceramic wastes in non-dispersible form: 

C Cermet wastes and scrap (metal ceramic composites) 

C Ceramic based fibres not elsewhere specified or included 

B 7 Other wastes containing principally inorganic constituents: 

C Partially refined calcium sulphate produced from flue gas desulphurisation 

(FGD) 

C Waste gypsum wallboard or plasterboard arising from the demolition of 

buildings 

[C 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] 

C Sulphur in solid form 

C Limestone from the production of calcium cyanamide (having a pH less than 9) 
C Sodium, potassium, calcium chlorides 

C Carborundum (silicon carbide) 

C Broken concrete 

C Lithium-Tantalum and Lithium-Niobium containing glass scraps 

B 8 Paper, paperboard and paper product wastes 

The following materials, provided they are not mixed with other wastes and are 

prepared to a specification: 

C 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 

B 9 Textile wastes 

The following materials, provided they are not mixed with other wastes and are 

prepared to a specification: 

C Silk waste (including cocoons unsuitable for reeling, yarn waste and garnetted 

stock) 

- not carded or combed 

- other 

C 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 

C Cotton waste (including yarn waste and garnetted stock) 

- yarn waste (including thread waste) 
- garnetted stock 

- other 

C Flax tow and waste 

C Tow and waste (including yarn waste and garnetted stock) of true hemp 

(Cannabis sativa L.) 

C Tow and waste (including yarn waste and garnetted stock) of jute and other 

textile bast fibres (excluding flax, true hemp and ramie) 

C Tow and waste (including yarn waste and garnetted stock) of sisal and other 

textile fibres of the genus Agave 

C Tow, noils and waste (including yarn waste and garnetted stock) of coconut 

C Tow, noils and waste (including yarn waste and garnetted stock) of abaca 

(Manila hemp or Musa textilis Nee) 

C Tow, noils and waste (including yarn waste and garnetted stock) of ramie and 

other vegetable textile fibres, not elsewhere specified or included 

C Waste (including noils, yarn waste and garnetted stock) of man-made fibres 

- of synthetic fibres 

- of artificial fibres 

C Worn clothing and other worn textile articles 

C Used rags, scrap twine, cordage, rope and cables and worn out articles of 

twine, cordage, rope or cables of textile materials 

- sorted 

- other 

B 10 Rubber wastes 

The following materials, provided they are not mixed with other wastes: 

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

C Other rubber wastes excluding such wastes specified on list C 

B 11 Untreated cork and wood waste: 

C Wood waste and scrap, whether or not agglomerated in logs, briquettes, 

pellets or similar forms 

C Cork waste: crushed, granulated or ground cork 
B 12 Wastes arising from agro-food industries provided it is not infectious: 

C Wine lees 

C 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 

C Degras: residues resulting from the treatment of fatty substances or animal or 

vegetable waxes 

C Waste of bones and horn-cores, unworked, defatted, simply prepared (but not 

cut to shape), treated with acid or degelatinised 

C Fish waste 

C Cocoa shells, husks, skins and other cocoa waste 

C Other wastes from the agro-food industry excluding by-products which meet 

national and international requirements and standards for human or animal 

consumption 

B 13 The following wastes: 

C Waste of human hair 

C Waste straw 

C Deactivated fungus mycelium from penicillin production to be used as animal 

feed 

B 14 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 polymers and co-polymers of: 

- 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 

. Resins or condensation products: 

- urea formaldehyde resins 

- phenol formaldehyde resins 

- melamine formaldehyde resins 

- expoxy resins 

- alkyd resins 

- polyamides 

APPENDIX III 

Wastes to be added to List C

Antifreeze fluids A distinction should be made between older formulations which 

may contain Annex I chemicals and may be hazardous, and newer formulations 

designed to be non-hazardous. 

Ethers Many ethers are likely to be hazardous but some are not. It may be 

possible to arrive at specific categorization by reference to existing 

documentation. 

Chlorofluorocarbons and halons 
Most of these materials do not exhibit hazard characteristics except for a very 

broad interpretation of H32 to encompass their impact on the ozone layer, which 

is the subject of the Montreal Protocol. Those which exhibit Annex III properties 

more immediately should in the first instance be identified and placed on list A. 

The remainder should remain on list C pending further elaboration of H32. 

Anode butts Anode butts from some processes (e.g. aluminium smelting) may 

contain hazardous constituents and need to be listed on list A. Others, for 

example from steel processing, are not hazardous and should be on list B. 

Anode butts are therefore placed on list C until these categories have been 

elaborated. 

Neutralized red mud from alumina production 

This material can contain significant quantities of Annex I contaminants. The 

case for its entry on list B is not yet accepted by the Technical Working Group. 

There may also be a need to make reference to the pH of the material. 

APPENDIX IV 

Waste about which particular concerns were expressed 

These five categories of wastes can present important hazard characteristics. 

However, it is not immediately obvious that they are covered by Annex I. In that 

case they should be drawn to the attention of the Contracting Parties along with 

wastes of similar concern identified already by the Technical Working Group. 

- Asbestos (forms other than dust and fibres (Y36)); 

- Ceramic-based fibres of physico-chemical characteristics similar to those of 

asbestos; 

- Aluminium skimmings; 

- Brake fluids 

- Silver halides 

APPENDIX V 

Wastes to be added to lists A, B and C

Proposals for wastes to be added to List A
- Add to A3: Mercury 

- Add to A2: Arsenic; arsenic compounds 

- Add to A2: Thallium; thallium compounds 

- Metal waste and waste consisting of alloys of: 

- Beryllium 

- Arsenic 

- Selenium 

- Cadmium 

- Antimony 

- Tellurium 

- Mercury 

- Thallium 

- Lead 

not included on list B. 

- Leaching residues from zinc processing, dust and sludges such as jarosite, 

hematite, etc. 

- Precious metal ash from incineration of printed circuit boards not included on 

list B. 

- Coal fired power plant fly ash containing Annex I substances in concentrations 

sufficient to exhibit Annex III characteristics. 

- Spent activated carbon not included on list B. 

- Paring and other waste of leather or of composition leather not suitable for the 

manufacture of leather articles, excluding leather sludges, containing hexavalent 

chromium compounds or biocides. 

- Nitrocellulose 

- Leather dust, ash, sludges and flours when containing hexavalent chromium 

compounds or biocides 

- Fluff - light fraction from shredding 

- Wastes from the manufacture, formulation and use of wood preserving 

chemicals 
- Waste oils/water, hydrocarbons/water mixtures, emulsions 

- Wastes from the production, formulation and use of inks, dyes, pigments, 

paints, lacquers, varnish excluding any such waste specified on list B and list C 

- Electrical and electronic assemblies or scrap containing components such as 

accumulators and other batteries included on list A, mercury-switches, glass from 

cathode-ray tubes and other activated glass and PCB-capacitors, 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) 

- Galvanic sludges 

- Liquors from the pickling of metals 

- Gypsum arising from chemical industry processes, when containing Annex I 

constituents to the extent that they possess any of the characteristics contained 

in Annex III 

- Thermal (heat transfer) fluids 

- Waste mineral oils unfit for their originally intended use 

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

phytopharmaceuticals, including pesticides and herbicides which are offspecification, out-dated6, or unfit for their originally intended use 

Proposals for wastes to be added to List B

- Clean, uncontaminated metal scrap, including alloys, in bulk finished form 

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

Beryllium scrap 

Selenium scrap 

Cadmium scrap 

Antimony scrap 

Tellurium scrap 

Lead scrap (but excluding lead-acid batteries) 

- Precious metal bearing residues in solid form which contain traces of inorganic 

cyanides 
- Coal fired power plant fly ash, not included on List A 

- Spent activated carbon resulting from the treatment of potable water and 

processes of the food industry and vitamin production 

- Waste pairings and scrap of rubber 

- 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) 

- Calcium fluoride sludge 

- Gypsum arising from chemical industry processes not included on List A 

- Precious metal ash from the incineration of printed circuit boards (note the 

related entry on list A) 

- Precious metal ash from the incineration of photographic film (note the related 

entry on list A) 

- Cleaned spent precious metal-bearing catalysts 

- Photographic film containing silver halides and metallic silver 

- Photographic paper containing silver halides and metallic silver 

- Mill scaling arising from the manufacture of iron and steel 

- Granulated slag arising from the manufacture of iron and steel 

- Leather dust, ash, sludges or flours not containing hexavalent chromium 

compounds or biocides (note the related entry on list A) 

- Electrical and electronic assemblies or scrap7 (including printed circuit boards) 

not containing components such as accumulators and other batteries included on 

list A8, mercury-switches, glass from cathode-ray tubes and other activated glass 

and PCB-capacitors, or not contaminated with Annex I constituents (e.g. 

cadmium, mercury, lead, polychlorinated biphenyls) 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) 

- Electrical and electronic assemblies (including printed circuit boards, electronic 

components and wires) valid for direct re-use, and not for recycling or final 

disposal.9
Wastes placed on list C requiring priority attention

1. Clinical wastes 

2. Copper compounds 

3. Zinc compounds 

4. Ethers 

5. Surface active agents (surfactants) 

6. Wastes from the production, formulation and use of food dyes, waterbased/latex paints and hardened varnishes 

7. Acidic solutions 

8. Basic solutions 

9. Antifreeze fluids 

10. Chlorofluorocarbons and halons 

11. Anode Butts 

12. Neutralized red mud from alumina production 

13. Contaminated packages and containers 

14. Off specification and outdated toxic chemicals 

15. Scrap assemblies from electrical power generation 

16. Used pneumatic tyres 

17. Polychlorinated naphthalenes 

18. Wastes from the production, formulation and use of resins, latex, plasticizers, 

glues/adhesives 

19. 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 

20. Residues arising from industrial waste disposal operations 

21. Used batteries 

22. Waste hydrates of aluminium and waste alumina 

APPENDIX VI 

THE BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY 

MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL 
Technical Working Group 

Application Form for the Review Procedures

Proposed placement:

9 List A 

9 List B 

Name of Contracting Party/Observer State transferring application to the TWG:

Applicant:

Contracting Party 9 Observer State 9

Authority 9 NGO 9 Company 9 Individual Person 9

Address: 

Tel: 

Fax: 

Date: 

Waste Identification:

Name of waste: 

Origin of waste: 

Physical form: 

Major chemical constituents: 

Typical contaminants: 

Waste Code:

Y-No(s).: UN-class: 

H-No(s).: UN-No.: 

IWIC: OECD: 

EWC: Other: 

Recovery operation:
In the applicant=s country, is the waste legally defined as or considered to be a 

hazardous waste?

Yes No 

Commercial classification: 

 

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

by commercial classifications?

Yes No 

Specify classification number/system, if any (e.g. Harmonized Code, BIR, ISRI, 

IPMI, etc.): 

References:

If the waste belongs to any category contained in Annex I of the Basel 

Convention, facts that can prove that the waste normally does/doesn=t possess 

any of the characteristics contained in Annex III, e.g. data from the literature. 

April 1996