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BASEL CONVENTION
AND DECISIONS OF THE
CONFERENCE OF THE
PARTIES
(COP 1 TO 5)
TABLE OF CONTENTS
1. Introduction.......................................................................................................1
This publication contains the text of the Basel Convention as well as the decisions adopted by
the Conference of the Parties at their first (1992), second (1994), third (1995), fourth (1998)
and fifth (1999) meetings. The ban amendment adopted by the third meeting of the
Conference of Parties is referred to in the text in two places; first as part of the Decisions III/1
(Amendment to the Basel Convention) and as a supportive explanation to the Annex VII to
the Convention. The Amendment will enter into force when it has been ratified by three
fourths of the Parties present at the time of the adoption of the Amendment (62 Parties). The
fourth meeting of the Conference of the Parties adopted Annexes VIII and IX which became
an integral part of the Convention. These annexes entered into force on 6 November 1998
together with the amended Annex I. The fifth meeting of the Conference of the Parties was
held in Basel, Switzerland from 6-10 December 1999 celebrating the tenth anniversary of the
adoption of the Convention. The Conference adopted a Protocol on Liability and
Compensation for Damage resulting from Transboundary Movements of Hazardous Wastes
and their Disposal which is not yet in force. The Conference also adopted the Basel
Declaration on environmentally sound management of hazardous wastes.
ADOPTED BY
THE CONFERENCE OF THE
PLENIPOTENTIARIES
ON 22 MARCH 1989
PREAMBLE
Aware of the risk of damage to human health and the environment caused by
hazardous wastes and other wastes and the transboundary movement thereof,
Mindful of the growing threat to human health and the environment posed by the
increased generation and complexity, and transboundary movement of hazardous wastes and
other wastes,
Mindful also that the most effective way of protecting human health and the
environment from the dangers posed by such wastes is the reduction of their generation to a
minimum in terms of quantity and/or hazard potential,
Convinced that States should take necessary measures to ensure that the management
of hazardous wastes and other wastes including their transboundary movement and disposal
is consistent with the protection of human health and the environment whatever the place of
disposal,
Noting that States should ensure that the generator should carry out duties with
regards to the transport and disposal of hazardous wastes and other wastes in a manner that is
consistent with the protection of the environment, whatever the place of disposal,
Fully recognizing that any State has the sovereign right to ban the entry or disposal of
foreign hazardous wastes and other wastes in its territory,
Convinced that hazardous wastes and other wastes should, as far as is compatible with
environmentally sound and efficient management, be disposed of in the State where they
were generated,
Aware also that transboundary movements of such wastes from the State of their
generation to any other State should be permitted only when conducted under conditions
which do not endanger human health and the environment, and under conditions in
conformity with the provisions of this Convention,
Convinced that States should take measures for the proper exchange of information on
and control of the transboundary movement of hazardous wastes and other wastes from and
to those States,
Noting that a number of international and regional agreements have addressed the
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issue of protection and preservation of the environment with regard to the transit of
dangerous goods,
Taking into account the Declaration of the United Nations Conference on the Human
Environment (Stockholm, 1972), the Cairo Guidelines and Principles for the Environmentally
Sound Management of Hazardous Wastes adopted by the Governing Council of the United
Nations Environment Programme (UNEP) by decision 14/30 of 17 June 1987, the
Recommendations of the United Nations Committee of Experts on the Transport of
Dangerous Goods (formulated in 1957 and updated biennially), relevant recommendations,
declarations, instruments and regulations adopted within the United Nations system and the
work and studies done within other international and regional organizations,
Mindful of the spirit, principles, aims and functions of the World Charter for Nature
adopted by the General Assembly of the United Nations at its thirty-seventh session (1982) as
the rule of ethics in respect of the protection of the human environment and the conservation
of natural resources,
Affirming that States are responsible for the fulfilment of their international
obligations concerning the protection of human health and protection and preservation of the
environment, and are liable in accordance with international law,
Recognizing that in the case of a material breach of the provisions of this Convention
or any protocol thereto the relevant international law of treaties shall apply,
Aware also of the growing international concern about the need for stringent control
of transboundary movement of hazardous wastes and other wastes, and of the need as far as
possible to reduce such movement to a minimum,
Concerned about the problem of illegal transboundary traffic in hazardous wastes and
other wastes,
Taking into account also the limited capabilities of the developing countries to
manage hazardous wastes and other wastes,
Recognizing the need to promote the transfer of technology for the sound
management of hazardous wastes and other wastes produced locally, particularly to the
developing countries in accordance with the spirit of the Cairo Guidelines and decision 14/16
of the Governing Council of UNEP on Promotion of the transfer of environmental protection
technology,
Recognizing also that hazardous wastes and other wastes should be transported in
accordance with relevant international conventions and recommendations,
Convinced also that the transboundary movement of hazardous wastes and other
wastes should be permitted only when the transport and the ultimate disposal of such wastes
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is environmentally sound, and
Determined to protect, by strict control, human health and the environment against the
adverse effects which may result from the generation and management of hazardous wastes
and other wastes,
Article 1
1. The following wastes that are subject to transboundary movement shall be "hazardous
wastes" for the purposes of this Convention:
(a) Wastes that belong to any category contained in Annex I, unless they do not
possess any of the characteristics contained in Annex III; and
(b) Wastes that are not covered under paragraph (a) but are defined as, or are
considered to be, hazardous wastes by the domestic legislation of the Party of export, import
or transit.
2. Wastes that belong to any category contained in Annex II that are subject to
transboundary movement shall be "other wastes" for the purposes of this Convention.
4. Wastes which derive from the normal operations of a ship, the discharge of which is
covered by another international instrument, are excluded from the scope of this Convention.
Article 2
Definitions
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4. "Disposal" means any operation specified in Annex IV to this Convention;
5. "Approved site or facility" means a site or facility for the disposal of hazardous
wastes or other wastes which is authorized or permitted to operate for this purpose by a
relevant authority of the State where the site or facility is located;
7. "Focal point" means the entity of a Party referred to in Article 5 responsible for
receiving and submitting information as provided for in Articles 13 and 16;
9. "Area under the national jurisdiction of a State" means any land, marine area or air
space within which a State exercises administrative and regulatory responsibility in
accordance with international law in regard to the protection of human health or the
environment;
10. "State of export" means a Party from which a transboundary movement of hazardous
wastes or other wastes is planned to be initiated or is initiated;
12. "State of transit" means any State, other than the State of export or import, through
which a movement of hazardous wastes or other wastes is planned or takes place;
13. "States concerned" means Parties which are States of export or import, or transit
States, whether or not Parties;
15. "Exporter" means any person under the jurisdiction of the State of export who
arranges for hazardous wastes or other wastes to be exported;
16. "Importer" means any person under the jurisdiction of the State of import who
arranges for hazardous wastes or other wastes to be imported;
17. "Carrier" means any person who carries out the transport of hazardous wastes or other
wastes;
18. "Generator" means any person whose activity produces hazardous wastes or other
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wastes or, if that person is not known, the person who is in possession and/or control of those
wastes;
19. "Disposer" means any person to whom hazardous wastes or other wastes are shipped
and who carries out the disposal of such wastes;
21. "Illegal traffic" means any transboundary movement of hazardous wastes or other
wastes as specified in Article 9.
Article 3
1. Each Party shall, within six months of becoming a Party to this Convention, inform
the Secretariat of the Convention of the wastes, other than those listed in Annexes I and II,
considered or defined as hazardous under its national legislation and of any requirements
concerning transboundary movement procedures applicable to such wastes.
2. Each Party shall subsequently inform the Secretariat of any significant changes to the
information it has provided pursuant to paragraph 1.
3. The Secretariat shall forthwith inform all Parties of the information it has received
pursuant to paragraphs 1 and 2.
4. Parties shall be responsible for making the information transmitted to them by the
Secretariat under paragraph 3 available to their exporters.
Article 4
General Obligations
1. (a) Parties exercising their right to prohibit the import of hazardous wastes or
other wastes for disposal shall inform the other Parties of their decision pursuant to Article
13.
(b) Parties shall prohibit or shall not permit the export of hazardous wastes and
other wastes to the Parties which have prohibited the import of such wastes, when notified
pursuant to subparagraph (a) above.
(c) Parties shall prohibit or shall not permit the export of hazardous wastes and
other wastes if the State of import does not consent in writing to the specific import, in the
case where that State of import has not prohibited the import of such wastes.
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2. Each Party shall take the appropriate measures to:
(a) Ensure that the generation of hazardous wastes and other wastes within it is
reduced to a minimum, taking into account social, technological and economic aspects;
(b) Ensure the availability of adequate disposal facilities, for the environmentally
sound management of hazardous wastes and other wastes, that shall be located, to the extent
possible, within it, whatever the place of their disposal;
(c) Ensure that persons involved in the management of hazardous wastes or other
wastes within it take such steps as are necessary to prevent pollution due to hazardous wastes
and other wastes arising from such management and, if such pollution occurs, to minimize
the consequences thereof for human health and the environment;
(d) Ensure that the transboundary movement of hazardous wastes and other
wastes is reduced to the minimum consistent with the environmentally sound and efficient
management of such wastes, and is conducted in a manner which will protect human health
and the environment against the adverse effects which may result from such movement;
(e) Not allow the export of hazardous wastes or other wastes to a State or group of
States belonging to an economic and/or political integration organization that are Parties,
particularly developing countries, which have prohibited by their legislation all imports, or if
it has reason to believe that the wastes in question will not be managed in an environmentally
sound manner, according to criteria to be decided on by the Parties at their first meeting;
(g) Prevent the import of hazardous wastes and other wastes if it has reason to
believe that the wastes in question will not be managed in an environmentally sound manner;
3. The Parties consider that illegal traffic in hazardous wastes or other wastes is
criminal.
4. Each Party shall take appropriate legal, administrative and other measures to
implement and enforce the provisions of this Convention, including measures to prevent and
punish conduct in contravention of the Convention.
5. A Party shall not permit hazardous wastes or other wastes to be exported to a non-
Party or to be imported from a non-Party.
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6. The Parties agree not to allow the export of hazardous wastes or other wastes for
disposal within the area south of 60° South latitude, whether or not such wastes are subject to
transboundary movement.
(a) Prohibit all persons under its national jurisdiction from transporting or
disposing of hazardous wastes or other wastes unless such persons are authorized or allowed
to perform such types of operations;
(b) Require that hazardous wastes and other wastes that are to be the subject of a
transboundary movement be packaged, labelled, and transported in conformity with generally
accepted and recognized international rules and standards in the field of packaging, labelling,
and transport, and that due account is taken of relevant internationally recognized practices;
8. Each Party shall require that hazardous wastes or other wastes, to be exported, are
managed in an environmentally sound manner in the State of import or elsewhere. Technical
guidelines for the environmentally sound management of wastes subject to this Convention
shall be decided by the Parties at their first meeting.
9. Parties shall take the appropriate measures to ensure that the transboundary movement
of hazardous wastes and other wastes only be allowed if:
(a) The State of export does not have the technical capacity and the necessary
facilities, capacity or suitable disposal sites in order to dispose of the wastes in question in an
environmentally sound and efficient manner; or
(b) The wastes in question are required as a raw material for recycling or recovery
industries in the State of import; or
10. The obligation under this Convention of States in which hazardous wastes and other
wastes are generated to require that those wastes are managed in an environmentally sound
manner may not under any circumstances be transferred to the States of import or transit.
11. Nothing in this Convention shall prevent a Party from imposing additional
requirements that are consistent with the provisions of this Convention, and are in accordance
with the rules of international law, in order better to protect human health and the
environment.
12. Nothing in this Convention shall affect in any way the sovereignty of States over their
territorial sea established in accordance with international law, and the sovereign rights and
the jurisdiction which States have in their exclusive economic zones and their continental
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shelves in accordance with international law, and the exercise by ships and aircraft of all
States of navigational rights and freedoms as provided for in international law and as
reflected in relevant international instruments.
13. Parties shall undertake to review periodically the possibilities for the reduction of the
amount and/or the pollution potential of hazardous wastes and other wastes which are
exported to other States, in particular to developing countries.
Article 5
1. Designate or establish one or more competent authorities and one focal point. One
competent authority shall be designated to receive the notification in case of a State of transit.
2. Inform the Secretariat, within three months of the date of the entry into force of this
Convention for them, which agencies they have designated as their focal point and their
competent authorities.
3. Inform the Secretariat, within one month of the date of decision, of any changes
regarding the designation made by them under paragraph 2 above.
Article 6
1. The State of export shall notify, or shall require the generator or exporter to notify, in
writing, through the channel of the competent authority of the State of export, the competent
authority of the States concerned of any proposed transboundary movement of hazardous
wastes or other wastes. Such notification shall contain the declarations and information
specified in Annex V A, written in a language acceptable to the State of import. Only one
notification needs to be sent to each State concerned.
2. The State of import shall respond to the notifier in writing, consenting to the
movement with or without conditions, denying permission for the movement, or requesting
additional information. A copy of the final response of the State of import shall be sent to the
competent authorities of the States concerned which are Parties.
3. The State of export shall not allow the generator or exporter to commence the
transboundary movement until it has received written confirmation that:
(a) The notifier has received the written consent of the State of import; and
(b) The notifier has received from the State of import confirmation of the
existence of a contract between the exporter and the disposer specifying environmentally
sound management of the wastes in question.
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4. Each State of transit which is a Party shall promptly acknowledge to the notifier
receipt of the notification. It may subsequently respond to the notifier in writing, within 60
days, consenting to the movement with or without conditions, denying permission for the
movement, or requesting additional information. The State of export shall not allow the
transboundary movement to commence until it has received the written consent of the State
of transit. However, if at any time a Party decides not to require prior written consent, either
generally or under specific conditions, for transit transboundary movements of hazardous
wastes or other wastes, or modifies its requirements in this respect, it shall forthwith inform
the other Parties of its decision pursuant to Article 13. In this latter case, if no response is
received by the State of export within 60 days of the receipt of a given notification by the
State of transit, the State of export may allow the export to proceed through the State of
transit.
5. In the case of a transboundary movement of wastes where the wastes are legally
defined as or considered to be hazardous wastes only:
(a) By the State of export, the requirements of paragraph 9 of this Article that
apply to the importer or disposer and the State of import shall apply mutatis mutandis to the
exporter and State of export, respectively;
(b) By the State of import, or by the States of import and transit which are Parties,
the requirements of paragraphs 1, 3, 4 and 6 of this Article that apply to the exporter and State
of export shall apply mutatis mutandis to the importer or disposer and State of import,
respectively; or
(c) By any State of transit which is a Party, the provisions of paragraph 4 shall
apply to such State.
6. The State of export may, subject to the written consent of the States concerned, allow
the generator or the exporter to use a general notification where hazardous wastes or other
wastes having the same physical and chemical characteristics are shipped regularly to the
same disposer via the same customs office of exit of the State of export via the same customs
office of entry of the State of import, and, in the case of transit, via the same customs office
of entry and exit of the State or States of transit.
7. The States concerned may make their written consent to the use of the general
notification referred to in paragraph 6 subject to the supply of certain information, such as the
exact quantities or periodical lists of hazardous wastes or other wastes to be shipped.
8. The general notification and written consent referred to in paragraphs 6 and 7 may
cover multiple shipments of hazardous wastes or other wastes during a maximum period of
12 months.
9. The Parties shall require that each person who takes charge of a transboundary
movement of hazardous wastes or other wastes sign the movement document either upon
delivery or receipt of the wastes in question. They shall also require that the disposer inform
both the exporter and the competent authority of the State of export of receipt by the disposer
of the wastes in question and, in due course, of the completion of disposal as specified in the
notification. If no such information is received within the State of export, the competent
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authority of the State of export or the exporter shall so notify the State of import.
10. The notification and response required by this Article shall be transmitted to the
competent authority of the Parties concerned or to such governmental authority as may be
appropriate in the case of non-Parties.
11. Any transboundary movement of hazardous wastes or other wastes shall be covered
by insurance, bond or other guarantee as may be required by the State of import or any State
of transit which is a Party.
Article 7
Article 8
Duty to Re-import
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Article 9
Illegal Traffic
(a) without notification pursuant to the provisions of this Convention to all States
concerned; or
(b) without the consent pursuant to the provisions of this Convention of a State
concerned; or
(d) that does not conform in a material way with the documents; or
(e) that results in deliberate disposal (e.g. dumping) of hazardous wastes or other
wastes in contravention of this Convention and of general principles of international law,
shall be deemed to be illegal traffic.
(a) taken back by the exporter or the generator or, if necessary, by itself into the
State of export, or, if impracticable,
within 30 days from the time the State of export has been informed about the illegal traffic or
such other period of time as States concerned may agree. To this end the Parties concerned
shall not oppose, hinder or prevent the return of those wastes to the State of export.
4. In cases where the responsibility for the illegal traffic cannot be assigned either to the
exporter or generator or to the importer or disposer, the Parties concerned or other Parties, as
appropriate, shall ensure, through co-operation, that the wastes in question are disposed of as
soon as possible in an environmentally sound manner either in the State of export or the State
of import or elsewhere as appropriate.
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5. Each Party shall introduce appropriate national/domestic legislation to prevent and
punish illegal traffic. The Parties shall co-operate with a view to achieving the objects of this
Article.
Article 10
International Co-operation
1. The Parties shall co-operate with each other in order to improve and achieve
environmentally sound management of hazardous wastes and other wastes.
(c) Co-operate, subject to their national laws, regulations and policies, in the
development and implementation of new environmentally sound low-waste technologies and
the improvement of existing technologies with a view to eliminating, as far as practicable, the
generation of hazardous wastes and other wastes and achieving more effective and efficient
methods of ensuring their management in an environmentally sound manner, including the
study of the economic, social and environmental effects of the adoption of such new or
improved technologies;
(d) Co-operate actively, subject to their national laws, regulations and policies, in
the transfer of technology and management systems related to the environmentally sound
management of hazardous wastes and other wastes. They shall also co-operate in developing
the technical capacity among Parties, especially those which may need and request technical
assistance in this field;
3. The Parties shall employ appropriate means to co-operate in order to assist developing
countries in the implementation of subparagraphs a, b, c and d of paragraph 2 of Article 4.
4. Taking into account the needs of developing countries, co-operation between Parties
and the competent international organizations is encouraged to promote, inter alia, public
awareness, the development of sound management of hazardous wastes and other wastes and
the adoption of new low-waste technologies.
Article 11
14
Bilateral, Multilateral and Regional Agreements
2. Parties shall notify the Secretariat of any bilateral, multilateral or regional agreements
or arrangements referred to in paragraph 1 and those which they have entered into prior to the
entry into force of this Convention for them, for the purpose of controlling transboundary
movements of hazardous wastes and other wastes which take place entirely among the Parties
to such agreements. The provisions of this Convention shall not affect transboundary
movements which take place pursuant to such agreements provided that such agreements are
compatible with the environmentally sound management of hazardous wastes and other
wastes as required by this Convention.
Article 12
Consultations on Liability
The Parties shall co-operate with a view to adopting, as soon as practicable, a protocol
setting out appropriate rules and procedures in the field of liability and compensation for
damage resulting from the transboundary movement and disposal of hazardous wastes and
other wastes.
Article 13
Transmission of Information
1. The Parties shall, whenever it comes to their knowledge, ensure that, in the case of an
accident occurring during the transboundary movement of hazardous wastes or other wastes
or their disposal, which are likely to present risks to human health and the environment in
other States, those states are immediately informed.
2. The Parties shall inform each other, through the Secretariat, of:
(c) Decisions made by them not to consent totally or partially to the import of
hazardous wastes or other wastes for disposal within the area under their national jurisdiction;
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(d) Decisions taken by them to limit or ban the export of hazardous wastes or
other wastes;
3. The Parties, consistent with national laws and regulations, shall transmit, through the
Secretariat, to the Conference of the Parties established under Article 15, before the end of
each calendar year, a report on the previous calendar year, containing the following
information:
(a) Competent authorities and focal points that have been designated by them
pursuant to Article 5;
(i) The amount of hazardous wastes and other wastes exported, their
category, characteristics, destination, any transit country and disposal method as
stated on the response to notification;
(ii) The amount of hazardous wastes and other wastes imported, their
category, characteristics, origin, and disposal methods;
(g) Information on disposal options operated within the area of their national
jurisdiction;
(i) Such other matters as the Conference of the Parties shall deem relevant.
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4. The Parties, consistent with national laws and regulations, shall ensure that copies of
each notification concerning any given transboundary movement of hazardous wastes or
other wastes, and the response to it, are sent to the Secretariat when a Party considers that its
environment may be affected by that transboundary movement has requested that this should
be done.
Article 14
Financial Aspects
1. The Parties agree that, according to the specific needs of different regions and
subregions, regional or sub-regional centres for training and technology transfers regarding
the management of hazardous wastes and other wastes and the minimization of their
generation should be established. The Parties shall decide on the establishment of appropriate
funding mechanisms of a voluntary nature.
2. The Parties shall consider the establishment of a revolving fund to assist on an interim
basis in case of emergency situations to minimize damage from accidents arising from
transboundary movements of hazardous wastes and other wastes or during the disposal of
those wastes.
Article 15
1. A Conference of the Parties is hereby established. The first meeting of the Conference
of the Parties shall be convened by the Executive Director of UNEP not later than one year
after the entry into force of this Convention. Thereafter, ordinary meetings of the Conference
of the Parties shall be held at regular intervals to be determined by the Conference at its first
meeting.
2. Extraordinary meetings of the Conference of the Parties shall be held at such other
times as may be deemed necessary by the Conference, or at the written request of any Party,
provided that, within six months of the request being communicated to them by the
Secretariat, it is supported by at least one third of the Parties.
3. The Conference of the Parties shall by consensus agree upon and adopt rules of
procedure for itself and for any subsidiary body it may establish, as well as financial rules to
determine in particular the financial participation of the Parties under this Convention.
4. The Parties at their first meeting shall consider any additional measures needed to
assist them in fulfilling their responsibilities with respect to the protection and the
preservation of the marine environment in the context of this Convention.
5. The Conference of the Parties shall keep under continuous review and evaluation the
effective implementation of this Convention, and, in addition, shall:
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(a) Promote the harmonization of appropriate policies, strategies and measures for
minimizing harm to human health and the environment by hazardous wastes and other
wastes;
(b) Consider and adopt, as required, amendments to this Convention and its
annexes, taking into consideration, inter alia, available scientific, technical, economic and
environmental information;
(c) Consider and undertake any additional action that may be required for the
achievement of the purposes of this Convention in the light of experience gained in its
operation and in the operation of the agreements and arrangements envisaged in Article 11;
(e) Establish such subsidiary bodies as are deemed necessary for the
implementation of this Convention.
6. The United Nations, its specialized agencies, as well as any State not Party to this
Convention, may be represented as observers at meetings of the Conference of the Parties.
Any other body or agency, whether national or international, governmental or non-
governmental, qualified in fields relating to hazardous wastes or other wastes which has
informed the Secretariat of its wish to be represented as an observer at a meeting of the
Conference of Parties, may be admitted unless at least one third of the Parties present object.
The admission and participation of observers shall be subject to the rules of procedure
adopted by the Conference of the Parties.
7. The Conference of the Parties shall undertake three years after the entry into force of
this Convention, and at least every six years thereafter, an evaluation of its effectiveness and,
if deemed necessary, to consider the adoption of a complete or partial ban of transboundary
movements of hazardous wastes and other wastes in light of the latest scientific,
environmental, technical and economic information.
Article 16
Secretariat
(a) To arrange for and service meetings provided for in Articles 15 and 17;
(d) To ensure the necessary coordination with relevant international bodies, and in
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particular to enter into such administrative and contractual arrangements as may be required
for the effective discharge of its function;
(i) To assist Parties upon request in their identification of cases of illegal traffic
and to circulate immediately to the Parties concerned any information it has received
regarding illegal traffic;
(j) To co-operate with Parties and with relevant and competent international
organizations and agencies in the provision of experts and equipment for the purpose of rapid
assistance to States in the event of an emergency situation; and
(k) To perform such other functions relevant to the purposes of this Convention as
may be determined by the Conference of the Parties.
2. The Secretariat functions will be carried out on an interim basis by UNEP until the
completion of the first meeting of the Conference of the Parties held pursuant to Article 15.
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3. At its first meeting, the Conference of the Parties shall designate the Secretariat from
among those existing competent intergovernmental organizations which have signified their
willingness to carry out the Secretariat functions under this Convention. At this meeting, the
Conference of the Parties shall also evaluate the implementation by the interim Secretariat of
the functions assigned to it, in particular under paragraph 1 above, and decide upon the
structures appropriate for those functions.
Article 17
1. Any Party may propose amendments to this Convention and any Party to a protocol
may propose amendments to that protocol. Such amendments shall take due account, inter
alia, of relevant scientific and technical considerations.
3. The Parties shall make every effort to reach agreement on any proposed amendment
to this Convention by consensus. If all efforts at consensus have been exhausted, and no
agreement reached, the amendment shall as a last resort be adopted by a three-fourths
majority of the Parties present and voting at the meeting, and shall be submitted by the
Depositary to all Parties for ratification, approval, formal confirmation or acceptance.
6. For the purpose of this Article, "Parties present and voting" means Parties present and
casting an affirmative or negative vote.
Article 18
20
Adoption and Amendment of Annexes
1. The annexes to this Convention or to any protocol shall form an integral part of this
Convention or of such protocol, as the case may be and, unless expressly provided otherwise,
a reference to this Convention or its protocols constitutes at the same time a reference to any
annexes thereto. Such annexes shall be restricted to scientific, technical and administrative
matters.
2. Except as may be otherwise provided in any protocol with respect to its annexes, the
following procedure shall apply to the proposal, adoption and entry into force of additional
annexes to this Convention or of annexes to a protocol:
(a) Annexes to this Convention and its protocols shall be proposed and adopted
according to the procedure laid down in Article 17, paragraphs 2, 3 and 4;
(b) Any Party that is unable to accept an additional annex to this Convention or an
annex to any protocol to which it is party shall so notify the Depositary, in writing, within six
months from the date of the communication of the adoption by the Depositary. The
Depositary shall without delay notify all Parties of any such notification received. A Party
may at any time substitute an acceptance for a previous declaration of objection and the
annexes shall thereupon enter into force for that Party;
(c) On the expiry of six months from the date of the circulation of the
communication by the Depositary, the annex shall become effective for all Parties to this
Convention or to any protocol concerned, which have not submitted a notification in
accordance with the provision of subparagraph (b) above.
3. The proposal, adoption and entry into force of amendments to annexes to this
Convention or to any protocol shall be subject to the same procedure as for the proposal,
adoption and entry into force of annexes to the Convention or annexes to a protocol. Annexes
and amendments thereto shall take due account, inter alia, of relevant scientific and technical
considerations.
Article 19
Verification
Any Party which has reason to believe that another Party is acting or has acted in
breach of its obligations under this Convention may inform the Secretariat thereof, and in
such an event, shall simultaneously and immediately inform, directly or through the
Secretariat, the Party against whom the allegations are made. All relevant information should
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be submitted by the Secretariat to the Parties.
Article 20
Settlement of Disputes
2. If the Parties concerned cannot settle their dispute through the means mentioned in the
preceding paragraph, the dispute, if the Parties to the dispute agree, shall be submitted to the
International Court of Justice or to arbitration under the conditions set out in Annex VI on
Arbitration. However, failure to reach common agreement on submission of the dispute to the
International Court of Justice or to arbitration shall not absolve the Parties from the
responsibility of continuing to seek to resolve it by the means referred to in paragraph 1.
(b) arbitration in accordance with the procedures set out in Annex VI.
Such declaration shall be notified in writing to the Secretariat which shall communicate it to
the Parties.
Article 21
Signature
This Convention shall be open for signature by States, by Namibia, represented by the
United Nations Council for Namibia, and by political and/or economic integration
organizations, in Basel on 22 March 1989, at the Federal Department of Foreign Affairs of
Switzerland in Berne from 23 March 1989 to 30 June 1989 and at United Nations
Headquarters in New York from 1 July 1989 to 22 March 1990.
22
Article 22
Article 23
Accession
3. The provisions of Article 22, paragraph 2, shall apply to political and/or economic
integration organizations which accede to this Convention.
Article 24
Right to Vote
23
competence, in accordance with Article 22, paragraph 3, and Article 23, paragraph 2, shall
exercise their right to vote with a number of votes equal to the number of their member States
which are Parties to the Convention or the relevant protocol. Such organizations shall not
exercise their right to vote if their member States exercise theirs, and vice versa.
Article 25
1. This Convention shall enter into force on the ninetieth day after the day of deposit of
the twentieth instrument of ratification, acceptance, formal confirmation, approval or
accession.
2. For each State or political and/or economic integration organization which ratifies,
accepts, approves or formally confirms this Convention or accedes thereto after the date of
the deposit of the twentieth instrument of ratification, acceptance, approval, formal
confirmation or accession, it shall enter into force on the ninetieth day after the date of
deposit by such State or political and/or economic integration organization of its instrument
of ratification, acceptance, approval, formal confirmation or accession.
3. For the purpose of paragraphs 1 and 2 above, any instrument deposited by a political
and/or economic integration organization shall not be counted as additional to those deposited
by member States of such organization.
Article 26
2. Paragraph 1 of this Article does not preclude a State or political and/or economic
integration organization, when signing, ratifying, accepting, approving, formally confirming
or acceding to this Convention, from making declarations or statements, however phrased or
named, with a view, inter alia, to the harmonization of its laws and regulations with the
provisions of this Convention, provided that such declarations or statements do not purport to
exclude or to modify the legal effects of the provisions of the Convention in their application
to that State.
Article 27
Withdrawal
1. At any time after three years from the date on which this Convention has entered into
force for a Party, that Party may withdraw from the Convention by giving written notification
to the Depositary.
2. Withdrawal shall be effective one year from receipt of notification by the Depositary,
24
or on such later date as may be specified in the notification.
Article 28
Depository
Article 29
Authentic texts
The original Arabic, Chinese, English, French, Russian and Spanish texts of this
Convention are equally authentic.
IN WITNESS WHEREOF the undersigned, being duly authorized to that effect, have
signed this Convention.
25
Annex I
Waste Streams
Y1 Clinical wastes from medical care in hospitals, medical centers and clinics
Y2 Wastes from the production and preparation of pharmaceutical products
Y3 Waste pharmaceuticals, drugs and medicines
Y4 Wastes from the production, formulation and use of biocides and
phytopharmaceuticals
Y5 Wastes from the manufacture, formulation and use of wood preserving chemicals
Y6 Wastes from the production, formulation and use of organic solvents
Y7 Wastes from heat treatment and tempering operations containing cyanides
Y8 Waste mineral oils unfit for their originally intended use
Y9 Waste oils/water, hydrocarbons/water mixtures, emulsions
Y10 Waste substances and articles containing or contaminated with polychlorinated
biphenyls (PCBs) and/or polychlorinated terphenyls (PCTs) and/or polybrominated
biphenyls (PBBs)
Y11 Waste tarry residues arising from refining, distillation and any pyrolytic treatment
Y12 Wastes from production, formulation and use of inks, dyes, pigments, paints, lacquers,
varnish
Y13 Wastes from production, formulation and use of resins, latex, plasticizers,
glues/adhesives
Y14 Waste chemical substances arising from research and development or teaching
activities which are not identified and/or are new and whose effects on man and/or the
environment are not known
Y15 Wastes of an explosive nature not subject to other legislation
Y16 Wastes from production, formulation and use of photographic chemicals and
processing materials
Y17 Wastes resulting from surface treatment of metals and plastics
Y18 Residues arising from industrial waste disposal operations
26
Y34 Acidic solutions or acids in solid form
Y35 Basic solutions or bases in solid form
Y36 Asbestos (dust and fibres)
Y37 Organic phosphorus compounds
Y38 Organic cyanides
Y39 Phenols; phenol compounds including chlorophenols
Y40 Ethers
Y41 Halogenated organic solvents
Y42 Organic solvents excluding halogenated solvents
Y43 Any congenor of polychlorinated dibenzo-furan
Y44 Any congenor of polychlorinated dibenzo-p-dioxin
Y45 Organohalogen compounds other than substances referred to in this Annex (e.g. Y39,
Y41, Y42, Y43, Y44)
Decision IV/9 adopted by the fourth meeting of the Conference of the Parties amended Annex
I by adding the following paragraphs (a, b, c and d) to it:
Annex II
Annex III
27
LIST OF HAZARDOUS CHARACTERISTICS
1 H1 Explosive
An explosive substance or waste is a solid or liquid substance
or waste (or mixture of substances or wastes) which is in itself
capable by chemical reaction of producing gas at such a
temperature and pressure and at such speed as to cause damage
to the surroundings.
3 H3 Flammable liquids
The word "flammable" has the same meaning as
"inflammable." Flammable liquids are liquids, or mixtures of
liquids, or liquids containing solids in solution or suspension
(for example, paints, varnishes, lacquers, etc., but not including
substances or wastes otherwise classified on account of their
dangerous characteristics) which give off a flammable vapour
at temperatures of not more than 60.5E C, closed-cup test, or
not more than 65.6EC, open-cup test. (Since the results of
open-cup tests and of closed-cup tests are not strictly
comparable and even individual results by the same test are
often variable, regulations varying from the above figures to
make allowance for such differences would be within the spirit
of this definition.)
1
Corresponds to the hazard classification system included in the United Nations Recommendations on
the Transport of Dangerous Goods (ST/SG/AC.10/1Rev.5, United Nations, New York, 1988).
28
5.1 H5.1 Oxidizing
Substances or wastes which, while in themselves not
necessarily combustible, may, generally by yielding oxygen
cause, or contribute to, the combustion of other materials.
8 H8 Corrosives
Substances or wastes which, by chemical action, will cause
severe damage when in contact with living tissue, or, in the
case of leakage, will materially damage, or even destroy, other
goods or the means of transport; they may also cause other
hazards.
9 H12 Ecotoxic
Substances or wastes which if released present or may present
immediate or delayed adverse impacts to the environment by
means of bioaccumulation and/or toxic effects upon biotic
systems.
29
Tests
The potential hazards posed by certain types of wastes are not yet fully documented;
tests to define quantitatively these hazards do not exist. Further research is necessary in order
to develop means to characterize potential hazards posed to man and/or the environment by
these wastes. Standardized tests have been derived with respect to pure substances and
materials. Many countries have developed national tests which can be applied to materials
listed in Annex I, in order to decide if these materials exhibit any of the characteristics listed
in this Annex.
Annex IV
DISPOSAL OPERATIONS
30
B. OPERATIONS WHICH MAY LEAD TO RESOURCE RECOVERY, RECYCLING
RECLAMATION, DIRECT RE-USE OR ALTERNATIVE USES
R1 Use as a fuel (other than in direct incineration) or other means to generate energy
R2 Solvent reclamation/regeneration
R3 Recycling/reclamation of organic substances which are not used as solvents
R4 Recycling/reclamation of metals and metal compounds
R5 Recycling/reclamation of other inorganic materials
R6 Regeneration of acids or bases
R7 Recovery of components used for pollution abatement
R8 Recovery of components from catalysts
R9 Used oil re-refining or other reuses of previously used oil
R10 Land treatment resulting in benefit to agriculture or ecological improvement
R11 Uses of residual materials obtained from any of the operations numbered R1-R10
R12 Exchange of wastes for submission to any of the operations numbered R1-R11
R13 Accumulation of material intended for any operation in Section B
Annex V A
10. Projected date(s) of shipment(s) and period of time over which waste is to be exported
and proposed itinerary (including point of entry and exit) 3/
31
11. Means of transport envisaged (road, rail, sea, air, inland waters)
13. Designation and physical description of the waste including Y number and UN
number and its composition 5/ and information on any special handling requirements
including emergency provisions in case of accidents
17. For wastes listed in Annex I, classifications from Annex III: hazardous characteristic,
H number, and UN class
19. Declaration by the generator and exporter that the information is correct
20. Information transmitted (including technical description of the plant) to the exporter
or generator from the disposer of the waste upon which the latter has based his
assessment that there was no reason to believe that the wastes will not be managed in
an environmentally sound manner in accordance with the laws and regulations of the
country of import.
21. Information concerning the contract between the exporter and disposer.
Notes
1/ Full name and address, telephone or telefax number and the name, address, telephone,
telex or telefax number of the person to be contacted.
3/ In the case of a general notification covering several shipments, either the expected
dates of each shipment or, if this is not known, the expected frequency of the
shipments will be required.
4/ Information to be provided on relevant insurance requirements and how they are met
by exporter, carrier and disposer.
5/ The nature and the concentration of the most hazardous components, in terms of
toxicity and other dangers presented by the waste both in handling and in relation to
the proposed disposal method.
32
6/ In the case of a general notification covering several shipments, both the estimated
total quantity and the estimated quantities for each individual shipment will be
required.
7/ Insofar as this is necessary to assess the hazard and determine the appropriateness of
the proposed disposal operation.
Annex V B
6. The date the transboundary movement started and date(s) and signature on receipt by
each person who takes charge of the waste
7. Means of transport (road, rail, inland waterway, sea, air) including countries of export,
transit and import, also point of entry and exit where these have been designated
8. General description of the waste (physical state, proper UN shipping name and class,
UN number, Y number and H number as applicable)
13. Declaration by the generator or exporter indicating no objection from the competent
authorities of all States concerned which are Parties
33
Notes
1/ Full name and address, telephone or telefax number and the name, address, telephone,
telex or telefax number of the person to be contacted in case of emergency.
Annex VI
ARBITRATION
Article 1
Article 2
The claimant party shall notify the Secretariat that the Parties have agreed to submit
the dispute to arbitration pursuant to paragraph 2 or paragraph 3 of Article 20 and include, in
particular, the Articles of the Convention the interpretation or application of which are at
issue. The Secretariat shall forward the information thus received to all Parties to the
Convention.
Article 3
The arbitral tribunal shall consist of three members. Each of the Parties to the dispute
shall appoint an arbitrator, and the two arbitrators so appointed shall designate by common
agreement the third arbitrator, who shall be the chairman of the tribunal. The latter shall not
be a national of one of the Parties to the dispute, nor have his usual place of residence in the
territory of one of these Parties, nor be employed by any of them, nor have dealt with the case
in any other capacity.
Article 4
1. If the chairman of the arbitral tribunal has not been designated within two months of
the appointment of the second arbitrator, the Secretary-General of the United Nations shall, at
the request of either Party, designate him within a further two months period.
2. If one of the Parties to the dispute does not appoint an arbitrator within two months of
the receipt of the request, the other Party may inform the Secretary-General of the United
Nations who shall designate the chairman of the arbitral tribunal within a further two months'
period. Upon designation, the chairman of the arbitral tribunal shall request the Party which
has not appointed an arbitrator to do so within two months. After such period, he shall inform
the Secretary-General of the United Nations, who shall make this appointment within a
34
further two months' period.
Article 5
1. The arbitral tribunal shall render its decision in accordance with international law and
in accordance with the provisions of this Convention.
2. Any arbitral tribunal constituted under the provisions of this Annex shall draw up its
own rules of procedure.
Article 6
1. The decisions of the arbitral tribunal both on procedure and on substance, shall be
taken by majority vote of its members.
2. The tribunal may take all appropriate measures in order to establish the facts. It may,
at the request of one of the Parties, recommend essential interim measures of protection.
3. The Parties to the dispute shall provide all facilities necessary for the effective
conduct of the proceedings.
4. The absence or default of a Party in the dispute shall not constitute an impediment to
the proceedings.
Article 7
The tribunal may hear and determine counter-claims arising directly out of the
subject-matter of the dispute.
Article 8
Article 9
Any Party that has an interest of a legal nature in the subject-matter of the dispute
which may be affected by the decision in the case, may intervene in the proceedings with the
consent of the tribunal.
Article 10
1. The tribunal shall render its award within five months of the date on which it is
established unless it finds it necessary to extend the time-limit for a period which should not
exceed five months.
35
3. Any dispute which may arise between the Parties concerning the interpretation or
execution of the award may be submitted by either Party to the arbitral tribunal which made
the award or, if the latter cannot be seized thereof, to another tribunal constituted for this
purpose in the same manner as the first.
Annex VII
Parties and other States which are members of OECD, EC, Liechtenstein.
Annex VIII
LIST A
A1010 Metal wastes and waste consisting of alloys of any of the following:
• Antimony
• Arsenic
• Beryllium
2
Annex VII is an integral part of the Amendment adopted by the third meeting of the Conference of Parties in
1995 in its Decision III/1. The Amendment is not yet in force. The text of the Decision III/1 is the following:
The Conference
1. Each Party listed in Annex VII shall prohibit all transboundary movements of hazardous wastes
which are destined for operations according to Annex IV A, to States not listed in Annex VII.
2. Each Party listed in Annex VII shall phase out by 31 December 1997, and prohibit as of that
date, all transboundary movements of hazardous wastes under Article 1(I)(a) of the Convention which
are destined for operations according to Annex IV B to States not listed in Annex VII. Such
transboundary movement shall not be prohibited unless the wastes in question are characterised as
hazardous under the Convention.
36
• Cadmium
• Lead
• Mercury
• Selenium
• Tellurium
• Thallium
• Metal carbonyls
• Hexavalent chromium compounds
A1070 Leaching residues from zinc processing, dust and sludges such as jarosite,
hematite, etc.
A1080 Waste zinc residues not included on list B, containing lead and cadmium in
concentrations sufficient to exhibit Annex III characteristics
A1100 Dusts and residues from gas cleaning systems of copper smelters
A1120 Waste sludges, excluding anode slimes, from electrolyte purification systems
in copper electrorefining and electrowinning operations
37
A1130 Spent etching solutions containing dissolved copper
A1150 Precious metal ash from incineration of printed circuit boards not included on
list B3
A1170 Unsorted waste batteries excluding mixtures of only list B batteries. Waste
batteries not specified on list B containing Annex I constituents to an extent to
render them hazardous
A2010 Glass waste from cathode-ray tubes and other activated glasses
A2020 Waste inorganic fluorine compounds in the form of liquids or sludges but
excluding such wastes specified on list B
A2040 Waste gypsum arising from chemical industry processes, when containing
Annex I constituents to the extent that it exhibits an Annex III hazardous
characteristic (note the related entry on list B B2080)
33
Note that mirror entry on list B (B1160) does not specify exceptions.
44.
This entry does not include scrap assemblies from electric power generation.
55
PCBs are at a concentration level of 50 mg/kg or more.
38
A2060 Coal-fired power plant fly-ash containing Annex I substances in
concentrations sufficient to exhibit Annex III characteristics (note the related
entry on list B B2050)
A3010 Waste from the production or processing of petroleum coke and bitumen
A3020 Waste mineral oils unfit for their originally intended use
A3030 Wastes that contain, consist of or are contaminated with leaded anti-knock
compound sludges
A3050 Wastes from production, formulation and use of resins, latex, plasticizers,
glues/adhesives excluding such wastes specified on list B (note the related
entry on list B B4020)
A3090 Waste leather dust, ash, sludges and flours when containing hexavalent
chromium compounds or biocides (note the related entry on list B B3100)
A3100 Waste paring and other waste of leather or of composition leather not suitable
for the manufacture of leather articles containing hexavalent chromium
compounds or biocides (note the related entry on list B B3090)
A3140 Waste non-halogenated organic solvents but excluding such wastes specified
on list B
39
(such as chloromethane, dichloro-ethane, vinyl chloride, vinylidene chloride,
allyl chloride and epichlorhydrin)
A3190 Waste tarry residues (excluding asphalt cements) arising from refining,
distillation and any pyrolitic treatment of organic materials
A4010 Wastes from the production, preparation and use of pharmaceutical products
but excluding such wastes specified on list B
A4020 Clinical and related wastes; that is wastes arising from medical, nursing,
dental, veterinary, or similar practices, and wastes generated in hospitals or
other facilities during the investigation or treatment of patients, or research
projects
A4030 Wastes from the production, formulation and use of biocides and
phytopharmaceuticals, including waste pesticides and herbicides which are
off-specification, outdated,7 or unfit for their originally intended use
A4050 Wastes that contain, consist of or are contaminated with any of the following:
A4070 Wastes from the production, formulation and use of inks, dyes, pigments,
paints, lacquers, varnish excluding any such waste specified on list B (note the
related entry on list B B4010)
66
The 50 mg/kg level is considered to be an internationally practical level for all wastes. However, many
individual countries have established lower regulatory levels (e.g., 20 mg/kg) for specific wastes.
77
"Outdated" means unused within the period recommended by the manufacturer.
88
This entry does not include wood treated with wood preserving chemicals.
40
A4080 Wastes of an explosive nature (but excluding such wastes specified on list B)
A4090 Waste acidic or basic solutions, other than those specified in the corresponding
entry on list B (note the related entry on list B B2120)
A4100 Wastes from industrial pollution control devices for cleaning of industrial off-
gases but excluding such wastes specified on list B
A4110 Wastes that contain, consist of or are contaminated with any of the following:
A4150 Waste chemical substances arising from research and development or teaching
activities which are not identified and/or are new and whose effects on human
health and/or the environment are not known
A4160 Spent activated carbon not included on list B (note the related entry on list B
B2060)
Annex IX
LIST B
Wastes contained in the Annex will not be wastes covered by Article 1, paragraph 1
(a), of this Convention unless they contain Annex I material to an extent causing them to
exhibit an Annex III characteristic.
• Precious metals (gold, silver, the platinum group, but not mercury)
• Iron and steel scrap
• Copper scrap
• Nickel scrap
• Aluminium scrap
99
"Outdated" means unused within the period recommended by the manufacturer.
41
• 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
B1020 Clean, uncontaminated metal scrap, including alloys, in bulk finished form
(sheet, plate, beams, rods, etc), of:
• Antimony scrap
• Beryllium scrap
• Cadmium scrap
• Lead scrap (but excluding lead-acid batteries)
• Selenium scrap
• Tellurium scrap
B1040 Scrap assemblies from electrical power generation not contaminated with
lubricating oil, PCB or PCT to an extent to render them hazardous
B1050 Mixed non-ferrous metal, heavy fraction scrap, not containing Annex I
materials in concentrations sufficient to exhibit Annex III characteristics10
B1060 Waste selenium and tellurium in metallic elemental form including powder
1010
Note that even where low level contamination with Annex I materials initially exists, subsequent processes,
including recycling processes, may result in separated fractions containing significantly enhanced
concentrations of those Annex I materials.
42
B1070 Waste of copper and copper alloys in dispersible form, unless they contain
Annex I constituents to an extent that they exhibit Annex III characteristics
B1080 Zinc ash and residues including zinc alloys residues in dispersible form unless
containing Annex I constituents in concentration such as to exhibit Annex III
characteristics or exhibiting hazard characteristic H4.311
B1090 Waste batteries conforming to a specification, excluding those made with lead,
cadmium or mercury
B1100 Metal-bearing wastes arising from melting, smelting and refining of metals:
1111
The status of zinc ash is currently under review and there is a recommendation with the United Nations
Conference on Trade and Development (UNCTAD) that zinc ashes should not be dangerous goods.
1212
This entry does not include scrap from electrical power generation.
43
electronic components and wires) destined for direct reuse,13 and not for
recycling or final disposal14
B1120 Spent catalysts excluding liquids used as catalysts, containing any of:
B1150 Precious metals and alloy wastes (gold, silver, the platinum group, but not
mercury) in a dispersible, non-liquid form with appropriate packaging and
labelling
B1160 Precious-metal ash from the incineration of printed circuit boards (note the
related entry on list A A1150)
B1180 Waste photographic film containing silver halides and metallic silver
B1190 Waste photographic paper containing silver halides and metallic silver
B1200 Granulated slag arising from the manufacture of iron and steel
B1210 Slag arising from the manufacture of iron and steel including slags as a source
1313
Reuse can include repair, refurbishment or upgrading, but not major reassembly.
1414
In some countries these materials destined for direct re-use are not considered wastes.
44
of TiO2 and vanadium
B1220 Slag from zinc production, chemically stabilized, having a high iron content
(above 20%) and processed according to industrial specifications (e.g., DIN
4301) mainly for construction
B1230 Mill scaling arising from the manufacture of iron and steel
• Cullet and other waste and scrap of glass except for glass from cathode-ray
tubes and other activated glasses
45
B2050 Coal-fired power plant fly-ash, not included on list A (note the related entry on
list A A2060)
B2060 Spent activated carbon resulting from the treatment of potable water and
processes of the food industry and vitamin production (note the related entry
on list A A4160)
B2080 Waste gypsum arising from chemical industry processes not included on list A
(note the related entry on list A A2040)
B2090 Waste anode butts from steel or aluminium production made of petroleum
coke or bitumen and cleaned to normal industry specifications (excluding
anode butts from chlor alkali electrolyses and from metallurgical industry)
B2100 Waste hydrates of aluminium and waste alumina and residues from alumina
production excluding such materials used for gas cleaning, flocculation or
filtration processes
B2110 Bauxite residue ("red mud") (pH moderated to less than 11.5)
B2120 Waste acidic or basic solutions with a pH greater than 2 and less than 11.5,
which are not corrosive or otherwise hazardous (note the related entry on list A
A4090)
The following plastic or mixed plastic materials, provided they are not mixed
with other wastes and are prepared to a specification:
- ethylene
- styrene
- polypropylene
- polyethylene terephthalate
- acrylonitrile
- butadiene
- polyacetals
- polyamides
- polybutylene terephthalate
- polycarbonates
1515
It is understood that such scraps are completely polymerized.
46
- polyethers
- polyphenylene sulphides
- acrylic polymers
- alkanes C10-C13 (plasticiser)
- polyurethane (not containing CFCs)
- polysiloxanes
- polymethyl methacrylate
- polyvinyl alcohol
- polyvinyl butyral
- polyvinyl acetate
- perfluoroethylene/propylene (FEP)
- perfluoroalkoxy alkane (PFA)
- perfluoroalkoxy alkane (MFA)
- polyvinylfluoride (PVF)
- polyvinylidenefluoride (PVDF)
The following materials, provided they are not mixed with hazardous wastes:
The following materials, provided they are not mixed with other wastes and
are prepared to a specification:
• Silk waste (including cocoons unsuitable for reeling, yarn waste and garnetted
1616
Post-consumer wastes are excluded from this entry: - Wastes shall not be mixed - Problems arising from
open-burning practices to be considered
47
stock)
• Waste of wool or of fine or coarse animal hair, including yarn waste but
excluding garnetted stock
- of synthetic fibres
- of artificial fibres
- sorted
- other
The following materials, provided they are not mixed with other wastes:
48
• Wood waste and scrap, whether or not agglomerated in logs, briquettes, pellets
or similar forms
• Cork waste: crushed, granulated or ground cork
• Wine lees
• Dried and sterilized vegetable waste, residues and byproducts, whether or not
in the form of pellets, of a kind used in animal feeding, not elsewhere
specified or included
• Degras: residues resulting from the treatment of fatty substances or animal or
vegetable waxes
• Waste of bones and horn-cores, unworked, defatted, simply prepared (but not
cut to shape), treated with acid or degelatinised
• Fish waste
• Cocoa shells, husks, skins and other cocoa waste
• Other wastes from the agro-food industry excluding by-products which meet
national and international requirements and standards for human or animal
consumption
B3090 Paring and other wastes of leather or of composition leather not suitable for
the manufacture of leather articles, excluding leather sludges, not containing
hexavalent chromium compounds and biocides (note the related entry on list A
A3100)
B3100 Leather dust, ash, sludges or flours not containing hexavalent chromium
compounds or biocides (note the related entry on list A A3090)
B3130 Waste polymer ethers and waste non-hazardous monomer ethers incapable of
forming peroxides
B3140 Waste pneumatic tyres, excluding those destined for Annex IVA operations
49
B4010 Wastes consisting mainly of water-based/latex paints, inks and hardened
varnishes not containing organic solvents, heavy metals or biocides to an
extent to render them hazardous (note the related entry on list A A4070)
B4020 Wastes from production, formulation and use of resins, latex, plasticizers,
glues/adhesives, not listed on list A, free of solvents and other contaminants to
an extent that they do not exhibit Annex III characteristics, e.g., water-based,
or glues based on casein starch, dextrin, cellulose ethers, polyvinyl alcohols
(note the related entry on list A A3050)
50
DECISIONS ADOPTED BY THE
FIRST MEETING
OF THE CONFERENCE OF THE PARTIES
in Piriapolis, Uruguay
on 4 December 1992
51
I/1. RULES OF PROCEDURE
The Conference
1. Adopts the rules of procedure attached to the report of the First Meeting of the
Conference of the Parties to the Basel Convention as Annex III;
2. Decides that the Second Meeting of the Conference of the Parties shall take place in
February/March 1994;
3. Further decides that the Third Meeting of the Conference of the Parties shall take
place in April/May 1995.
The Conference
2. Requests the Open-ended Ad Hoc Committee to fulfil the tasks placed on it by this
decision and decisions I/3, I/7, 9, 11, 13, 15 and 19, and to present a report on its work to the
Second Meeting of the Conference of the Parties;
3. Requests the Secretariat of the Basel Convention to convene the Open-ended Ad Hoc
Committee and any subgroups the Ad Hoc Committee needs to establish to facilitate its work
subject to available resources.
The Conference
Requests the Secretariat of the Basel Convention to identify the purposes of and to
52
prepare the outline for a manual, in consultation with the Open-ended Ad Hoc Committee,
and to report on its progress to the Second Meeting of the Conference of the Parties.
The Conference
1. Welcomes the response of the Contracting Parties to the Convention on the Prevention
of Marine Pollution by Dumping of Wastes and Other Matter, 1972, in response to Resolution
2 of the Basel Convention;
2. Invites the 16th Consultative Meeting of the Convention on the Prevention of Marine
Pollution by Dumping of Wastes and Other Matter, 1972 (LDC), as well as the 1994
Conference on amending the Convention on the Prevention of Marine Pollution by Dumping
of Wastes and Other Matter, 1972, to consider the measures embodied in LDC Resolutions
29(10), 39(13), 42(13) and 43(13) in the possible amendments to the Convention on the
Prevention of Marine Pollution by Dumping of Wastes and Other Matter, 1972, or its
annexes;
3. Further invites all Parties to the Convention on the Prevention of Marine Pollution by
Dumping of Wastes and Other Matter, 1972, which are not Parties to the Basel Convention to
become Parties to the Basel Convention;
4. Requests the Secretariat of the Basel Convention to ensure that the technical standards
of the Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other
Matter, 1972, be fully taken into account during the further development of technical
guidelines for the environmentally sound management of wastes subject to the Basel
Convention.
1717
The informal name of the Convention was changed from the "London Dumping Convention" (LDC) to the
"London Convention, 1972" (LC, 1972) (Fifteenth Consultative Meeting of the Contracting Parties to the
Convention) (November 1992).
53
I/5. LIABILITY AND COMPENSATION
The Conference
Having considered the reports of the ad hoc working group contained in documents
UNEP/CHW/WG.1/3 and UNEP/CHW/WG.1/2/3 as well as the reports of the Executive
Director of UNEP contained in documents UNEP/CHW.1/2 and UNEP/CHW.1/4,
1. Notes with appreciation the report of the ad hoc working group contained in
documents UNEP/CHW/WG.1/3 and UNEP/CHW/WG.1/2/3 and the reports of the
Executive Director in documents UNEP/CHW.1/2 and UNEP/CHW.1/4;
3. Decides also that the Working Group, at its first meeting, should consider, inter alia,
the adequacy of the factual basis on which further efforts can best proceed, take the steps
necessary to improve this information, and keep the matter under review at subsequent
meetings;
4. Requests the Secretariat of the Basel Convention to convene this group which shall
report on the progress of its work to the Second Meeting of the Conference of the Parties to
the Basel Convention to facilitate the adoption of the protocol referred to in paragraph 2
above.
The Conference
54
1. Welcomes the adoption by the General Conference of the International Atomic Centre
Energy Agency (IAEA) of the code of practice which affirms the general principles and
objectives of the Basel Convention;
3. Requests the Secretariat of the Basel Convention to continue its cooperation and
exchange of information with the IAEA on the matters referred to in paragraph 2 above.
The Conference
Recalling paragraph 3 of Article 16 of the Basel Convention stipulating that at its first
meeting the Conference of the Parties shall designate the Secretariat from among those
existing competent intergovernmental organizations which have signalled their willingness to
carry out the Secretariat functions under this Convention,
Having considered the note of the Executive Director of the United Nations
Environment Programme in document UNEP/CHW.1/9 and its corrigenda,
1. Requests the United Nations Environment Programme to carry out the functions of
the Basel Convention Secretariat;
3. Approves the budget of the Convention and its Secretariat for 1993 and 1994 as
included in the Annex I of this decision;
4. Decides that the contributions of the Parties to the budget of the Convention and its
Secretariat shall be according to the formula in the annex to this decision and subject to
consideration by the Open-ended Ad Hoc Committee of the distribution of the contributions
for 1994;
5. Invites the Secretary-General of the United Nations to establish a Trust Fund for the
Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and
their Disposal and a technical cooperation trust fund to support developing countries and
other countries in need of technical assistance in the implementation of the Basel Convention,
in accordance with the financial regulations and rules of the United Nations, the general
procedures governing the operations of the Environment Fund of the United Nations
Environment Programme and the terms of reference for the administration of these Trust
Funds to receive the contributions of the Parties for the implementation of the Convention
(attached in Annex II to this decision);
55
6. Calls on Parties and non-Parties which agreed to contribute to pay their contributions
as soon as possible so as to ensure the smooth functioning of the Secretariat and the
implementation of the decisions of the Conference of the Parties;
7. Requests the Executive Director of UNEP to inform the Parties and non-Parties on the
financial changes in the implementation of the Basel Convention and to request them to pay
their contributions into the respective trust funds as soon as possible.
Annex
1. A Trust Fund for the Basel Convention on the Control of Transboundary Movements
of Hazardous Wastes and their Disposal (hereinafter referred to as the Trust Fund) shall be
established to provide financial support for the ordinary expenditure of the Secretariat of the
Basel Convention. A Technical Cooperation Trust Fund (hereinafter referred to as the
Technical Trust Fund) shall be established to assist developing countries and other countries
in need of technical assistance in the implementation of the Basel Convention.
2. Pursuant to the Financial Regulations and Rules of the United Nations, the Executive
Director of the United Nations Environment Programme (UNEP), with the approval of the
Governing Council of UNEP, shall establish the Trust Funds for the administration of the
Convention.
3. The Trust Fund shall be established for an initial period of two years, beginning 1
January 1993 and ending 31 December 1994. The appropriations of the Trust Fund for this
period shall be financed from:
(a) Contributions made by the Parties to the Convention, by reference to the Table
attached as an Appendix to the Budget, including additional contributions and contributions
from any new Parties which are to be added to the Table;
(b) Contributions from States not Party to the Convention, other governmental,
intergovernmental and non-governmental organizations, and other sources.
4. The Technical Trust Fund shall be established for an initial period of two years,
beginning 1 January 1993 and ending 31 December 1994. The appropriation of the Technical
Trust Fund for this period shall be financed from contributions made by the Parties and the
non-Parties to the Convention.
5. The contributions referred to in Article 3 (a) above are to be based on the United
Nations scale of assessments for the apportionment of the expenses of the United Nations
(adjusted to provide that no one contribution shall exceed 25 per cent of the total).
6. The budget estimates, prepared in United States dollars, covering income and
expenditure for each of the two calendar years 1993 and 1994 shall be as approved by the
56
First Meeting of the Conference of the Parties to the Convention and further such budget
estimates for subsequent periods of two years shall be prepared and approved at any ordinary
or extraordinary meeting of the Parties. The Bureau shall prepare a report based on a special
survey by the Secretariat for the Open-ended Ad Hoc Committee to review and provisionally
adopt contributions to the budget for 1994 by the end of September 1993.
7. The decision of the Conference of the Parties on the budget, including contributions
thereto, shall be made by consensus.
8. The Bureau of the Parties may, on the advice of the Executive Director, approve
expenditure on any one or more objects of expenditure over and above the level approved by
the Conference of the Parties for those objects of expenditure, provided that there shall be no
overall increase in the budget above that approved by the Conference of the Parties.
9. Commitments against the resources of the Trust Fund may be made only if they are
covered by the necessary income. No commitments shall be made in advance of the receipt of
contributions.
10. In the event that the Executive Director of UNEP anticipates that there might be a
shortfall in resources over the financial period as a whole, he shall, with the advice of the
members of the Bureau, have discretion to adjust the budget so that expenditures are at all
times fully covered by contributions received.
11. At the end of a calendar year of a financial period, the Executive Director may
transfer any uncommitted balance of appropriations to the following calendar year.
12. All contributions are due to be paid in the year immediately preceding the year to
which the contributions relate.
13 All contributions shall be paid in United States dollars into the following account:
Account No. 015-002756, UNEP General Trust Funds Account, Chemical Bank, United
Nations Branch, New York, N.Y. 10017, United States of America.
14. Contributions from States that become Parties after the beginning of the financial
period shall be made pro rata temporis for the balance of the financial period.
15. Contributions not immediately required for the purpose of both Funds shall be
invested at the discretion of the United Nations and any interest so earned shall be credited to
the Fund.
16. The Executive Director shall deduct from the income of both Trust Funds an
administrative support charge equal to 13 per cent of other expenditures recorded during any
accounting period in order to meet the cost of administrative activities financed from both
Trust Funds and provide services relating to personnel, accounting, audit, etc.
57
17. The financial period of both Trust Funds will be a biennium consisting of two
consecutive calendar years. At the end of each calendar year of a financial period, the
Executive Director shall submit to the Parties the certified accounts for the year and a report
of activities under the Convention. He shall submit the accounts for the two-year financial
period audited by the Board of Auditors of the United Nations as soon as practicable.
18. The General Procedures governing the operations of the Fund of UNEP and the
Financial Regulations and Rules of the United Nations and these terms of reference shall
govern the financial operations of the Convention.
19. In the event that the Parties wish both Trust Funds to be extended beyond 31
December 1994, the Executive Director of UNEP shall be so requested by the Parties at least
six months earlier. Such extension of both Trust Funds shall be subject to the approval of the
UNEP Governing Council.
The Conference
Conscious of the essential need for the Secretariat of the Basel Convention to co-
operate with those of other United Nations bodies, specialized agencies and regional systems
and organizations in order to achieve the objectives of the Basel Convention,
Convinced that the elaboration of regional systems for the control of transboundary
movements of hazardous wastes and their disposal will strengthen the control regime
established by the Basel Convention,
Having considered the report of the Executive Director of UNEP on the relationship
of the Secretariat with other United Nations bodies, specialized agencies and regional
organizations,
2. Requests the Secretariat of the Basel Convention to continue its co-operation with all
United Nation bodies, specialized agencies and regional systems and organizations and other
appropriate organizations in order to achieve the objectives of the Basel Convention.
The Conference
Recalling that Article 11 of the Basel Convention permits Parties to enter into
bilateral, multilateral or regional agreements or arrangements regarding the transboundary
58
movement of hazardous wastes or other wastes with Parties or non-Parties provided that such
agreements or arrangements do not derogate from the environmentally sound management of
hazardous wastes and other wastes as required by the Basel Convention and that these
agreements or arrangements shall stipulate provisions which are not less environmentally
sound than those provided for by the Convention, in particular taking into account the interest
of developing countries,
1. Requests the Parties to the Basel Convention to notify the Secretariat of the Basel
Convention expeditiously of any bilateral, multilateral or regional agreements or
arrangements they conclude in accordance with paragraph 2 of Article 11 of the Convention;
2. Also requests its Open-ended Ad Hoc Committee to examine the bilateral, multilateral
and regional agreements or arrangements communicated to the Secretariat and to present a
report on their conformity with the stipulations of Article 11 of the Convention to the Second
Meeting of the Conference of the Parties.
The Conference
Recalling Article 5, which requires the Parties to designate or establish one or more
competent authorities and one focal point and to inform the Secretariat of the Basel
Convention within three months of the date of the entry into force of the Convention for them
of the agencies they have designated as their focal points and their competent authorities,
Invites Parties which have not yet informed the Secretariat of the designation of their
competent authorities and focal points to do so as soon as possible.
The Conference
Recalling Article 13 which requires the Parties to transmit, through the Secretariat of
the Basel Convention, to the Conference of the Parties before the end of each calendar year, a
report on the implementation of the Convention during the previous calendar year,
Aware that the Parties were not able to fulfil their obligation fully in conformity with
Article 13 due to the recent entry into force of the Convention,
2. Urges the Parties to the Convention to submit to the Secretariat complete reports in
accordance with the requirements of Article 13;
59
3. Requests the Secretariat to prepare an analytical summary of the reports submitted to
it and to present the summary to its Open-ended Ad Hoc Committee for evaluation of the
information contained therein and a report on their findings to the Conference of the Parties
at its second meeting;
4. Also requests the Secretariat to submit the analytical summary of the reports, together
with the comments of the ad hoc committee thereon, to the Second Meeting of the
Conference of the Parties for its consideration.
The Conference
Recalling paragraph 4 of Article 4 of the Basel Convention, which requests the Parties
to take appropriate legal, administrative and other measures to implement and enforce the
provisions of the Convention,
Aware of the need of States to be assisted - upon request - in the formulation of their
law and the development of institutional arrangements in the field of hazardous wastes, in
particular in the implementation of the Basel Convention,
1. Takes note of the report of the meeting of experts on model national legislation
contained in document UNEP/CHW.1/10 and of the elements of both the model law on the
management of hazardous wastes and the model law on the control of transboundary
movements of hazardous wastes and other wastes and their disposal as reflected in Annexes I
and II to that report;
2. Requests the Secretariat of the Basel Convention to continue its work on development
of the model national legislation, taking account of the experience of States;
3. Urges Parties which have not yet developed laws and regulations in conformity with
the provisions of the Basel Convention to do so, taking into consideration the model laws
referred to in paragraph 1;
4. Requests the Secretariat of the Basel Convention to promote co-operation and assist
Parties - upon request - in aligning their laws and regulations on the provisions of the Basel
Convention.
60
I/13. ESTABLISHMENT OF REGIONAL CENTRES FOR
TRAINING AND TECHNOLOGY TRANSFER
The Conference
Also recalling Article 14, paragraph 1, which stipulates that Parties shall decide on
the establishment of appropriate funding mechanisms of a voluntary nature for the
establishment of such regional or subregional centers,
Also noting paragraph 28(a) of the report of the Technical Working Group (to prepare
draft technical guidelines for the environmentally sound management of wastes subject to the
Basel Convention - Geneva, 25-27 March 1992 - UNEP/CHW/WG.4/2/2) which referred to
the urgent need to establish regional centres to ensure an early implementation of the Basel
Convention in accordance with Article 14 of the Convention, and recommended to refer this
issue to the First Meeting of the Conference of the Parties,
1. Decides that one of the functions of the Open-ended Ad Hoc Committee of the
Conference will be to identify the specific needs of different regions and subregions for
training and technology transfer;
The Conference
Recalling Article 14, paragraph 2, of the Basel Convention, which stipulates that "the
Parties shall consider the establishment of a revolving fund to assist on an interim basis in
case of emergency situations to minimize damage from accidents arising from the
transboundary movements of hazardous wastes and other wastes or during the disposal of
those wastes,"
61
1. Requests the ad hoc working group of legal and technical experts established by
decision I/5 to consider, having regard to document UNEP/CHW.1/6 and other relevant
UNEP documents, the elements that would be required for establishing such an emergency
fund, the relationship between such an emergency fund and the rules of procedures to be
adopted in the field of liability and compensation, and the availability of institutions able to
provide prompt and adequate assistance in emergency situations;
2. Further requests the ad hoc working group to present a progress report on its work to
the Second Meeting of the Conference of the Parties, which includes an analysis of the likely
impact of emergency situations of the size and nature of such emergency fund, taking into
account the past emergency incidents and situations concerning transboundary movements of
hazardous wastes and other wastes and their disposal.
The Conference
Conscious of the negative consequences of the illegal traffic on human health and the
environment,
Convinced that the prevention of illegal traffic requires close co-operation among
States, with the support of the Secretariat of the Basel Convention and all interested
organizations,
1. Welcomes the United Nations Environment Programme (UNEP) and Economic and
Social Commission for Asia and the Pacific (ESCAP) joint project currently being
implemented on monitoring and assessment of illegal traffic in toxic and dangerous products
and wastes in that region;
2. Requests the Secretariat to present an analytical report on the results of the UNEP-
ESCAP joint project to the Second Meeting of the Conference of the Parties to the Basel
Convention;
3. Also requests the Secretariat to co-operate with other regional commissions in order
to achieve the goal of prevention of illegal traffic in hazardous wastes;
4. Urges the Parties to the Basel Convention that have not yet done so to promulgate
laws that consider illegal traffic in hazardous wastes a criminal act;
62
6. Requests the Open-ended Ad Hoc Committee to study ways and means of enhancing
the monitoring and prevention of illegal traffic in hazardous wastes and other wastes and to
report its findings to the Conference of the Parties at its second meeting.
The Conference
Noting paragraph 20.33 (c) of UNCED Agenda 21, Chapter 20, which calls upon
countries "to promote the development of control procedures for the transboundary
movements of hazardous wastes destined for recovery operations under the Basel Convention
that encourage environmentally and economically sound recycling options,"
Aware of the difference of opinion with respect to the identification of and control
procedures for hazardous wastes destined for recovery operations,
Requests its technical working group to review the issue and consider the views
submitted by States and interested organizations, giving consideration to criteria that
determine whether such wastes are suitable for recovery operations, to present its
recommendations on guidelines, procedures or other matters within the framework of the
Basel Convention to the Second Meeting of the Conference of the Parties for its
consideration.
The Conference
1. Invites all States who have not done so to become Party to the Basel Convention;
63
AND THE UNITED NATIONS ENVIRONMENT PROGRAMME IN THE REVIEW OF
EXISTING RULES, REGULATIONS AND PRACTICES WITH RESPECT TO
TRANSPORT OF HAZARDOUS WASTES BY SEA
The Conference
Taking note of the activities undertaken by the Maritime Safety Committee and the
Marine Environment Protection Committee of the International Maritime Organization
(IMO) to review the relevant rules, regulations and practices with respect to the transport of
hazardous wastes by sea in light of the Basel Convention,
1. Invites all Parties to the SOLAS and MARPOL Conventions which are not Party to
the Basel Convention to become Party to this Convention;
2. Requests the Secretariat of the Basel Convention to co-operate further with IMO, and
consult, as appropriate, with the United Nations Committee of Experts on the Transport of
Dangerous Goods, as well as with other relevant international organizations, in the
development of criteria for the definition of hazardous characteristics as referred to in Annex
III to the Basel Convention;
3. Invites IMO, the Organization for Economic Co-operation and Development and
other relevant international and regional organizations to take into consideration the
notification and movement document provisionally adopted by the Conference in its Decision
I/21 and to provide information to the Secretariat on the use and suggested revisions to such
documents for consideration at the next meeting of the Conference of the Parties.
The Conference
Taking note of the terms of reference of the Open-ended Ad Hoc Committee of the
Conference established under Decision I/2,
2. Invites all States and interested organizations to provide written comments on the
provisional technical guidelines to the Secretariat of the Basel Convention with a view to
64
their revision and distribution to States and interested organizations as soon as possible or, if
necessary, consideration by the Technical Working Group;
3. Further invites all States and interested organizations to give particular attention in
their comments to the subject areas listed in the annex to this decision;
4. Decides to extend the mandate of the Technical Working Group to review the revised
provisional technical guidelines and to prepare technical guidelines for other priority
operations and waste streams subject to the Basel Convention and submit the results of its
work to the Open-ended Ad Hoc Committee;
5. Requests the Open-ended Ad Hoc Committee to consider and submit the technical
guidelines developed in paragraph 4 of this decision to the Second Meeting of the Conference
of the Parties for adoption;
7. Also invites all States and interested organizations to use the technical guidelines
referred to in paragraph 1 above as appropriate and report on their use to the Open-ended Ad
Hoc Committee;
8. Requests the Secretariat of the Basel Convention and pending availability of funds, to
facilitate the preparation and use of the technical guidelines referred to in paragraphs 1 and 4
respectively.
1. Further consultation required on the future relevant priorities to be taken into account
for the different waste management options and activities.
The following issues were identified by several States and interest groups as
deserving particular attention in comments to be provided on the provisional technical
guidelines:
65
2. The vital role of the development and adoption of clean technologies must not be
underplayed or downvalued. Guidelines should emphasize the importance of technology and
environmental audits, rapid implementation of new approaches, substitution of technologies
and raw materials, product life cycle analyses etc.
4. The principles set out in the draft guidelines provide a preliminary indication of
available approaches to the management of waste. Options identified for waste streams
require further consideration as to their long term suitability for environmentally sound
management. For example, the appropriateness of options D3 and D5 for organic solvents,
and the allowable level of PCB in waste oils.
The Conference
66
technologies;
The Conference
Recalling Article 4, paragraphs 2(f) and 7(c), Article 16, paragraph 1(g), and Annexes
V A and V B to the Basel Convention,
Taking note of the draft forms for both the notification and movement documents
prepared by the Secretariat of the Basel Convention,
2. Recommends that the Parties to the Basel Convention use the proposed notification
and movement documents and the forms in document UNEP/CHW.1/12 when consenting to
or rejecting a proposed transboundary movement of hazardous wastes;
I/22
The Conference
Recalling the aims of the Basel Convention to reduce to a minimum the generation of
hazardous wastes and other wastes, to ensure that whatever is produced is disposed of in an
environmentally sound and efficient manner as close to the point of generation as possible,
and to prevent the transboundary movement of such wastes if there is reason to believe that
the wastes in question will not be managed in an environmentally sound manner,
Further recalling that, in the interest of protecting human health and the environment,
the fourth ACP/EEC Convention of 15 December 1989 (Lomé IV) and the Bamako
Convention on the Ban of the Import into Africa and the Control of Transboundary
Movements of Hazardous Wastes within Africa of 30 January 1991, both of which prohibit
transboundary movement of hazardous wastes to developing countries, and the former which
required ACP States to prohibit the direct or indirect import of hazardous wastes into their
territory from the European Community or from any other country,
67
Conscious that during the negotiations leading to the United Nations Conference on
Environment and Development (UNCED), developing countries called for the prohibition of
hazardous waste shipments from industrialized to developing countries,
2. Notes that until the Conference of the Parties receives and acts upon the report of the
Technical Working Group referred to in Decision I/16 and until appropriate measures are
taken pursuant to paragraph 7 of Article 15, transboundary movements of hazardous and
other wastes destined for recovery and recycling operations take place in accordance with the
provisions of the Convention and in particular the requirement that the waste be handled in an
environmentally sound manner;
4. Further requests developing countries to prohibit the import of hazardous wastes from
industrialized countries;
5. Also requests developing countries to inform the Secretariat of the Basel Convention
of the measures undertaken in order to implement paragraph 4;
6. Requests the Secretariat of the Basel Convention to report to the Second Meeting of
the Conference of the Parties on the information received pursuant to paragraphs 3 and 5
above.
The Conference
Recalling Agenda 21 adopted by UNCED in June 1992, aware of the fact that a
number of the activities mentioned in Chapters 20 and 21 of Agenda 21 are either on-going or
initiated under the Basel Convention,
1. Invites the Parties to the Convention to co-operate with each other directly or through
the Secretariat of the Basel Convention in the implementation of activities related to the Basel
Convention contained in Chapters 20 and 21 of Agenda 21;
68
2. Calls on the Basel Convention Secretariat, in co-operation with other relevant units in
UNEP, as well as with other relevant organs and organizations of the United Nations system,
to carry out, as a priority and within available resources, the activities listed in paragraph 3 of
document UNEP/CHW.1/7/Add.1.
69
DECISIONS ADOPTED BY THE
SECOND MEETING
OF THE CONFERENCE OF THE PARTIES
in Geneva, Switzerland
on 25 March 1994
70
II/1. LIABILITY AND COMPENSATION
The Conference
Recalling Decision I/5 of the First Meeting of the Conference of the Parties to the
Basel Convention establishing an ad hoc working group of legal and technical experts to
consider and develop a draft protocol on liability and compensation, possibly including the
establishment of an International Fund for compensation for damage resulting from the
transboundary movements of hazardous wastes and their disposal,
Having considered the report of the Ad Hoc Working Group, attached to the note of
the Secretariat contained in document UNEP/CHW.2/3,
2. Notes with appreciation the progress report presented to it by the Ad Hoc Working
Group of Legal and Technical Experts to consider and develop a draft protocol on liability
and compensation for damage resulting from transboundary movements of hazardous wastes
and their disposal;
5. Requests the Ad Hoc Working Group to make all efforts to finalize the proposed draft
Articles of the Protocol in order to present it for consideration and possible adoption by the
Third Meeting of the Conference of the Parties to the Basel Convention.
The Conference
Recalling Article 14, paragraph 2, of the Basel Convention, which stipulates that "the
Parties shall consider the establishment of a revolving fund to assist on an interim basis in
case of emergency situations to minimize damage from accidents arising from the
transboundary movements of hazardous wastes and other wastes or during the disposal of
those wastes,"
Further recalling Decision I/14 of the First Meeting of the Conference of the Parties to
the Basel Convention which requested the Ad Hoc Working Group of Legal and Technical
Experts established by Decision I/5 to consider the elements that would be required for
establishing such an emergency fund, the relationship between such an emergency fund and
the rules of procedures to be adopted in the field of liability and compensation, and the
availability of institutions able to provide prompt and adequate assistance in emergency
situations,
71
Having considered the related parts of the report of the Ad Hoc Working Group of
Legal and Technical Experts in relation to the implementation of Decision I/14 of the First
Meeting of the Conference of the Parties on "Emergency Fund" as well as the note of the
Secretariat contained in document UNEP/CHW.2/4,
1. Requests the Ad Hoc Working Group of Legal and Technical Experts to continue the
consideration of the elements that would be required for establishing an emergency fund, and
the relationship between such an emergency fund and the Protocol on Liability and
Compensation under consideration by the same group;
2. Further requests the Ad Hoc Working Group to present a progress report on its work to
the third meeting of the Conference of the Parties.
The Conference
Recalling Decision I/2 of the First Meeting of the Conference of the Parties to the
Convention by which it has established the Open-ended Ad Hoc Committee,
1. Welcomes the work of the Open-Ended Ad Hoc Committee and request it to meet as
necessary between the meetings of the Conference of the Parties in order to fulfil the task
placed on it by the Conference of the Parties, subject to available resources;
3. Requests the Secretariat of the Basel Convention to convene the Open-Ended Ad Hoc
Committee and any subgroups the Committee needs to establish to facilitate its work, subject
to available resources.
The Conference
Expressing its concern at the problems of illegal traffic in hazardous wastes and other
wastes, in particular to developing countries and to the countries in transition,
Recalling Decision I/15 of the First Meeting of the Conference of the Parties,
72
contained in its Decision I/6 on "Illegal Traffic in Hazardous Wastes and other Wastes,"
2. Further requests the Parties to incorporate in their legal systems, appropriate sanctions
or penalties for the illegal traffic in hazardous wastes and other wastes;
(a) Assist Parties in developing national legislation to deal with illegal traffic and
hazardous wastes and other wastes;
(c) Liaise with the various regional commissions and secretariats of regional
conventions and protocols with a view to promoting the development of compatible regional
mechanisms and systems;
(e) Continue its cooperation with the Customs Co-operation Council Secretariat
with a view to ensure better control of import and export of hazardous wastes and other
wastes and in particular to identify hazardous wastes and other wastes subjected to the Basel
Convention in the Harmonized System;
(f) Include, in cooperation with the governments concerned, the Customs Co-
operation Council and the International Maritime Organization, the training of customs and
ports officers in relation to the import and export of hazardous wastes and other wastes in its
programme of training activities;
73
waste detected and rejected by one country is not dumped in another;
(h) Explore the possibility of cooperation with Interpol in cases of illegal traffic in
hazardous wastes and other wastes;
The Conference
Recalling paragraph 4 of Article 4 of the Basel Convention which requests the Parties
to take appropriate legal, administrative and other measures to implement and enforce the
provisions of the Convention,
Convinced that an essential element of the fulfilment by the Parties of their obligations
under the Convention is to promulgate new or adapt existing laws and regulations in
accordance with the provisions of the Basel Convention,
Aware of the need of States to be assisted - upon request - in the formulation of their
law and the development of institutional arrangements in the field of hazardous wastes, in
particular in the implementation of the Basel Convention,
1. Accepts as a possible guideline the revised draft model national legislation annexed to
the report of the Secretariat contained in document UNEP/CHW.2/5;
74
2. Requests the Secretariat to make available as a possible guideline the revised draft
model national legislation to Parties as well as to non-Parties;
3. Also requests the Secretariat, in providing technical assistance in the field of national
legislation, to take into account, inter alia, the revised draft model national legislation;
5. Further requests the Secretariat to update, as necessary, the revised draft model
national legislation and to report to the Open-ended Ad Hoc Committee for the
implementation of the Convention.
The Conference
Recalling Article 5 which requires the Parties to designate or establish one or more
competent authorities and one focal point and to inform the Secretariat of the Basel
Convention within three months of the date of the entry into force of the Convention for
them, of the agencies they have designated as their competent authorities and focal point,
Also recalling Decision I/10 of the First Meeting of the Conference of the Parties,
Invites Parties which have not yet informed the Secretariat of the designation of their
competent authorities and focal points to do so as soon as possible.
The Conference
Recalling Decision I/4 of the First Meeting of the Conference of the Parties related to
the harmonization of the Basel Convention and London Convention, 1972 and the
cooperation between the Secretariat of the both Conventions in order to achieve this aim,
1. Welcomes the response of the Contracting Parties to the London Convention, 1972 to
the request made to them by decision I/4 of the First Meeting of the Conference of the Parties
to the Basel Convention;
2. Invites the remaining Parties to the London Convention, 1972 who are not Parties to
the Basel Convention to become Parties in order to facilitate the coordination and
75
harmonization of the two Conventions;
3. Welcomes the decision by the 16th Consultative Meeting of the London Convention,
1972 to prohibit the dumping of industrial wastes and radioactive wastes and other
radioactive matter at sea, as well the incineration at sea of industrial and sewage sludge;
4. Requests the Secretariat of the Basel Convention to continue its cooperation with the
London Convention, 1972 in the preparatory process for the amendment of the London
Convention, 1972 in order to achieve the goal of harmonization of the two Conventions and
to report to the third meeting of the Conference of the Parties to the Basel Convention.
The Conference
Recalling Decision I/6 of the First Meeting of the Conference of the Parties on the
harmonization of the procedure of the Basel Convention and the Code of Practice on the
international transboundary movements of radioactive waste,
1. Welcomes the adoption of the Code for the Safe Carriage of Irradiated Nuclear Fuel,
Plutonium and High-Level Radioactive Wastes in Flasks on Board Ships;
2. Requests the Secretariat of the Basel Convention to continue its cooperation with the
International Atomic Energy Agency (IAEA) and the International Maritime Organization in
relation to the implementation of the Code;
3. Further requests the Secretariat to continue its cooperation with the IAEA for the
implementation of IAEA's General Conference Resolution GC(XXXVII)/Res/615, dated
October 1993, which requested the Director General to initiate preparations for a convention
on the safety of waste management as soon as the on-going process of developing waste
management safety fundamentals has resulted in broad international agreement.
The Conference
Recalling the Decisions adopted by the Governing Council of UNEP at its seventeenth
session in May 1993 on:
76
Having considered the report by the Secretariat on the follow-up to the UNEP
Governing Council Decisions 17/5, 17/13 and 17/18 contained in document
UNEP/CHW.2/29,
1. Take note of the fact that the Secretariat of the Basel Convention has been given the
responsibility, in cooperation with other units of UNEP, to work on matters closely related to
the Basel Convention through the implementation of the Governing Council Decisions 17/5,
17/13 and 17/18;
2. Appreciate that the part of the work undertaken by the Secretariat of the Basel
Convention to implement the Governing Council Decision 17/5, 17/13 and 17/18 which are
not part of the work programme adopted by the First Meeting of the Conference of the Parties
of the Basel Convention has been supported financially from funds from UNEP.
The Conference
Recalling that Article 11, paragraph 1, of the Basel Convention permits Parties to enter
into bilateral, multilateral and regional agreements or arrangements regarding the
transboundary movements of hazardous wastes or other wastes with Parties and non-Parties
provided that such agreements or arrangements do not derogate from the environmentally
sound management of hazardous wastes and other wastes as required by the Basel
Convention and that these agreements or arrangements shall stipulate provisions which are
not less environmentally sound than those provided for by the Convention, in particular
taking into account the interest of developing countries,
Recalling that Article 11, paragraph 2, provides that the provisions of the Basel
Convention shall not affect transboundary movements which are taking place pursuant to
agreements concluded prior to the entry into force of the Basel Convention for the relevant
Parties of such agreements provided that such agreements are compatible with the
environmentally sound management of hazardous wastes and other wastes as required by the
Basel Convention,
Recalling Decision I/9 of the First Meeting of the Conference of the Parties,
Requests Parties which have entered, in accordance with Article 11, into bilateral,
multilateral and regional agreements or arrangements to report, consistent with national laws
and regulations, to the Open-Ended Ad Hoc Committee, through the Secretariat of the Basel
Convention, on the conformity of such agreements or arrangements taking into consideration
the list of questions annexed to this decision.
Annex
77
Questions to be considered by Parties to
Bilateral, Multilateral or Regional Agreements or
Arrangements when reporting on their conformity
with the provisions of Article 11 of the Convention
In preparation of its report to the Conference of the Parties, the following questions could be
used as guidance by a Party when it is reviewing one of its agreements which falls under
Article 11. The questions would help the Party focus on particular issues, however it is
important to note that the agreement must be viewed in its entirely and not strictly provision
by provision. It is also recognized that the purpose of the said agreement and the geographic,
legal and economic circumstances of the other Contracting Party(ies) constitute elements of
this review. A Party's Report would have to indicate that the different requirements found in
paragraph 1 or 2 of Article 11, as appropriate, are met in conformity with the Basel
Convention.
1. Does the Agreement address the control of the transboundary movement of hazardous
wastes and other wastes subject to the Basel Convention?
2. Taking all practicable steps, will the management of hazardous wastes under the
Agreement or arrangement be such that it will protect human health and the environment
against adverse effects?
3. How does the Agreement or arrangement take into account the interests of developing
countries?
6. Does the Agreement or arrangement provide for the tracking of the wastes?
7. Does the Agreement or arrangement provide for alternate measures for wastes which
cannot be managed as planned?
9. Are the obligations of the Article 11 Agreement or arrangement consistent with the
control measures related to transboundary movements of hazardous wastes as provided for by
the Basel Convention?
10. Are the wastes covered by the Article 11 Agreement and arrangement consistent with
the scope of the Basel Convention?
The Conference
78
Having considered the issue of the scope of the Basel Convention in relation to its
applicability to radioactive waste as raised by the Secretariat in document UNEP/CHW.2/26,
1. Invites Parties and non-Parties to present their views on this issue to the Secretariat of
the Basel Convention;
2. Requests the Secretariat on the basis of these views in collaboration with the IAEA to
prepare a document for further consideration by the Meeting of the Open-ended Ad Hoc
Committee for the Implementation of the Convention.
II/12
The Conference
Recalling the request of the G-77 countries at the First Meeting of the Conference of
the Parties to the Basel Convention in Uruguay, 30 November - 4 December 1992, for the
total ban on all exports of hazardous wastes from OECD countries to non-OECD countries,
2. Decides also to phase out by 31 December 1997, and prohibit as of that date, all
transboundary movements of hazardous wastes which are destined for recycling or recovery
operations from OECD to non-OECD States;
3. Decides further that any non-OECD State, not possessing a national hazardous wastes
import ban and which allows the import from OECD States of hazardous wastes for recycling
or recovery operation until 31 December 1997, should inform the Secretariat of the Basel
Convention that it would allow the import from an OECD State of hazardous wastes for
recycling or recovery operations by specifying the categories of hazardous wastes which are
acceptable for import; the quantities to be imported; the specific recycling/recovery process
to be used; and the final destination/disposal of the residues which are derived from
recycling/recovery operations;
4. Requests the Parties to report regularly to the Secretariat on the implementation of this
decision, including details of the transboundary movements of hazardous wastes allowed
under paragraph 3 above. Further requests the Secretariat to prepare a summary and to
compile these reports for consideration by the Open-ended Ad Hoc Committee. After
considering these reports, the Open-ended Ad Hoc Committee will submit a report based on
the input provided by the Secretariat to the Conference of the Parties of the Convention;
5. Requests further the Parties to cooperate and work actively to ensure the effective
implementation of this decision.
79
II/13. TECHNICAL GUIDELINES FOR THE ENVIRONMENTALLY
SOUND MANAGEMENT OF WASTES SUBJECT
TO THE BASEL CONVENTION
The Conference
Recalling Decision I/19 of the First Meeting of the Conference of the Parties to the
Basel Convention accepting the Framework Document on the Preparation of Technical
Guidelines and the four Technical Guidelines on priority waste streams and extending the
mandate of the Technical Working Group to review the revised three Draft Technical
Guidelines on Disposal Operations and to prepare Technical Guidelines for other priority
operations and wastes streams subject to the Basel Convention,
Further recalling the Decision I/7 of the Open-ended Ad Hoc Committee on Technical
Guidelines for the Environmentally Sound Management of Wastes subject to the Basel
Convention recommending that the Conference of the Parties adopts the three draft Technical
Guidelines on Disposal Operations (Specially Engineered Landfill D5; Incineration on Land
D10; Used Oil Re-refining or other Re-uses of Previously Used Oil R9) and extend the
mandate of the Technical Working Group with the aim to continue the preparation of new
technical guidelines as identified by the Group itself, namely on:
Having considered the report of the Secretariat on the Implementation of Decision I/19
which contains the Framework Document and the four Technical Guidelines on Priority
Waste Streams (document UNEP/CHW.2./10) and the three Technical Guidelines on Priority
Disposal Operations (document UNEP/CHW.2/10/Add. 1),
Noting with appreciation the progress achieved by the Technical Working Group in the
preparation of the Framework Document and the Technical Guidelines for Priority Waste
Streams and Disposal Operations subject to the Basel Convention,
2. Adopts provisionally the three draft Technical Guidelines on: Specially Engineered
Landfill (D5), on Incineration on Land (D10) and Used Oil Re-refining or other Re-uses of
Previously Used Oil, subject to the additional comments to be provided to the Secretariat by
80
States and concerned international organizations, and to publish and disseminate them to
Parties and non-Parties;
3. Extends the mandate of the Technical Working Group with the aim for this Group to:
further revise as appropriate the Draft Technical Guidelines adopted provisionally and to
continue the preparation of new technical guidelines as identified by the Technical Working
Group, namely on:
First priority
D9 Physico-chemical treatment
R4 Recycling/reclamation of metals and metals compounds
Y17 Wastes resulting from surface treatment of metals and plastics
Second priority
Y1 Clinical wastes
D8 Biological treatment
R1 Use as a fuel
R2 Solvent reclamation/regeneration
The Conference
Recalling decision I/16 of the First Meeting of the Conference of the Parties to the
Basel Convention requesting its Technical Working Group to review the issue and consider
the views submitted by States and interested organizations and to present its
recommendations to the Parties at their second meeting,
Noting paragraph 20.33 (c) of UNCED Agenda 21, chapter 20, which calls upon
countries "to promote the development of control procedures for the transboundary
movements of hazardous wastes destined for recovery operations under the Basel Convention
that encourage environmentally and economically sound recyclable options,"
2. Decides to extend the mandate of the Technical Working Group to further develop this
81
draft paper on transboundary movements of hazardous wastes destined for recovery
operations, taking into account the comments formulated by States and interested
organizations and to present a revised version of this document to the Third Meeting of the
Conference of the Parties for adoption in consultation with the Open-ended Ad Hoc
Committee;
3. Requests Parties together with non-Parties, and as the case may be non-governmental
organizations, including the private sector to prepare, in association with the Secretariat of
the Basel Convention, two or three case studies along the lines developed in the terms of
reference annexed to this Decision, related to recovery operations involving two countries in
full respect of the environmentally sound management of the hazardous wastes destined to
such recovery operations;
4. Further requests the Technical Working Group to develop guidance to assist States on
the question of hazardous wastes under the Basel Convention, including hazardous wastes
destined for recovery operations and in co-operation with the Open-ended Ad Hoc Committee
to present such guidance to the Third Meeting of the Conference of the Parties for
consideration.
Annex
(a) Identify the hazardous waste streams that are subject to recovery operations and the
national/domestic infrastructure including legal and administrative arrangements that
sustain such operations.
(b) Describe the existing trade in wastes identified and the structure and characteristics of
the industries involved.
(c) Identify the technological options for the management of these wastes including their
economic and technical aspects.
(d) Carry out a practical assessment of these facilities which recover the hazardous
wastes, how the residues arising from the process are being disposed of and their
impact on the health and the environment.
(e) Compare environmental and economic aspects of the recovery of secondary raw
material from hazardous wastes and the production from virgin materials taking into
account the disposal of any residues generated through the process.
The Conference
82
Recalling Article 1 of the Basel Convention concerning the scope of the Convention,
in particular its paragraph 1 (a),
Having considered the report by the Secretariat on possible effects of the Basel
convention on the transboundary movements of waste ozone-depleting chemicals, including
halons, intended for recovery contained in document UNEP/CHW.2/11,
Also noting the consideration of the Technical Working Group in regard to its role in
the case of a need for technical interpretation of the Convention,
1. Requests its Technical Working Group in close cooperation with the Ozone Secretariat
to further work on the issue of the classification of the waste ozone-depleting chemicals as
hazardous wastes in accordance with the Basel Convention definition;
2. Also requests its Technical Working Group to perform the functions of its advisory
body in case of a need for technical interpretation of the Convention;
3. Further requests its Technical Working Group to report on the issue of waste ozone-
depleting chemicals and any cases involving a technical interpretation of the Convention to
the Third Meeting of the Conference of the Parties.
The Conference
Recalling Decision I/21 of the First Meeting of the Conference of the Parties to the
Basel Convention adopting, provisionally, the forms for both the Notification and the
Movement Document and recommending to Parties to use these forms,
Noting that some delegations to the Open-ended Ad Hoc Committee emphasized the
need to harmonize the forms of the Basel Convention with related forms being developed by
the OECD and the EU (Paragraph 16 of the Report of the First Meeting of the Open-ended
Ad Hoc Committee for the implementation of the Basel Convention),
1. Requests the Parties to continue using the forms adopted provisionally and to inform
the Secretariat on their experience on the use of these forms;
2. Requests the Secretariat to continue its work on the format of the Notification and
Movement Document based on the replies received and comments to be sent by the Parties
and international organizations concerned to the Secretariat by June 1994;
3. Instructs the Secretariat to report on paragraphs (1) and (2) above to the Third Meeting
of the Conference of the Parties in consultation with the Open-ended Ad Hoc Committee, and
to present its recommendations for any changes to be made to the Notification and Movement
Document.
83
II/17. TRANSMISSION OF INFORMATION
The Conference
Recalling Article 13 of the Basel Convention which stipulates that the Parties to the
Convention shall, through the Secretariat, provide information to each other and in some
cases also to non-Party States on a set of issues concerning transboundary movements of
hazardous wastes and their disposal,
Further recalling Decision I/11 of the First Meeting of the Conference of the Parties
which requested the Secretariat to prepare an analytical summary of the reports submitted to
it and to present the summary to its Open-ended Ad Hoc Committee for evaluation of the
information contained therein and a report on their findings to the Conference of the Parties
at its Second Meeting,
2. Also urges those Parties who have already presented an interim report for 1993 to
provide any complementary information, as necessary, well in time, in order to enable the
Secretariat to prepare a comprehensive analytical summary of the information provided by
the Parties for the whole of 1993 to be considered by the next meeting of the Open-ended Ad
Hoc Committee for the Implementation of the Basel Convention;
3. Further requests the Secretariat to issue in one document all information received up
to date and presented in various documents and distributed to Parties, non Parties and non
governmental organizations.
The Conference
Recalling Decision I/4 of the First Meeting of the Open-ended Ad Hoc Committee
inviting the Conference to consider the need to develop an electronic information system and
84
integrated telecommunications network to improve data gathering, organization, treatment
and dissemination, and to provide assistance to developing countries in the collection and
processing of these databases on a detailed request by the Secretariat that includes relevant
technical and financial requirements,
2. Requests the Parties to allocate adequate financial resources for a minimum period of
two years (1994-95), taking into account the costs estimated as indicated under paragraph 9,
to allow the Secretariat to develop the Information Management System;
3. Also requests the Parties to make additional contribution for the budget for 1994 to
allow starting of the establishment of the information management system already in 1994
subject to availability of resources.
The Conference
Recalling Decision I/13 on the Establishment of Regional Centres for Training and
Technology Transfer of the First Meeting of the Conference of the Parties to the Basel
Convention in which it was decided that one of the functions of the Open-ended Ad Hoc
Committee of the Conference would be to identify the specific needs of different regions and
subregions for training and technology transfer and to report to the Second Meeting of the
Conference of the Parties on ways and means for the establishment and functioning of such
Centres, including considering appropriate funding mechanisms for this purpose,
Requests the Conference of the Parties to provide a strong mandate for the Open-
ended Ad Hoc Committee at its second meeting, as already proposed in Committee Decision
I/5, to conclude the selection of sites for the establishment of regional centre(s) based on the
results of the feasibility studies and taking into account the existence of any related regional
centre and inform the Third Meeting of the Conference of the Parties of the decision taken to
enable the initiation of activities for the establishment of the regional centre(s).
85
Annex
(a) Presence or potential use of an existing suitable facility, e.g. technology centre,
university;
(d) Commitment to invest time and resources into the maintenance, continuation
and advancement of the centre;
86
Invites those countries in a position to do so, individually or collectively, on a bilateral
or multilateral basis, to consider supplying financial resources and technically qualified
person(s) recruited from either government or the private sector to collaborate in the
preparation of the feasibility study(ies) in the candidate regions,
(e) Obtaining views from candidate regions as to the types of technical assistance
or training they consider to be of the highest priority;
(g) Determining what resources are available from each candidate region and what
resources would be required.
Invites the Secretariat of the Basel Convention to take the necessary steps for the
preparation of feasibility studies in Africa, Asia and the Pacific, Latin America and the
Caribbean and Eastern Europe. This may involve acting as a liaison with individual host
countries to provide for local support for the person(s) conducting the feasibility study. The
candidate region should also provide, as appropriate, qualified person(s) to assist the
technical representative in conducting the feasibility study,
Requests the second meeting of the Conference of the Parties, based on the completion
of the feasibility studies, to select sites for the establishment of regional centre(s). In case
this is not possible, requests the Conference of the Parties to provide the mandate to the
Open-ended Ad Hoc Committee to conclude the selection and inform the third meeting of the
Conference of the Parties of the decision taken to initiate activities for the establishment of
the regional centre(s).
The Conference
Recalling Decision I/20 adopted by the First Meeting of the Conference of the Parties
which requested the Secretariat of the Basel Convention and, as appropriate, in cooperation
with other units in UNEP and other relevant international organizations, to organize national
and regional seminars or workshops and training programmes on the implementation of the
87
Basel Convention and the environmentally sound management of wastes and hazardous
wastes; and to help promote the adoption of cleaner production methods and new low-waste
technologies and invited Parties to contribute technically and financially towards the
organization of seminars, workshops and training programmes and towards covering the cost
of participation of developing country representatives,
1. Requests the Secretariat, within available resources, to assist Parties and regions to
develop training programmes, including curricula at national level in collaboration with
national authorities, and continue to organize national and regional seminars or workshops
and training programmes and curricula on the implementation of the Basel Convention and
the environmentally sound management of wastes and hazardous wastes;
2. Further requests the Secretariat to promote the adoption of cleaner production methods
and new low-waste technologies, in collaboration with relevant units in UNEP and other
relevant international organizations, in particular with the Industry and Environment
Programme Activity Centre of UNEP and UNITAR;
4. Invites all Parties who are in position to do so to contribute technically, through, for
example, contributions in kind of resource persons, and financially towards the organization
of seminars, workshops and training programmes and towards covering the costs of
participation of developing country representatives.
The Conference
Recalling Decision I/23 of the First Meeting of the Conference of the Parties on the
Role of the Secretariat of the Basel Convention in the Implementation of Agenda 21 which
called upon the Secretariat to carry out, within available resources, as a priority, a list of
activities on issues raised in Agenda 21 which have relevance to the Basel Convention,
And aware that Agenda 21 seeks to promote the development of control procedures
88
for the transboundary movement of hazardous waste destined for recovery operations under
the Basel Convention that encourage environmentally economically sound recycling
operations,
Recognizing that very limited resources are available under the Convention to
undertake this task,
1. Invites Parties and other countries to provide additional financial resources to the
Technical Cooperation Trust Fund to enable the Secretariat to assist developing countries
effectively in implementing the Convention, through the priority activities to be undertaken
as set out in Agenda 21, and referred to in decision I/23;
2. Invites Parties and other countries to consider providing resource persons, experts in
hazardous-waste-related issues, to advise developing countries, as required, in order to
strengthen their institutional capacities in relation to the priority activities referred to in
decision I/23.
The Conference
Recalling that the Parties at their first meeting were apprised of the information base
being developed as a result of the Global Waste Survey and the potential benefit of such
information in future decision-making on technical guidelines, technical centres, training and
other capacity-building activities identified in decision I/23 of the Conference concerning the
role of the Secretariat in the implementation of Agenda 21 of UNCED,
Further recalling that during the sixteenth Consultative Meeting of the Contracting
Parties to the London Convention 1972 (November 1993) a number of parties to the London
Convention 1972, which are also Parties to the Basel Convention, and the participating
countries in the Global Waste Survey recognized that the Secretariat of the Basel Convention
would be an appropriate forum to take over the Global Waste Survey, when the transitional
phase carried out by IMO is completed,
Having considered the report by the Secretariat on the Global Waste Survey contained
in document UNEP/CHW.2/24,
1. Requests the Secretariat to review further the relevance of the Global Waste Survey to
the work of the Basel Convention and to report to the Bureau on its findings;
2. Requests, subject to the outcome of the review, the Secretariat of the Basel
Convention to inform the Office for the London Convention 1972 on the readiness of the
Parties to the Convention to keep, maintain, review and update the Global Waste Inventory
and Database as from 1995;
3. Requests the Secretariat of the Basel Convention to continue cooperating closely with
IMO, the concerned UNEP offices, namely IE/PAC and IRPTC/PAC and with other
interested intergovernmental organizations, in particular WHO, in the conduct of the Global
Waste Survey;
89
4. Further requests the Secretariat of the Basel Convention to report on the decision of
the Bureau and on any progress in the transfer and management of the Global Waste
Inventory and Database to the Third Meeting of the Conference of the Parties in consultation
with the Open-ended Ad Hoc Committee for the Implementation of the Basel Convention.
The Conference
Recalling decision I/8 of the First Meeting of the Conference of the Parties to the
Basel Convention requesting the Secretariat to continue its cooperation with all United
Nations bodies, specialized agencies and regional systems and organizations, and other
appropriate organizations in order to achieve the objectives of the Basel Convention,
Further recalling that the Parties at their first meeting agreed that the Secretariat of the
Basel Convention should cooperate specially with the Customs Cooperation Council, and
possibly IMO and other competent organizations in order to find means to achieve effective
control at borders for transboundary movements of wastes (ref. paragraph 27 of the First
Meeting of the Parties to the Basel Convention),
Having considered the report by the Secretariat on the implementation of decision I/8
contained in document UNEP/CHW.2/21,
1. Requests the Secretariat to continue its cooperation with the United Nations bodies,
specialized agencies and regional systems and organizations and other international and
regional organizations in the pursuance of the fulfilment of the obligations and achievement
of the objectives of the Basel Convention;
2. Further requests the Secretariat to cooperate specifically with the Customs Co-
operation Council and other relevant organizations in order to examine the possibility and
practicability of including separate headings or sub-headings for hazardous wastes in the
Harmonized System of the Customs Co-operation Council in order to enhance border control
of these wastes.
The Conference
Recalling decision I/18 of the First Meeting of the Conference of the Parties
requesting the Secretariat to cooperate further with International Maritime Organization, and
consult, as appropriate, with the United Nations Committee of Experts on the Transport of
Dangerous Goods, as well as with other relevant international organizations, in the
development of criteria for the definition of hazardous characteristics,
90
Having considered the report of the Secretariat on the implementation of decision I/18
contained in document UNEP/CHW.2/22,
2. Further requests its Technical Working Group to consider the issue of the development
of criteria for the definition of those hazardous characteristics which are currently not well
defined to review the report of the Informal Inter-Secretariats Consultation and to present its
recommendations on the criteria and other matters required within the framework of the
Basel Convention, to the Third Meeting of the Conference of the Parties for its consideration.
The Conference
Recalling decision I/17 of the First Meeting of the Conference of the Parties, by which
the Conference invited all States that had not done so to become Party to the Basel
Convention,
Also recalling that in the same decision States Parties to the Convention were invited
to cooperate in developing cleaner production technologies and cleaner products which
would lead to the reduction and, as far as practicable, the elimination of the generation of
hazardous wastes and the Secretariat of the Basel Convention was requested to facilitate
cooperation between Parties to this effect,
1. Invites all States that have not done so to become Party to the Basel Convention;
2. Invites all Parties to the Convention who are currently using waste-minimization and
cleaner production methods/technologies in their industrial processes to facilitate and
cooperate in the transfer of such technologies to other interested Parties;
3. Appeals to all Parties who have not yet replied to the request from the Secretariat on
initiatives taken by their respective Governments on cooperation on cleaner production
technologies to do so at their earliest convenience to enable the Secretariat to circulate such
91
information to all Parties to enable them to benefit from it;
(a) Through the Technical Working Group of the Basel Convention identification
of waste streams susceptible to cleaner production approaches;
5. Invites Parties and other interested States and organizations through joint cooperation
and other means, to contribute technically and financially towards the organization of
workshops and seminars on the issue of waste minimization and cleaner production methods
and the introduction of proven and environmentally sound technologies for disposal of
hazardous wastes.
II/26. MANUAL FOR THE IMPLEMENTATION OF THE CONVENTION
The Conference
Recalling Decision I/3 of the First Meeting of the Conference of the Parties,
2. Requests the Secretariat of the Basel Convention to ensure the dissemination of the
Manual to all Parties and signatories in all the official languages of the United Nations;
3. Requests the Parties to ensure the wide dissemination of the Manual to legal or natural
persons involved in the generation, export, import and/or disposal of hazardous wastes who
express interest in receiving the Manual in order to make full use of the information
contained therein;
92
4. Further requests the Secretariat to ask all Parties and non-Parties to comment on the
Manual and, taking into account these comments, to prepare a revised Manual in consultation
with the Open-Ended Ad Hoc Committee for the consideration of the third meeting of the
Conference of the Parties to the Basel Convention.
The Conference
Having considered the experience of its Bureau and the Secretariat during the period
between the First and Second Meetings of the Conference of the Parties,
I. Institutional arrangements
1. Decides to expand its Bureau, when convened between two meetings of the
Conference of the Parties, to include five additional representatives of Governments who
served as officers of the previous Bureau of the Conference of the Parties. Within the policy
agreed by the Conference of the Parties, the expanded Bureau shall:
(a) Provide general policy and general operational directions to the Secretariat
between meetings of the Conference of the Parties;
(b) Provide guidance and advice to the Secretariat on the preparation of agendas
and other requirements of meetings and on any other matters brought to it by the Secretariat
in the exercise of its function;
(c) Oversee the development and execution of the Secretariat's budget as derived
from the Trust Funds and other sources, and also all aspects of fund raising undertaken by the
Secretariat;
(e) Report to the Conference of the Parties on the activities it has carried out
between meetings of the Conference of the Parties;
(f) Perform any other functions as may be entrusted to it by the Conference of the
Parties.
1. Approves the distribution of the contributions of the Parties to the budget of 1994, as
provisionally adopted by the Ad Hoc Committee at its meeting in October 1993 reflecting its
most recent changes in the scale of assessment of the United Nations;
2. Endorses the decision of the Bureau of the Conference of the Parties at its first
meeting as approved by the Ad Hoc Committee which, inter alia, approved the survey of the
personnel of the Secretariat including levels and job descriptions, approved the proposed
changes in the 1993 budget and adopted the 1994 budget with the proposed changes in
components 1100 and 1300, and requests the Secretariat to take all actions necessary to
93
ensure that the grades of the staff members are reflected as recommended;
3. Expresses its concern over the delays in payment of the agreed contributions by
Parties as well as the voluntary contributions by Parties and non-Parties according to the
agreements reached at the First Meeting of the Conference of the Parties in accordance with
which: "all contributions are due to be paid in the year immediately preceding the year to
which the contributions relate"; and urges the Parties and non-Parties to pay their
contributions for 1994 according to the distribution of contributions approved by the
Conference of the Parties as soon as possible to allow the Secretariat of the Convention to
continue its work as decided by the Conference of the Parties;
4. Further approves the budget for the two Trust Funds for 1995/1996;
5. Provisionally adopts formulas for contribution to the Trust Fund for the
Implementation of the Basel Convention based on the United Nations scale of assessment
(attached) subject to comments/reservations reflected in the Report of the Second Meeting of
the Conference of the Parties and pending further consideration by the Bureau and adoption
by the next meeting of the Open-ended Ad Hoc Committee for the Implementation of the
Convention;
6. Requests the Executive Director of UNEP to extend the two Trust Funds to the Basel
Convention for 1995/1996 and 1997/1998 and mutatis mutandis its Terms of Reference as
adopted by the First Meeting of the Conference of the Parties (Annex II of decision I/7),
taking into account its paragraph 19 and ensuring ex-post-facto approval of the UNEP
Governing Council for these extensions;
7. Further requests the Executive Director to provide the Bureau of the Conference of the
Parties with a report on the implementation of paragraphs 16 and 17 of the Terms of
Reference of the Trust Funds for the Basel Convention by the end of April for every previous
year to ensure the transparency of the use of funds of the Contracting Parties;
8. Also requests the Executive Director of UNEP to advance funds to the Basel
Convention on a reimbursable basis for operational requirements, including for technical
cooperation activities;
9. Requests the Executive Director to consider and present to the Governing Council
possibilities of supporting some activities and programmes recommended by the Bureau for
the implementation of the Basel Convention on a non-reimbursable basis;
10. Requests the Secretariat to ensure the implementation of all decisions adopted by the
Second Meeting of the Conference of the Parties within the approved budgets for 1994 and
for 1995/1996, with the only limiting factor to be the resources within the approved budgets
for 1994 and for 1995/1996.
1. Decides that the Third Meeting of the Conference of the Parties will be held in
September/October 1995, possibly in Nairobi if no additional cost is incurred. The Fourth
Meeting of the Conference of the Parties shall be held in 1997.
94
DECISIONS ADOPTED BY THE
THIRD MEETING
OF THE CONFERENCE OF THE PARTIES
in Geneva, Switzerland
on 22 September 1995
III/1. AMENDMENT TO THE BASEL CONVENTION
The Conference
Recalling that at the first meeting of the Conference of the Parties to the Basel
Convention, a request was made for the prohibition of hazardous waste shipments from
industrialized countries to developing countries,
Noting that:
- the Technical Working Group has already commenced its work on the
development of lists of wastes which are hazardous and wastes which are not
subject to the Convention;
- the Technical Working Group will develop technical guidelines to assist any
Party or State that has sovereign right to conclude agreements or arrangements
including those under Article 11 concerning the transboundary movement of
hazardous wastes.
1. Instructs the Technical Working Group to give full priority to completing the work on
hazard characterization and the development of lists and technical guidelines in order to
submit them for approval to the fourth meeting of the Conference of the Parties;
2. Decides that the Conference of the Parties shall make a decision on a list(s) at its
fourth meeting;
1. Each Party listed in Annex VII shall prohibit all transboundary movements of
hazardous wastes which are destined for operations according to Annex IV A, to States
not listed in Annex VII.
2. Each Party listed in Annex VII shall phase out by 31 December 1997, and
prohibit as of that date, all transboundary movements of hazardous wastes under
96
Article 1(I)(a) of the Convention which are destined for operations according to Annex
IV B to States not listed in Annex VII. Such transboundary movement shall not be
prohibited unless the wastes in question are characterised as hazardous under the
Convention.
Annex VII
Parties and other States which are members of OECD, EC, Liechtenstein.”
The Conference
Recalling decision II/1 of the second meeting of the Conference of the Parties,
1. Extends the mandate of the Ad Hoc Working Group of Legal and Technical Experts to
Consider and Develop a Draft Protocol on Liability and Compensation for Damage Resulting
From Transboundary Movements of Hazardous Wastes and their Disposal;
3. Requests the Ad Hoc Working Group to make all efforts possible to finalize the draft
Articles of the Protocol, making use of informal meetings where possible, in order to present
it for consideration and adoption by the fourth meeting of the Conference of the Parties to the
Basel Convention.
The Conference
Recalling decision II/2 of the second meeting of the Conference of the Parties,
97
III/4. SUBSIDIARY BODIES UNDER THE CONFERENCE OF
THE PARTIES OF THE BASEL CONVENTION
The Conference
Recalling decision II/3 of the second meeting of the Conference of the Parties,
1. Welcomes the work of the Open-ended Ad Hoc Committee for the Implementation of
the Basel Convention and requests it to meet as necessary between the meetings of the
Conference of the Parties in order to fulfil the tasks placed on it by the Conference of the
Parties, subject to available resources;
2. Welcomes also the work performed by the Technical Working Group and the Ad Hoc
Working Group of Legal and Technical Experts and request them to continue their meetings
as necessary between the meetings of the Conference of the Parties in order to fulfil the tasks
placed on them by the Conference of the Parties, subject to available resources;
4. Requests the Secretariat of the Basel Convention in consultation with the Bureau of
the Conference of the Parties to convene the Open-ended Ad Hoc Committee when necessary,
making use of informal meetings, subject to availability of resources;
The Conference
Recalling decision II/4 of the second meeting of the Conference of the Parties,
1. Decides that a form be developed for use by Parties to report cases of confirmed
illegal traffic;
2. Requests the Technical Working Group to review and revise the draft form developed
by the Secretariat of the Basel Convention and attached to this document as Appendix;
3. Requests Parties to review the draft form and submit comments for consideration by
the Technical Working Group;
4. Requests Parties to cooperate with each other and the Secretariat of the Basel
Convention on alleged cases of illegal traffic;
(b) provide the Secretariat of the Basel Convention with replies regarding the
reported cases on illegal traffic;
(c) extend cooperation with Interpol with a view to presenting to future meetings
of the Contracting Parties detailed reports on activities undertaken by the Secretariat of the
Basel Convention and Interpol to prevent illegal traffic in hazardous wastes and to provide
detailed reports to the Bureau and the meetings of the Contracting Parties on any cases of
illegal traffic, their sources, actions undertaken by the governments during the discovery of
cases and follow-up activities by the Contracting Parties.
(a) assist Parties in developing national legislation to deal with illegal traffic in
hazardous wastes;
(c) continue its cooperation with the various regional commissions and
secretariats of regional conventions and protocols, NGOs, industry, private sector, as well as
the World Customs Organization (WCO) and Interpol in order to achieve a better control and
monitoring of cases or alleged cases of illegal traffic in hazardous wastes and other wastes;
(d) organize training courses for customs officers, port authorities, judiciary
personnel and police forces in cooperation with WCO, Interpol and other appropriate bodies,
including UN regional commissions and secretariats of regional agreements dealing with
similar aspects.
The Conference
Recalling decision II/5 of the second meeting of the Conference of the Parties,
2. Requests the Secretariat of the Basel Convention to disseminate the Model National
Legislation to all States;
99
3. Also requests the Secretariat of the Basel Convention, in providing technical
assistance in the field of national legislation, to take into account, inter alia, the revised
Model National Legislation.
The Conference
Recalling Article 5 of the Basel Convention and decision II/6 of the second meeting of
the Conference of the Parties,
1. Requests Parties which have not yet informed the Secretariat of the Basel Convention
of the designation of their Competent Authorities and Focal Points to do so as soon as
possible.
The Conference
Recalling decision II/26 of the second meeting of the Conference of the Parties,
1. Approves the Manual for use by the Contracting Parties, other States and interested
organizations and bodies;
2. Requests the Secretariat of the Basel Convention to ensure the publication and
dissemination of the Manual to all Parties;
3. Requests the Parties to ensure the wide dissemination of the Manual to all bodies,
national authorities and persons involved in the generation, export, import and/or disposal of
hazardous wastes who express interest in receiving the Manual in order to make full use of
the information contained in this document.
The Conference
Recalling decision II/10 of the second meeting of the Conference of the Parties,
1. Requests the Parties which have entered, in accordance with Article 11, into bilateral,
multilateral and regional agreements or arrangements to continue to report, consistent with
national laws and regulations, to the Open-ended Ad Hoc Committee, through the Secretariat
of the Basel Convention, on the conformity of such agreements or arrangements with the
provisions of the Basel Convention taking into consideration the list of questions annexed to
decision II/10;
100
2. Requests the Secretariat of the Basel Convention to update the compilation containing
the bilateral and multilateral agreements or arrangements to circulate it to the Parties to the
Basel Convention.
The Conference
Recalling Article 15, paragraph 7, of the Basel Convention which requests the
Conference of the Parties to "undertake three years after the entry into force of this
Convention, and at least every six years thereafter, an evaluation of its effectiveness...",
Recalling also Article 15, paragraph 5(c), which allows the Conference to "consider
and undertake any additional action that may be required for the achievement of the purposes
of this Convention in the light of experience gained in its operation and in the operation of
the agreements and arrangements envisaged in Article 11",
Recognizing that the Basel Convention has contributed to the control of transboundary
movements of hazardous wastes and their management in an environmentally sound manner,
Recognizing also the valuable support and assistance of the Secretariat of the Basel
Convention provided to developing countries and countries with economies in transition,
(a) take the legal and technical steps necessary for the implementation of the
Convention at the national level in order to ensure its effectiveness;
(b) accelerate the early adoption of the Protocol on Liability and Compensation as
well as additional technical guidelines for the environmentally sound management of
hazardous wastes which will enhance the effectiveness of the Convention;
(b) to continue its cooperation with other UN bodies, international and regional
organizations as well as the private sector and NGOs in all aspects related to the
implementation of the Basel Convention.
The Conference
Further recalling decision II/3 of the Open-ended Ad Hoc Committee for the
Implementation of the Basel Convention,
2. Requests the Consultative sub-group of Legal and Technical Experts to study all issues
related to the establishment of a mechanism for monitoring implementation of and
compliance with the Basel Convention and its design, and to report its findings to the fourth
meeting of the Conference of the Parties to the Basel Convention.
The Conference
Referring to Decision II/13 of the second meeting of the Conference of the Parties,
wishes to:
1. Take note of the guidance developed by the Technical Working Group on the use of
Annex I and Annex III of the Basel Convention and the lists of wastes in the report of the
eighth session of the Technical Working Group, and request the Technical Working Group to
continue its work on this guidance;
102
(c) continue work on developing guidance for the use of characteristic H13. In
particular by identifying the purpose and the wastes for which countries consider H13 to be
important.
(a) further work on exploring limit values for use when appropriate in applying
the de minimis approach;
(c) consider ways of taking forward the development of lists of hazardous wastes
and the applicable procedure for their review based on the outcome of the work of the
Technical Working Group, in particular the outcome of its seventh and eighth sessions as well
as further developing lists of wastes not covered by the Basel Convention.
4. Request the Technical Working Group to report on the above activities to the fourth
meeting of the Conference of the Parties.
The Conference
Referring to decisions II/13 and II/25 of the second meeting of the Conference of the
Parties, wishes to:
1. Confirm the decision of COP2 and adopt the three Technical Guidelines on:
3. Request the Technical Working Group to report on progress on the above listed
activities to COP4;
4. Invite Parties to cooperate with each other in carrying out technical projects, in
consultation with and/or through SBC, to address the needs of developing countries and
countries with economies in transition Party to the Convention, for access to information
and/or on transfer of cleaner production technologies.
The Conference
Referring to decision II/14 of the second meeting of the Conference of the Parties,
wishes to:
2. Request SBC to issue and disseminate it to all Parties to the Convention, non-Parties,
international organizations and other concerned bodies;
3. Request SBC to initiate under the guidance of the Technical Working Group case
studies providing the elements for improving the recovery of hazardous wastes in non-OECD
countries through assessment of the functioning of recovery facilities and identification of
ways and means to aim at the environmentally sound management of the hazardous wastes to
be recovered and the recovery operations themselves along the lines of operational paragraph
3 of decision II/14 adopted by COP2 and the terms of reference annexed to it;
4. Request SBC to report to the COP4 through the Technical Working Group on progress
made with the implementation of case studies and/or outcome of such case studies if
completed as well as on further work undertaken on recovery operation practices.
The Conference
Referring to decision II/15 of COP2 and to further consultations with the Contracting
Parties and Secretariat of the Montreal Protocol, agrees that,
1. The controlled substances of the Montreal Protocol which are reclaimed and purified
to usable purity specifications prescribed by appropriate international and/or national
104
organizations including the International Standards Organization (ISO) do not fall under the
scope of the Basel Convention.
The Conference
Referring to decision II/16 of the second meeting of the Conference of the Parties,
wishes to:
1. Decide that the terminology to be used on the forms should be according to the Basel
Convention;
2. Further decide to recommend that the duly completed Notification will always
accompany the Movement Document;
3. Taking into consideration (a) and (b) above, agree to adopt the revised format of the
Notification and Movement Document;
The Conference
Referring to decision II/17 of the second meeting of the Conference of the Parties,
wishes to:
1. Invite Parties to cooperate with each other in the following areas in order to facilitate
the implementation of the Basel Convention including the reporting on Article 13 of the
Convention:
5. Request all Parties to report as soon as possible to the Secretariat of the Basel
Convention on activities pertinent to the calendar year 1994 in relation to Article 13 of the
Basel Convention using the format for reporting developed by the Secretariat and also to
report on the amount of hazardous wastes generated in their countries within the same
calendar year;
7. Request the Secretariat to report to the third session of the Open-ended Ad Hoc
Committee on information provided by Parties under Article 13 for the calendar year 1994
and on information on hazardous wastes generated, as well as on information provided under
Article 16 1(g) and present this information in a compiled and summarized form.
The Conference
Referring to decision II/18 of the second meeting of the Conference of the Parties,
wishes to:
1. Request the Secretariat to progress with the establishment of the IMSW and report to
COP4 on progress made;
2. Further request the Secretariat, while developing the IMSW, to prepare a management
status and explain the purpose, design and deliverability of the project and submit it to the
Technical Working Group for consideration and guidance;
3. Also request SBC to continue its consultation with UNCTAD on the collection of
statistics on transboundary movements of hazardous wastes and other wastes destined for
recovery operations;
106
4. Further request SBC to pursue consultation with UN-ECE, EUROSTAT and other
appropriate bodies on the development of common terminology for waste with a view to
aiming towards classification systems that could be comparable.
The Conference
Referring to decision II/19 of the second meeting of the Conference of the Parties and
Committee Decision II/1 of the second session of the open-ended Ad Hoc Committee on the
Establishment of Centres with its Appendix, wishes to:
1. Express its appreciation for the countries which provided in-kind contribution to the
Secretariat in carrying out the feasibility studies for the Latin America and Caribbean region,
for the Central and Eastern Europe region and for the Asian region;
2. Select sites for the establishment of the regional and sub-regional centres for training
and technology transfer regarding the management of hazardous wastes and other wastes and
the minimization of their generation:
- Selecting Uruguay as the coordinating centre for this region with three
sub-regional centres: Argentina for the South America sub-region; El
Salvador for Central America sub-region including Mexico; and
Trinidad and Tobago for the Caribbean sub-region;
18
Seminar in El Salvador (June 1995) led to the arrangements by which host countries for the future sub-
regional centers in Central America and the Caribbean undertook to prepare detailed project proposals to be
submitted for funding to interested Parties and relevant international organizations through SBC.
107
(c) For the Central and Eastern Europe region by:
6. Invite the United Nations Environment Programme (UNEP), the United Nations
Development Programme (UNDP), the United Nations Organization for Industrial
Development (UNIDO) and the United Nations regional economic commissions, to assist the
Parties to the Basel Convention and the Secretariat in the completion of remaining studies as
well as assisting and collaborating in the process of establishing centres for training and
technology transfer in all five regions. It also invites the World Bank, Regional and Sub-
regional Development Banks, the GEF, United Nations Department of Policy Coordination
and Sustainable Development (UN-DPCSD) as well as the private sector to assist in the
establishment of these centres;
7. Invite the Technical Working Group to cooperate on the establishment of the regional
centres for training and technology transfer regarding the management of hazardous wastes
and other wastes and the minimization of their generation within the framework of the Basel
Convention as a major component in capacity building activities particularly in developing
countries and countries with economies in transition;
10. Request the Secretariat to report to the third session of the Open-ended Ad Hoc
Committee or to another appropriate body on progress made in the establishment of regional
centres on training and technology transfer in Latin America and the Caribbean, in Asia, in
Central and Eastern Europe, in Africa and in Western Asia.
The Conference
Referring to decision II/20 of the second meeting of the Conference of the Parties,
wishes to:
2. Also request the Secretariat to continue promoting public awareness on the aims of the
Basel Convention through for example participation in related international conferences,
symposia and seminars and by publishing newsletters and other publications/material in this
field;
4. Also invite Parties to collaborate with each other on a bilateral basis in the
development and implementation of training programmes as well as public awareness
activities on the implementation of the Basel Convention.
The Conference
Recalling decision I/23 of the first meeting of the Conference of the Parties and
decisions II/20 and II/21 of the second meeting of the Conference of the Parties,
3. Invites Parties and other countries to consider providing support directly on a bilateral
basis for project proposals and requests for assistance received from Parties which are
developing countries and countries with economies in transition through the Secretariat of the
Basel Convention and keep the Secretariat informed on the implementation of activities in
this respect.
The Conference
Recalling decision II/11 of the second meeting of the Conference of the Parties,
2. Requests the Secretariat of the Basel Convention to continue its cooperation with the
IAEA in particular in the preparation of a draft Convention on Safety of Management of
Radioactive Wastes particularly in relation to the question of the inclusion of low-level
radioactive wastes in its scope;
3. Further requests the Secretariat of the Basel Convention to report to the fourth meeting
of the Conference of the Parties on the progress made on the Secretariat of the Basel
Convention's cooperation with IAEA on the elaboration of the draft Convention on Safety of
Management of Radioactive Wastes.
The Conference
Recalling decisions II/7 and II/22 of the second meeting of the Conference of the
Parties,
1. Invites Parties to the London Convention, 1972, which are not Parties to the Basel
Convention to become Parties in order to facilitate the coordination between the two
Conventions;
2. Welcomes the decisions by the 16th Consultative Meeting of the London Convention,
110
1972, to prohibit the dumping of industrial wastes and radioactive wastes and other
radioactive matter at sea, as well as the incineration at sea of industrial wastes and sewage
sludge;
3. Requests the Secretariat of the Basel Convention to continue its cooperation with the
Consultative Meeting of the London Convention, 1972 and the IMO in the preparatory
process for the amendment of the London Convention, 1972 in order to achieve the goal of
coordination between the two Conventions and to report to the fourth meeting of the
Conference of the Parties to the Basel Convention;
4. Further requests the Secretariat of the Basel Convention to continue to cooperate with
the Consultative Meeting of the London Convention, 1972 and the IMO with a view to
ensuring that there is no duplication of activities to be carried out under both the Basel and
the London Conventions, and with a view to ensuring their complementarity;
The Conference
Referring to decision II/24 of the second meeting of the Conference of the Parties
wishes to:
1. Request SBC to further strengthen its cooperation with IMO and other relevant UN
bodies, such as the UN Committee of Experts on the Transport of Dangerous Goods, the UN
Economic Commission for Europe (UN-ECE), the Inter-organization Programme of Sound
Management of Chemicals, and the International Programme on Chemical Safety (IPCS)
with a view to bringing them to participate fully and to contribute to the work undertaken by
the Technical Working Group on hazard characterization of wastes subject to the Basel
Convention and to pursue work on harmonization of criteria for the classification of
hazardous wastes;
2. Further request SBC to continue its cooperation in this field with the IMO as well as
with other intergovernmental organizations, in particular, OECD and the European
Commission;
3. Also request that the cooperation of SBC on the subject of harmonization of criteria
for the classification of hazardous wastes be extended to concerned non-governmental
organizations and the private sector, particularly the Council of the Federation of European
Chemical Industries (CEFIC); the Oil Companies' European Organization for Environmental
and Health Protection (CONCAWE); European Centre for Ecotoxicology and Toxicology of
Chemicals (ECETOC), and International Petroleum Industry Environmental Conservation
111
Association (IPIECA).
The Conference
Referring to decision II/9 of the second meeting of the Conference of the Parties,
wishes to:
1. Appreciate the work done by the Secretariat of the Basel Convention on the
Implementation of the three UNEP Governing Council 17 Decisions, namely:
2. Request the Secretariat of the Basel Convention to cooperate with UNEP Headquarters
and its Regional Offices in the fields related to subjects covered by the above referred to
UNEP 17th Governing Council Decisions to the extent to which the activities of the above
three subject areas are covered by the provisions of the Basel Convention and decision of its
Contracting Parties.
The Conference
Referring to decision II/23 of the second meeting of the Conference of the Parties,
wishes to:
1. Request SBC to continue its cooperation with the following organizations in order to
pursue the fulfilment of the objectives and obligations of the Convention, in particular:
(ii) with FAO and UNIDO, and in cooperation with UNEP/IRPTC, on the
environmentally sound disposal of obsolete and unwanted pesticides stock in
developing countries;
(v) with OECD in the work of its Waste Management Policy Group in
particular regarding separate identification of hazardous wastes in the Harmonized
System of the World Customs Organization, the environmentally sound management
of hazardous wastes destined for recovery operations, training and waste
minimization. In the preparation of technical guidelines for the environmentally
sound management of hazardous wastes subject to the Basel Convention and the
establishment of regional centres for training and technology transfer;
(vi) with WCO in cooperation with OECD and the EC, in the separate
identification of wastes subject to the Convention in the Harmonized System, with the
WCO and its Contracting Parties to accelerate its work on the inclusion into the
Harmonized System of the WCO of the entries for hazardous wastes covered by the
Basel Convention and to accelerate its work on the modalities of this inclusion;
(viii) with ICC, BIAC and other private sector and business organizations in
the area of hazard characterization of the wastes subject to the Convention, on the
preparation of technical guidelines, on the development of the Protocol on Liability
and Compensation, and on the establishment of regional centres for training and
technology transfer.
2. Appeal to the United Nations bodies, specialized agencies and organizations and other
international and regional organizations to consider joint collaboration including financing
projects with the SBC for the implementation of the Basel Convention, to provide resource
persons for training courses or technical assistance missions organized through the SBC and
113
to keep SBC informed about hazardous waste related activities organized by them such as
training courses in order to forward such information to the Parties of the Basel Convention.
The Conference
3. Further requests the Secretariat to report on progress to the fourth meeting of the
Conference of the Parties.
The Conference
Referring to decision II/27 of the second meeting of the Conference of the Parties,
Having considered the experience of the work of the Extended Bureau and the
Secretariat of the Basel Convention during the period between the second and third meetings
of the Conference of the Parties,
I. Institutional arrangements
1. Decides, with reference to its decision II/27, that its extended Bureau should also
include the persons elected to chair the Open-ended Ad Hoc Committee, the Technical
Working Group and the Ad Hoc Working Group of Legal and Technical Experts, subject to
the provision that if a national of one State would otherwise occupy more than one position
on the Extended Bureau, the relevant regional group may nominate a representative of
another State to fill the other seat on the Bureau.
4. In accordance with paragraph 8 of the Terms of Reference for the administration of the
114
Trust Funds for the Basel Convention on the Control of Transboundary Movements of
Hazardous Wastes and their Disposal, authorizes the Executive Secretary to make transfers,
between each of the main appropriation lines set out in the budget, up to the aggregate limit
of 15 per cent of the total estimated expenditure for those appropriation lines, provided that a
further limitation of up to minus 25 per cent of each such appropriation lines shall apply.
6. Expresses its concern over the delays in payment of the agreed contributions by
Parties as well as the voluntary contributions by Parties and non-Parties according to the
agreements reached at the first meeting of the Conference of the Parties in accordance with
which: "all contributions are due to be paid in the year immediately preceding the year to
which the contributions relate".
7. Approves the budget for the Trust Fund for the Implementation of the Basel
Convention in the amount of US$ 2,854,805 to be met from the allocated scale of
assessments, and an additional amount of US$1,096,395 as voluntary contributions for 1997
(Annex I to this decision).
8. Approves the budget for the Trust Fund for the Implementation of the Basel
Convention in the amount of US$ 2,940,449 to be met from the allocated scale of
assessments, and an additional amount of US$1,129,291 as voluntary contributions for 1998
(Annex II to this decision).
9. Approves the budget for the Technical Cooperation Trust Fund to Assist Developing
Countries subject to voluntary contributions (Annex III to this decision).
10. Approves the document on financial implications of decisions of the third meeting of
the Conference of the Parties to the Basel Convention for 1997, which is expected to be
reviewed on a continuous basis by the meetings of the Extended Bureau to the Basel
Convention subject to priorities set up by the Institutional and Legal as well as Technical
Working Groups of the third meeting of the Conference of the Parties and subject to
availability of funds (doc.UNEP/CHW.3/36).
11. Invites Parties to notify the Secretariat of the Basel Convention of all contributions
made to the Basel Convention Trust Funds at the time such payments are made.
12. Invites the Executive Director to request that the collection of contributions to the
Trust Funds of the Basel Convention is done through the existing Geneva UNEP bank
account and is managed by the Geneva located financial services so that the collection and
control of funds is made more efficient and effective.
13. Welcomes the decision by the UNEP/GC.18 adopted in May 1995 to provide strategic,
scientific, technical and administrative support to the implementation of the Basel
Convention for the biennium 1996-1997 at the level of US$ 446,000 and suggests that
priority should be given to the implementation of the decisions on the establishment of
regional or sub-regional centres for training and technology transfer regarding the
management of hazardous wastes and other wastes and the minimization of their generation
115
and on training and seminars related to the Basel Convention.
14. Requests the Executive Director of UNEP to advance funds to the Basel Convention
on a reimbursable basis for operational requirements, including for technical cooperation
activities to avoid disruption of the activities carried out under the Basel Convention that
would result from delays in payment by the Parties of their pledged contributions.
15. Takes note of the recommendation by the Executive Director of UNEP to channel all
funding related to the implementation of the Convention through one, consolidated Trust
Fund.
16. Notes with appreciation the agreement by the Executive Director of UNEP to extend
the two Trust Funds to the Basel Convention for 1999-2000 and 2001-2002 and mutatis
mutandis the Terms of Reference for their administration as adopted by the First Meeting of
the Conference of the Parties (Annex II to decision I/7), and to ensure ex-post-facto approval
of the UNEP Governing Council for these extensions according to paragraph 19 of the Terms
of Reference, subject to the further development of the Memorandum of Understanding.
17. Further notes that the Executive Director of UNEP will provide the Bureau with a
report on the implementation of paragraph 16 of the Terms of Reference of the Trust Funds
for the Basel Convention by May for every previous year to ensure the transparency of the
use of funds of the Contracting Parties and with the annual certified accounts for the year and
a report of activities under the Convention as required by paragraph 17 of the Terms of
Reference.
18. Invites the Executive Director of UNEP to consult with the Secretary General of the
United Nations on the procedures to be followed to modify the decision of the UN General
Assembly regarding the 13 per cent charged to earmarked contributions and consequently not
making any overhead charges on expenditures in the Trust Fund for Technical Assistance to
Developing Countries.
19. Requests the Secretariat of the Basel Convention to ensure the implementation of all
decisions adopted by the third meeting of the Conference of the Parties within the approved
budgets for 1996 and for 1997/1998, ensuring that the only limiting factors in the
implementation of the decision would be the availability of financial resources in the Trust
Funds.
20. Reiterates its previous requests to the Secretariat to secure the lowest possible costs
for the translation, reproduction and dispatch of the documents for the meetings of the
Conference of the Parties and its subsidiary bodies.
21. Decides that the fourth meeting of the Conference of the Parties will be held in
September/October 1997.
Annex
116
A. INSTITUTIONAL AND LEGAL WORKING GROUP - PRIORITIZED
DECISIONS
1. The Group has considered the draft decisions offered to it, and has prioritized those
which have budgetary implications.
2. The Group notes that many of the decisions are interrelated, and that work under one
decision could contribute to the development of other work.
3. The Group felt that the subject of the decisions are self explanatory and therefore
there is no need to make further comments.
PRIORITIZED LIST
117
B. TECHNICAL WORKING GROUP - PRIORITIZED DECISIONS
1. The Group has considered the draft decisions offered to it, and has prioritized those
which have budgetary implications.
2. The Group notes that many of the decisions are interrelated, and that work under one
decision could contribute to the development of other work.
3. The Group also notes that some projects can be broken down into a preliminary phase
costing relatively little, and an implementation phase where the bulk of expenditure lies.
4. For this reason, the Group would encourage the Secretariat to remain active in all
decisions, even those of lower priority, when modest expenditures can pave the way for more
efficient work later. Projects for which this approach is particularly relevant have been
identified on the prioritized list.
5. The Group is not, of course, in a position to judge its priorities against those of other
groups. This should be done by a body with a broader remit then either the Technical Group
or the Institutional and Legal Working Group. But the Technical Working Group does note
that, in Plenary, delegations have emphasized the particular importance of the work of the
Technical Working Group of the Basel Convention.
PRIORITIZED LIST
119
APPENDIX (DECISION III/5)
ADDRESS:
TEL:
FAX:
WHICH:
19
As part of the implementation of Decision II/4 on Illegal Traffic, the Secretariat was
requested to establish a "well-defined reporting system on cases of illegal traffic".
120
PERMISSION FOR EXPORT:
THE NOTIFIER HAS RECEIVED THE WRITTEN CONSENT OF THE STATE OF IMPORT:
YES NO
THE NOTIFIER HAS RECEIVED FROM THE STATE OF IMPORT CONFIRMATION OF THE
EXISTENCE OF A CONTRACT BETWEEN THE EXPORTER AND THE DISPOSER
SPECIFYING ENVIRONMENTALLY SOUND MANAGEMENT OF THE WASTES:
YES NO
THE NOTIFIER HAS RECEIVED THE WRITTEN CONSENT OF THE STATE OF TRANSIT
PARTY TO THE CONVENTION:
YES NO
QUANTITY:
MEANS OF TRANSPORT:
RESULT:
ACTORS INVOLVED IN THE ILLEGAL TRAFFIC (e.g: Exporter, Importer, Carrier, Generator,
Disposer) :
COMPANY (IES):
COMPANY (IES):
121
PERSON:
STATE OF EXPORT:
INTERPOL: YES NO
YES NO
WHICH:
YES NO
IF NO, WHY?:
DATE OF RE-IMPORT:
MEANS OF RE-IMPORT:
IF YES, SPECIFY:
122
STATE OF IMPORT:
IN THE CASE THAT ILLEGAL TRAFFIC IS A RESULT OF CONDUCT ON THE PART OF THE
EXPORTER OR GENERATOR:
IF NOT, WHY?:
IF YES, SPECIFY:
IN THE CASE THAT ILLEGAL TRAFFIC IS A RESULT OF CONDUCT ON THE PART OF THE
IMPORTER OR DISPOSER:
IF YES, SPECIFY:
STATE OF TRANSIT:
123
HAS TRANSIT STATE INFORMED:
INTERPOL: YES NO
WHICH:
INTERPOL: YES NO
WHICH:
PUNISHMENT:
IS THE ILLEGAL TRAFFIC CONSIDERED A CRIMINAL ACT BY THE NATIONAL LEGISLATION OF?:
TYPE OF PUNISHMENT:
124
Annex
PHYSICO-CHEMICAL PROPERTIES/CHARACTERISTICS:
CLASSIFICATION IN BASEL CONVENTION:
EXPLOSIVE: YES NO
FLAMMABLE LIQUIDS: YES NO
FLAMMABLE SOLIDS: YES NO
OXIDING: YES NO
ORGANIC PEROXIDES: YES NO
POISONOUS: YES NO
INFECTIOUS SUBSTANCES: YES NO
CORROSIVE: YES NO
TOXIC: YES NO
ECOTOXIC: YES NO
SUBSTANCES OR WASTES LIABLE TO SPONTANEOUS COMBUSTION:
YES NO
SUBSTANCES OF WASTES WHICH, IN CONTACT
WITH WATER EMIT FLAMMABLE GASES: YES NO
LIBERATION OF TOXIC GASES IN CONTACT WITH AIR OR WATER:
YES NO
3. MODES OF TRANSPORT:
PACKAGING: YES NO
LABELLING: YES NO
4. TESTING:
SAMPLES TAKEN:
SAMPLES ANALYZED:
RESULTS:
125
5. CONTAINMENT APPEARANCE:
POPULATION: YES NO
PROPERTIES: YES NO
ENVIRONMENTAL MEDIAS: YES NO
IF KNOWN, PLEASE QUALIFY MEDIA
126
DECISIONS ADOPTED BY
THE FOURTH MEETING
OF THE CONFERENCE OF THE PARTIES
in Kuching, Malaysia
on 27 February 1998
127
IV/1. BILATERAL, MULTILATERAL AND REGIONAL AGREEMENTS OR
ARRANGEMENTS
The Conference
1. Takes note of the information provided by the Parties on the conformity of their
bilateral, multilateral and regional agreements or arrangements with Article 11 of the Basel
Convention, taking into account the list of questions annexed to decision II/10 of the second
meeting of the Conference of the Parties;
2. Requests the Parties that have entered, in accordance with Article 11, into bilateral,
multilateral and regional agreements or arrangements and that have not yet reported on the
conformity of such agreements or arrangements with the said Article, to report through the
Secretariat to the next session of the Open-ended Ad Hoc Committee, taking into account the
list of questions annexed to decision II/10;
3. Requests the Secretariat of the Basel Convention to establish and update a list of
bilateral, multilateral and regional agreements or arrangements in effect, reported to the
Secretariat, and to distribute this list on a regular basis to Parties and non-Parties.
The Conference
1. Takes note of the draft guidance elements developed by the Technical Working
Group;
2. Extends the mandate of its Technical Working Group and gives a mandate to the
Consultative Sub-group of Legal and Technical Experts and requests these two groups to
cooperate closely on this subject with a view:
(b) To presenting to the next meeting of the Open-ended Ad Hoc Committee the
revised draft elements for adoption by the fifth meeting of the Conference of the Parties;
3. Encourages Parties and States non-parties to refer to the draft guidance elements when
considering bilateral, multilateral or regional agreements or arrangements.
The Conference
1. Takes note of the report prepared by the Secretariat on the implementation of Articles
13 and 16;
128
2. Acknowledges the efforts made by Parties to provide information to the Secretariat of
the Basel Convention for the calendar years 1994 and 1995;
3. Invites those Parties that have not yet done so to report on Articles 13 and 16 for the
calendar year 1996 as soon as possible, using the questionnaire prepared for this purpose by
the Secretariat and bearing in mind that, according to the provisions of Article 13, Parties are
requested to transmit, before the end of each calendar year, a report on information for the
previous calendar year;
4. Requests the Parties to provide such information to the Secretariat for the calendar
year 1997, before the end of calendar year 1998;
5. Requests Parties to comment upon and propose improvements to the existing format
of the questionnaire in order to enable the Secretariat to revise it in time for reporting by
Parties on 1996 activities;
6. Requests the Secretariat to continue its efforts in promoting the harmonizing of the
reporting system of other organizations and to initiate action on this matter with relevant
agencies.
The Conference
1. Takes note of the progress in the establishment of regional and subregional centres for
training and technology transfer and of the existing and proposed organizational
arrangements, as well as of the funding situation of the respective centres;
2. Welcomes the financial support provided by the Government of Switzerland for the
establishment and initiation of activities at the Regional Centre in Bratislava for Central and
Eastern Europe for a two-year period and the contribution in kind (staff, logistics, utilities,
administrative and organizational arrangements) provided by the Government of Slovakia;
(a) The Government of Canada, for the initiation of the activities at the
Coordinating Centre in Uruguay;
(b) The Government of Germany (GTZ) for the undertaking of a feasibility study
for the establishment of a subregional centre for English-speaking countries in Africa;
(c) The United Nations Environment Programme, through its Swedish Technical
Cooperation Trust Fund, for the undertaking of feasibility studies for the establishment of
subregional centres for Arabic-speaking and French-speaking African countries;
129
(d) The Government of Australia, for the holding of a regional meeting in China
to discuss the outcome of the feasibility study for the establishment of centres in the Asia and
Pacific region and for support to a second meeting in this region to be held in Indonesia to
agree on arrangements and activities in the Indonesian Regional Centre as well as its
interaction and relation with other centres in the region;
4. Takes note of the fact that the contribution in kind for core activities of the Centre by
the host Government (Slovakia), in addition to the contribution by the Government of
Switzerland, facilitated and speeded up the initiation of activities at the Centre for Central
and Eastern Europe;
5. Further takes note of the efforts made by other host countries to provide in-kind
contributions for the establishment and activities of the centres;
8. Also requests the Secretariat to collaborate with the Regional Organization for
Protection of the Marine Environment (ROPME) for the Gulf region, located in Kuwait, as
well as with the Regional Office for West Asia of the United Nations Environment
Programme, in relation to the provision of training and technology transfer in the
environmentally sound management of hazardous wastes and the transboundary movement of
such wastes for the countries in the ROPME sea region;
10. Urges the Parties to have as a goal the long-term sustainability of the centres and to
ensure that various options are being thoroughly considered in order to achieve this goal;
11. Urges all designated host Governments, as soon as regional and subregional meetings
have been held to discuss the outcome of the feasibility studies, to prepare concrete project
proposals for the establishment of their respective centres, with detailed budgets to be sent to
donors for funding and with feasible action plans for the centres to become financially self-
sufficient within a specific time-frame;
12. Requests the Secretariat to convene regional and subregional meetings to discuss the
outcome of the feasibility studies not yet addressed by such meetings, in order to accelerate
the establishment of centres in those regions;
130
13. Further urges Parties, especially those which are future hosts of regional and
subregional centres, to include the above project proposals as priority activities in their
development plans, in order to enable donor agencies to consider providing financial support
in connection with the regularly organized United Nations Development Programme round-
table donors' meetings;
14. Requests the Secretariat to continue to report to future sessions of the Open-ended Ad
Hoc Committee on progress made in the establishment of regional centres on training and
technology transfer.
The Conference
1. Takes note of the report prepared by the Secretariat of the Basel Convention on the
implementation of decision II/12;
2. Requests the Parties which have not yet reported to the Secretariat on the
implementation of decision II/12 to do so as soon as possible, to allow for the presentation of
a comprehensive report to the next meeting of the Conference of the Parties;
3. Requests the Secretariat to consolidate the report, including the information received
on the implementation of this decision in previous years;
The Conference
1. Notes with appreciation the efforts of the Technical Working Group in preparing the
List A and List B of wastes;
2. Considers the draft Position Paper together with the consolidated Lists A and B of
wastes, and the applicable procedure for reviewing or adjusting List A and List B;
4. Approves the List A and List B of wastes as submitted by the Technical Working
Group;
131
5. Approves the Application Form for the Placement or Removal of Wastes on List A or
List B developed by the Technical Working Group;
6. Extends the mandate of the Technical Working Group and instructs the Technical
Working Group to keep the List A and List B of wastes under review using the Application
Form for placement or removal of wastes on these Lists for this purpose;
7. Requests the Technical Working Group to provide the Conference of the Parties with
recommendations on the revision or adjustment of List A and List B of wastes;
9. Instructs the Technical Working Group to review wastes on List C with a view to their
placement on List A or List B;
10. Also instructs the Technical Working Group to initiate work on wastes about which
particular concerns are or have been expressed;
11. Instructs the Technical Working Group to develop the procedure for reviewing or
adjusting the lists of wastes and to submit a proposal for approval at the fifth meeting of the
Conference of the Parties;
12. Requests the Technical Working Group to continue its work on the hazard
characterization of wastes, in particular, for the hazard characteristics H6.2, H10, H11, H12
and H13 of Annex III to the Convention;
13. Requests the Secretariat to publish the draft position paper, in the official languages of
the United Nations, and to disseminate it to Parties, signatories of the Convention, other
States, intergovernmental organizations, industry and business, as well as to environmental
non-governmental organizations;
14. Requests the Secretariat of the Basel Convention to ensure that the outcome of the
work of the Technical Working Group be made available to Parties on a regular basis.
The Conference
1. Takes note of the progress made by Parties in effectively implementing decision III/1;
3. Strongly appeals to Parties to ratify the Amendment adopted by decision III/1 as soon
as possible to enable the early entry into force of the Amendment.
132
IV/8. DECISION REGARDING ANNEX VII
The Conference
Noting that the amendment contained in decision III/1 has not yet come into force,
and therefore also noting decision IV/7 of this Conference, which urges Parties to ratify this
Amendment as a matter of priority,
Further noting the deep concern of Arab and other countries of making any changes to
Annex VII,
Reaffirming the importance of the broad ratification and entry into force of the
amendment contained in decision III/1 and recognizing the difficulties of modifying Annex
VII prior to the entry into force of that amendment,
Further noting the proposals formulated by Parties for inclusion into Annex VII,
1. Decides to leave Annex VII unchanged until the amendment contained in decision
III/1 enters into force;
2. Further decides to explore issues relating to Annex VII and requests the Technical
Working Group in cooperation with the Sub-group of Legal and Technical Experts to provide
Parties with a detailed and documented analysis that would highlight issues related to Annex
VII;
3. Requests those two Groups to report to the fifth meeting of the Conference of the
Parties;
4. Confirms that the work to be undertaken is without prejudice to any future decisions
concerning Annex VII.
The Conference
Recalling decision III/1 of the Conference of the Parties, which instructed the
Technical Working Group, among other things, to give full priority to completing the work on
hazard characterization and the development of lists, in order to submit them for approval to
the fourth meeting of the Conference of the Parties,
Recalling decision III/12 of the Conference of the Parties, which instructed the
Technical Working Group, among other things, to consider ways of taking forward the
development of lists of hazardous wastes and the applicable procedure for their review based
on the outcome of the work of the Technical Working Group, as well as further developing
lists of wastes not covered by this Convention,
133
Taking note of the work carried out by the Technical Working Group and in particular
the development of a list of wastes that are characterized as hazardous pursuant to Article 1,
paragraph 1 (a), (list A contained in the note on consolidated lists of wastes and the applicable
procedures for their review and adjustment (UNEP/CHW.4/3)) and a list of wastes that are
not covered by article 1, paragraph 1 (a), of this Convention (list B contained in the note on
consolidated lists of wastes and the applicable procedures for their review and adjustment), as
well as the progress made in the development of a procedure for reviewing or adjusting these
lists and of an application form required for the placement or removal of wastes on these lists,
Considering that Annex I and Annex III shall remain the factors to characterize wastes
as hazardous for the purpose of this Convention, that lists A and B developed by the
Technical Working Group provide an expeditious way to facilitate the implementation of this
Convention, including Article 4A, by establishing wastes that are and wastes that are not
covered by Article 1, paragraph 1 (a), of this Convention, and that these lists should have
equal status,
Noting that wastes listed in lists A and B are an elaboration and clarification of the
provisions of Article 1, paragraph 1 (a), of this Convention by reference to Annexes I and III,
Taking note that the Open-ended Ad Hoc Committee decided at its third meeting to
propose that the Conference of the Parties extend the mandate of the Technical Working
Group to take charge of the procedure for reviewing or adjusting the lists of wastes and that
the Conference of the Parties adopt the application form for this purpose, as set out in the
note on consolidated lists of wastes and the applicable procedures for their review and
adjustment,
Taking note that, pursuant to decision IV/6, the Technical Working Group is instructed
to keep the lists of wastes under review and to make recommendations to the Conference of
the Parties for revisions or adjustments,
Further taking note that, pursuant to decision IV/6, the Technical Working Group is
instructed to review the procedure for reviewing or adjusting the lists of wastes, including the
Application Form as set out in the note on consolidated lists of wastes and the applicable
procedures for their review and adjustment and to submit a proposal for approval at the fifth
meeting of the Conference of the Parties,
134
(b) Designation of a waste on Annex VIII does not preclude, in a particular
case, the use of Annex III to demonstrate that a waste is not hazardous pursuant to
Article 1, paragraph 1 (a), of this Convention.
2. Add the following two new annexes to the Convention as its Annexes VIII and
IX. [Please see pages 36-50 of the text of the Convention]
The Conference
2. Further requests the Secretariat, in collaboration with the United Nations Environment
Programme and other international organizations as well as the private sector and
environmental non-governmental organizations, actively to contribute to the implementation
of the programme of activities of the regional centres by developing training materials,
publications and other supporting materials, by facilitating the development of local and
regional activities and case studies and by providing resource persons for training courses;
3. Also requests the Secretariat of the Basel Convention to continue promoting public
awareness on the aims of the Basel Convention through participation in related international
conferences, symposia and seminars, through the preparation and publication of brochures,
newsletters, leaflets, press releases, case studies and other publications and material in this
field, and through the consolidation of the websites of the Basel Convention on the Internet;
5. Invites all Parties which are in a position to do so to contribute to the trust funds to
cover the costs of participation of developing country representatives at meetings and
seminars organized by the Secretariat, or in kind, through, inter alia, the provision of resource
persons for the organization of seminars, workshops and training programmes.
135
IV/11. CURRENT AND PLANNED TECHNICAL ASSISTANCE ACTIVITIES
INCLUDING FOR THE IMPLEMENTATION OF AGENDA 21
The Conference
1. Takes note of the report prepared by the Secretariat of the Basel Convention;
2. Requests the Secretariat to continue to provide assistance within the limits of its
existing financial resources;
3. Urges Parties and other countries to provide assistance on a bilateral or regional basis
or through the Secretariat;
4. Urges Parties to cooperate actively on a regional basis, in particular for those Parties
that have the capacity to provide technical support to other countries of the region in need of
such assistance;
5. Requests the Secretariat to make available to Parties the updated list of technical
assistance needed on a regular basis.
The Conference
1. Welcomes the work of the Technical Working Group on confirmed cases of illegal
traffic and recognizes that the issue of illegal traffic remains a high priority with particular
emphasis on cases involving alleged illegal traffic;
(a) Appeals to Parties to bring any case or, if appropriate, alleged case of illegal
traffic to the attention of the Secretariat and to provide the Secretariat with all necessary
information to enable it to take any appropriate action, including preventive measures
through initial dissemination of information to Parties concerned;
(b) Welcomes steps taken by Parties to submit information on how Parties may
have dealt with illegal traffic, including alleged cases of illegal traffic, with regard to
difficulties they could be facing when seeking compliance with the provisions of the Basel
Convention;
(c) Recognizes that illegal traffic can take many different forms and be of
different magnitudes ranging from, for example, falsification of documents to large-scale
organized activities;
(d) Requests Parties to cooperate with each other and the Secretariat on alleged
cases of illegal traffic;
(e) Assigns the Consultative Sub-group of Legal and Technical Experts the task of
developing procedures to address alleged cases of illegal traffic;
136
(f) Adopts the draft Form for Confirmed Cases of Illegal Traffic for use by Parties
in confirmed cases of illegal traffic;
(g) Invites Parties to use this form in their reports related to confirmed cases of
illegal traffic to the Secretariat;
(h) Requests the Secretariat to report to the fifth meeting of the Conference of the
Parties, through the Open-ended Ad Hoc Committee for the Implementation of the Basel
Convention, as appropriate, on information received by Parties on cases of illegal traffic;
3. Urges Parties to fulfil their obligations under Article 9, paragraph 5 of the Basel
Convention, in particular:
4. (a) Notes that the classification and characterization of wastes represent essential
tools to assist in the identification and prevention of illegal traffic;
(b) Requests the Secretariat of the Basel Convention, bearing in mind decisions
I/18 and II/23, to work closely with the United Nations Committee of Experts on the
Transport of Dangerous Goods towards the development of an appropriate classification and
labelling system;
(c) Requests the Secretariat to continue its cooperation with various regional
commissions and secretariats of regional conventions and protocols, non-governmental
organizations, industry and the private sector, as well as the World Customs Organization and
Interpol, in order to achieve better control and monitoring of cases or alleged cases of illegal
traffic in hazardous wastes and other wastes;
(d) Requests the Secretariat to organize training courses for customs officers and
police forces in cooperation with the World Customs Organization, Interpol and other
appropriate bodies, including United Nations regional commissions and secretariats of
regional agreements dealing with similar aspects;
(e) Requests the Secretariat to assist Parties in capacity building, including the
development of an appropriate infrastructure, with a view to preventing and penalizing cases
of illegal traffic in hazardous wastes and other wastes and to ensuring the involvement of
national authorities and focal points for the Basel Convention in the prevention and
monitoring of illegal traffic in hazardous wastes and other wastes;
(f) Encourages Parties to build up their enforcement capacities, inter alia, through
cooperation with international bodies such as Interpol and the International Network for
137
Environmental Complaints, in the development of training and networking for enforcement
personnel involved in the prevention of illegal traffic;
(g) Invites Parties to promote consistency when addressing the issue of illegal
traffic in the relevant United Nations bodies, while avoiding duplication;
5. Requests the Technical Working Group and the Consultative Sub-group of Legal and
Technical Experts, at their joint meeting, keeping in mind the discussions within the Ad Hoc
Working Group of Legal and Technical Experts to Consider and Develop a Draft Protocol on
Liability and Compensation, to develop recommended procedures to assist Parties in
preventing, identifying and managing illegal traffic.
The Conference
1. Takes note of the updated list of competent authorities and focal points prepared by
the Secretariat of the Basel Convention;
2. Invites Parties which have not yet informed the Secretariat of the designation of their
Competent Authorities and Focal Points to do so as soon as possible to facilitate the
implementation of the Basel Convention.
The Conference
1. Takes note of the revised Instruction Manual on the control system for transboundary
movements of hazardous wastes and other wastes;
3. Approves the Instruction Manual and its accompanying Notification and Movement
Document;
4. Requests the Secretariat of the Basel Convention to publish the Instruction Manual in
all United Nations languages and to disseminate it widely;
5. Invites Parties to use the Instruction Manual and the forms contained therein and
report to the Secretariat on their experience in the use of the Instruction Manual and the
forms, in particular in cases where difficulties occur in their use.
138
IV/15. ESTABLISHMENT OF AN INFORMATION MANAGEMENT SYSTEM ON
WASTES (IMSW) OF THE BASEL CONVENTION
The Conference
2. Welcomes the support from the Government of Japan for the establishment of the
IMSW;
3. Also urges the Secretariat of the Basel Convention to develop further and promote
access to the IMSW through the Internet, including information and documentation on
information received in relation to Articles 13 and 16, as well as documentation on and
reports of Basel Convention meetings, newsletters and publications, etc.;
4. Requests the Secretariat to work closely with other United Nations bodies, in
particular the United Nations Environment Programme, that are developing or operating
databases or information management systems of relevance to the Basel Convention.
The Conference
2. Requests the Secretariat further to consolidate its cooperation on critical areas for the
implementation of the Basel Convention with relevant United Nations bodies and specialized
agencies, including the International Atomic Energy Agency and the United Nations
Environment Programme Industry and Environment Centre, other intergovernmental
organizations, regional conventions and commissions, as well as with non-governmental
organizations and the private sector, including industry;
1. Takes note of the activities undertaken by the Secretariat of the Basel Convention,
under the guidance of the Technical Working Group, to cooperate with the World Customs
Organization in identifying hazardous wastes separately in the Harmonized Commodity
Description and Coding System;
139
2. Further takes note that the Harmonized System Committee at its seventeenth session
(May 1996) provisionally adopted a number of amendments to the Harmonized System
nomenclature concerning separate identification of certain categories of wastes based on
proposals of the Secretariat of the Basel Convention, the Organisation for Economic
Cooperation and Development and the European Commission. These amendments are
expected to come into force on 1 January 2002;
3. Urges the World Customs Organization to accord priority to evolving the Harmonized
Commodity Description and Coding System;
4. Also takes note that the deadline established by the Harmonized System Committee
for the submission of new proposals for the separate identification of wastes covered by the
Basel Convention in the Harmonized System nomenclature for the next Harmonized System
amendments, to be implemented as from 1 January 2002, is the end of 1997;
5. Requests the Secretariat under the guidance of the Technical Working Group, and in
cooperation with the Organisation for Economic Cooperation and Development as well as
with interested Parties, to pursue its cooperation with the World Customs Organization
concerning the separate identification of certain categories of hazardous wastes in the
Harmonized System nomenclature, in particular to cooperate with the World Customs
Organization and the Harmonized System Committee in their eventual examination of the
classification of the wastes placed on lists A and B prepared by the Technical Working Group
in the Harmonized System nomenclature;
1. Takes note of the cooperation between the Secretariat of the Basel Convention and the
OECD Environment Directorate on matters pertaining to the implementation of the Basel
Convention;
2. Requests the Secretariat further to cooperate with the OECD Environment Directorate
on matters concerning the implementation of the Basel Convention and propose, as
appropriate, any arrangement best suited to fulfil this task;
3. Further requests the Secretariat, in close consultation with the Chairperson of the
Technical Working Group, to work out implications and the modalities required to aim at
achieving compatibility among the different systems dealing with the control of
transboundary movements of wastes and hazardous wastes;
4. Also requests its Technical Working Group to ensure close liaison with the OECD
Waste Management Policy Group on the matter of harmonization of the OECD and the Basel
Convention systems concerning the control of transboundary movements of hazardous
wastes, and report on progress to the fifth meeting of the Conference of the Parties.
140
IV/17. COOPERATION BETWEEN THE BASEL CONVENTION AND THE ACTIVITIES
UNDERTAKEN AT THE GLOBAL LEVEL LEADING
TO THE DEVELOPMENT OF THE LEGALLY BINDING INSTRUMENTS
FOR THE APPLICATION OF THE PRIOR INFORMED CONSENT
PROCEDURE FOR CERTAIN HAZARDOUS CHEMICALS AND
PESTICIDES IN INTERNATIONAL TRADE AND ON PERSISTENT
ORGANIC POLLUTANTS
The Conference
1. Takes note of the activities of the Technical Working Group regarding efforts to
ensure that the international legally binding instruments being prepared concerning the
implementation of the prior informed consent procedure and on persistent organic pollutants
do not overlap with the Basel Convention;
2. Emphasizes that the sets of technical guidelines on wastes comprising or containing
PCBs, PCTs, and PBBs and on hazardous waste from the production and use of organic
solvents prepared by the Technical Working Group and adopted by the second meeting of the
Conference of the Parties are of relevance to the issue of a number of persistent organic
pollutants;
3. Requests the Secretariat of the Basel Convention, under the guidance of the Technical
Working Group, to continue its cooperation with the United Nations Environment
Programme and other relevant intergovernmental organizations, in particular with the Food
and Agriculture Organization of the United Nations, the International Maritime Organization,
the United Nations Economic Commission for Europe and the World Health Organization, on
matters pertaining to coordination among these bodies, with a view to developing legally
binding instruments which would not overlap with the Basel Convention;
4. Invites Parties to initiate, as appropriate and if not yet done, consultations with their
respective national authorities responsible for chemical management to ensure consistency in
regard to the scope of the Basel Convention and the newly developed legally binding
instruments on hazardous chemicals;
5. Requests the Technical Working Group to consider the further elaboration of technical
guidelines for the environmentally sound management of persistent organic pollutants;
The Conference
(b) Further invites Parties that are currently using cleaner production methods or
141
technologies in their industrial processes and product design, to facilitate and cooperate in the
transfer of these methods or technologies to other Parties;
(c) Also invites Parties to promote and support such activities within the
framework of the establishment and operation of the regional or subregional centres for
training and technology transfer regarding the management of hazardous wastes and other
wastes and the minimization of their generation;
3. Extends the mandate of the Technical Working Group to pursue its work on the
selection of hazardous waste streams susceptible to cleaner production approaches;
4. Requests the Secretariat of the Basel Convention to cooperate with the United Nations
Environment Programme Industry and Environment Centre as well as with the Organisation
for Economic Cooperation and Development on this matter;
5. Further requests the Secretariat to report on progress to the Conference of the Parties
at its fifth meeting, through the Open-ended Ad Hoc Committee as appropriate.
The Conference
1. Acknowledges the substantive progress made by the Ad Hoc Working Group of Legal
and Technical Experts to Consider and Develop a Draft Protocol on Liability and
Compensation for Damage Resulting from Transboundary Movements of Hazardous Wastes
and their Disposal at its fifth session in May 1997;
2. Takes note of its report presented to the Conference of the Parties at its fourth
meeting;
3. Acknowledges also the potential implications for the draft Protocol for Liability and
Compensation of the development of the Basel Convention, inter alia, its decision III/1, as
well as other relevant international conventions;
5. Requests the Ad Hoc Working Group to make all efforts possible to finalize the draft
Articles of the Protocol, making use of informal meetings where possible, in order to present
it for consideration and adoption by the fifth meeting of the Conference of the Parties
142
The Conference
Taking note of the report presented by the Consultative Sub-group of Legal and
Technical Experts on the issues related to establishing an emergency fund, including the
elements required for its establishment, at its second session in May 1997,
The Conference
Taking note of the report presented by the Consultative Sub-group of Legal and
Technical Experts at its second session in May 1997 on issues related to monitoring the
implementation of and compliance with the obligations set out under the Basel Convention,
2. Further requests that the Consultative Sub-group examine the dispute settlement
mechanism that exists under Article 20 of the Basel Convention, and consider whether it
continues to meet the needs of the Parties to the Convention;
3. Requests that the Consultative Sub-group report its findings and recommendations to
the fifth meeting of the Conference of the Parties.
The Conference
Referring to decision III/28 of the third meeting of the Conference of the Parties,
Having considered the experience of the work of the Extended Bureau and the
Secretariat of the Basel Convention during the period between the third and fourth meeting of
the Conference of the Parties,
143
1. Expresses its concern over the delays in payment of the agreed contributions by
Parties as well as the voluntary contributions by Parties and non-Parties according to the
agreements reached at the first meeting of the Conference of the Parties in accordance with
which: "all contributions are due to be paid in the year immediately preceding the year to
which the contributions relate";
2. Approves the budget for the Trust Fund for the Implementation of the Basel
Convention in the amount of US$ 3,001,854 for 1999 and US$ 3,001,854 for 2000 to be met
from the allocated scale of assessments (attached as Annex I to this decision);
4. Notes that, in accordance with the Annex I to this decision, the budget projects
significant drawdown on a surplus and requests the Extended Bureau of the Parties to ensure
that the surplus in the Trust Fund for the Implementation of the Convention be kept under
review of the Extended Bureau;
5. Takes note of the budget for the Technical Cooperation Trust Fund to the amount of
US$ 2,647,900 for 1999 and US$ 1,937,900 for 2000 (attached as Annex II to this decision);
6. Invites Parties to notify the Secretariat of the Basel Convention of all contributions
made to the Basel Convention Trust Funds at the time such payments are made;
8. Requests the Secretariat of the Basel Convention to ensure the implementation of all
decisions adopted by the fourth meeting of the Conference of the Parties within the approved
budgets for 1999 and 2000, ensuring that the only limiting factors in the implementation of
the decisions would be the availability of financial resources in the Trust Funds;
9. Also requests the Secretariat of the Basel Convention to secure the lowest possible
costs for translation, reproduction and dispatch of the documents for the meetings of the
Conference of the Parties and its subsidiary bodies;
10. Notes the monies owned by the Trust Fund for the Implementation of the Basel
Convention to the United Nations Environment Programme and requests the Executive
Director of the United Nations Environment Programme to take into account the budgetary
constraints of this Trust Fund in deciding whether and when to recover those monies, after
consultation with the Executive Secretary of the Basel Convention;
144
11. Requests the Executive Secretary of the Basel Convention to report every six months
to the Extended Bureau on all sources of income received, including carry-over, plus actual
provisional expenditures and commitments; further requests the Executive Secretary to
report all expenditures against the agreed budget lines;
12. Requests the Executive Director of the United Nations Environment Programme, in
addition to requirements referred to in paragraph 17 of the Terms of Reference for the
Administration of the Trust Funds of the Basel Convention (UNEP/CHW.1/24, Annex II,
page 25-26), to provide every six months to the Extended Bureau through the Executive
Secretary information on all sources of income received on the Trust Funds of the Basel
Convention, including carry-over, plus actual provisional expenditures and commitments
related to these Trust Funds;
13. Requests the Extended Bureau to keep under review the information provided under
paragraphs 11 and 12 above;
14. Decides that the fifth meeting of the Conference of the Parties will be held in
December 1999 in Basel, Switzerland, at the kind invitation of the Government of
Switzerland, also to celebrate the tenth anniversary of the signature of the Basel Convention.
The Conference
Takes note of these technical guidelines, which will be subject to additional comments
and revision to be made by the Technical Working Group at its next session, and requests the
Secretariat, once the draft guidelines have been finalized by the Technical Working Group, to
publish and disseminate them to Parties, other States, intergovernmental organizations,
business and industry, and environmental non-governmental organizations.
The Conference
1. Takes note of the proposed activities to be carried out by the Technical Working
Group over the period 1998-2000, as shown in the attached tables, and of the priorities
identified by the Conference, namely, items I, II.1, II.3 (first bullet), IV and V;
2. Extends the mandate of the Technical Working Group to enable it to carry out these
proposed activities and invites Parties and other States as well as relevant sectors of industry
and business to provide financial resources or assistance in kind to support the work of the
Technical Working Group and of the Secretariat of the Basel Convention in the fulfilment of
these tasks;
145
3. Requests the Technical Working Group, at its next session, to arrange its work
programme taking into account the priorities identified by the Conference;
4. Further requests the Technical Working Group to report to meetings of the extended
Bureau, as appropriate, and, through the extended Bureau, to the fifth meeting of the
Conference of the Parties on progress made in the implementation of its work programme for
1998-2000.
146
Annex
• waste batteries
20
These wastes include wastes that are not easily identifiable in Annex I to the Basel Convention although the
Technical Working Group expressed concerns as possibly presenting important hazard characteristics.
147
TASKS ACTIVITIES YEAR
(tentative)
3. Prepare technical guidelines on: 1999-2000
148
TASKS ACTIVITIES YEAR
(tentative)
VI. Application of prior 1. Provide technical guidance to the 1998-2000
informed consent (PIC) Secretariat of the Basel Convention on
for hazardous chemicals matters pertaining to coordination
and persistent organic among inter-governmental bodies
chemicals (POPs) responsible or involved in developing
legally binding instruments for
hazardous chemicals to ensure there is
no overlap with or gaps between these
instruments and the Basel Convention
2. Issue guidance notes or materials as
necessary to the organizations involved
in PIC and POPs on the classification
and hazard characterization of wastes
within the framework of the Basel
Convention
VII. Harmonization of 1. Provide guidance to the Secretariat of 1998-2000
lists of wastes and the Basel Convention on the technical
related procedures implications and modalities required to
concerning their aim at achieving compatibility among
transboundary the different international/ regional
movements at the world systems dealing with the control of
level transboundary movements of wastes
and hazardous wastes
2. Cooperate with OECD Pollution and
Prevention Control Group and its Waste
Management Policy Group on the
matter of harmonization of the OECD
and the Basel Convention control
systems for wastes
VIII. Annex II of the 1. Initiate work on the scope of Annex II 1998-1999
Basel Convention (re: to facilitate classification of post-
consumer materials such as plastics and
other similar wastes)
IX. Other
149
IV/25. TRIBUTE TO THE HOST COUNTRY AND DATES AND VENUE FOR THE
NEXT MEETING OF THE CONFERENCE OF THE PARTIES
The Conference
1. Extends its thanks and gratitude to the Government of Malaysia and the State of
Sarawak for the organization of the fourth meeting of the Conference of the Parties in
Kuching and for the hospitality extended to all delegates;
2. Decides that the fifth meeting of the Conference of the Parties will take place in
December 1999 in Basel, Switzerland;
3. Extends its gratitude to the Government of Switzerland for inviting the Contracting
Parties to hold the fifth meeting of the Conference of the Parties in Basel, also to celebrate the
tenth anniversary of the signature of the Basel Convention.
150
DECISIONS ADOPTED BY THE
FIFTH MEETING
OF THE CONFERENCE OF THE PARTIES
in Basel, Switzerland
on 10 December 1999
151
V/1. BASEL DECLARATION ON ENVIRONMENTALLY SOUND MANAGEMENT
The Conference
The Conference
1. Takes note of the consolidated report prepared by the secretariat of the Basel
Convention on the implementation of decision II/12;
4. Further requests the Working Group for Implementation of the Basel Convention to
submit a further consolidated report to the Conference of the Parties at its next meeting.
The Conference
1. Takes note of the progress made by Parties in effectively implementing decision III/1;
3. Strongly appeals to Parties to ratify the amendment contained in decision III/1 as soon
as possible, to facilitate the early entry into force of the amendment.
The Conference
1. Welcomes the report prepared for the secretariat of the Basel Convention covering the
first phase of the analysis of issues related to Annex VII;
2121
Contained in annex II to the present report.
152
2. Invites Parties, non-Parties and non-governmental organizations to provide any
additional comments to the secretariat on the report that would improve its content;
3. Agrees to the elements of the evaluation for the second phase of the analysis, as
adopted by the Technical Working Group and the Consultative Subgroup of Legal and
Technical Experts at their joint meeting in April 1999;
4. Requests the secretariat to continue its work on the second phase of the analysis and
to prepare a report on the implementation of the elements of the evaluation for consideration
by the Technical Working Group and the Legal Working Group;
5. Further requests the Technical Working Group and the Legal Working Group to
continue overseeing the development of the analysis and to provide guidance to the
secretariat, as necessary, and to report to the Conference of the Parties at its sixth meeting on
progress therewith.
The Conference
1. Takes note of progress in the establishment and operation of regional and subregional
centres, as well as of the present funding situation of activities related to those centres;
(a) Government of Japan, for the regional centres in China and Indonesia;
(b) Governments of China and Indonesia, for their support to the regional centres
in those countries;
(d) Government of Argentina, for the subregional centre for South America,
located in Argentina;
(e) Government of El Salvador, for the subregional centre for Central America
and Mexico, located in El Salvador;
(f) Government of Trinidad and Tobago and the Caribbean Industrial Research
Institute, for the subregional centre for the Caribbean;
(g) Government of Uruguay, for activities at the Coordinating Centre for Latin
America and the Caribbean in Uruguay;
(h) Government of the Russian Federation, for the subregional centre in Moscow;
(i) Government of Slovakia, for its continued support to the subregional centre in
Bratislava;
153
(j) Government of Nigeria, for the regional coordinating centre in Nigeria;
(k) Governments of Denmark and South Africa, for the subregional centre for
English-speaking African countries in Pretoria (Vista University);
(l) Government of Egypt, for the subregional centre for Arabic-speaking countries
in Cairo (Cairo University);
(n) Government of the United Kingdom of Great Britain and Northern Ireland, for
training on asbestos management and abatement at the Caribbean Industrial Research
Institute which is hosting the subregional centre for the Caribbean;
(p) Government of the United States of America, for providing support to the
subregional centres in Africa, the Caribbean and Central America;
(r) Regional Office for Western Asia of the United Nations Environment
Programme, for the meeting organized in Bahrain concerning the establishment, in Egypt, of
a subregional centre for Arabic-speaking countries in Africa and West Asia;
(s) Economic Commission for Latin America and the Caribbean and the Regional
Office for Latin America and the Caribbean of the United Nations Environment Programme,
for continuous support to the subregional centres in the Latin American and Caribbean region
through the provision of resource persons for workshops and seminars and the organization
of the meeting by the Economic Commission for Latin America and the Caribbean in Bahia,
Brazil, in 1997, on the implementation of the Basel Convention;
3. Further takes note of efforts made by other host countries to prepare for the
establishment and initiation of activities at their respective centres;
4. Requests the secretariat of the Basel Convention to establish, pursue and reinforce its
closer collaboration with relevant offices and programmes of the United Nations
Environment Programme, for the implementation of joint activities on training and
technology transfer related to hazardous wastes, in particular with the Division of
Technology, Industry and Economics, Chemicals, the International Environment Technology
Centre and the Global Programme of Action for the Protection of the Marine Environment
from Land-based Activities, and the regional seas programme;
154
5. Further requests the secretariat to collaborate closely with other relevant United
Nations and other international agencies and conventions in the work of the regional and
subregional centres, in particular with the United Nations Industrial Development
Organization, the United Nations Institute for Training and Research, the World Health
Organization, the Food and Agriculture Organization of the United Nations, the United
Nations economic commissions, the International Maritime Organization, the Regional
Organization for the Protection of the Marine Environment in Kuwait, the World Customs
Organization and those regional treaties and instruments developed under the framework of
the Basel Convention, with a view to exploring, on a continuous basis, new areas of
cooperation;
6. Also requests the secretariat to keep an updated list of project fact-sheets available on
the internet concerning proposals for which funding is being sought in relation to activities on
training and technology transfer at the regional or subregional centres, as well as to other
technical assistance activities;
10. Urges all Parties and non-Parties in a position to do so, as well as international
organizations, including development banks, non-governmental organizations and the private
sector, to make financial or in-kind contributions, either directly to the technical cooperation
trust fund or on a bilateral level, to enable all centres to become fully operational, bearing in
mind that comprehensive funding for the centres in their initial stage of operation, covering at
least three to five years of support, including for core staffing, will facilitate the planning and
implementation of their activities and encourage them to explore ways and means of ensuring
the long-term sustainability of their respective centres;
11. Notes that the Technical Working Group will, as part of its proposed work
programme, provide technical input or guidance to assist, as necessary, in the establishment
and operation of regional or subregional centres;
12. Emphasizes the role of the regional or subregional centres with regard to
implementation of the Basel Convention;
13. Emphasizes the role of the regional or subregional centres, with regard to training and
capacity-building for the environmentally sound management, in particular, of wastes
generated and existing in the region, and minimization of hazardous wastes, by taking into
155
consideration a cleaner production approach, and their role in promoting awareness of the
aims and provisions of the Basel Convention;
14. Recognizes the need for coordination and collaboration between all centres, including
between different regions, inter alia, for the development of information systems, with a view
to developing synergies;
15. Recalls the discussions at the fourth session of the Open-ended Ad Hoc Committee
regarding the status of the centres and, in that context, recognizes the need for the
enhancement of the status of the centres as a way to attract additional financial support and to
identify diverse sources of funding, so as to secure the long-term sustainability of the centres,
and that, in this connection, consideration should be given to its legal status as well as to
financial mechanism and operational arrangements, including functions, a governing
mechanism and staffing, and to commitments by countries participating in activities of the
centre;
16. Recalls also the concerns expressed in the workshop on regional centres held
immediately prior to the fifth meeting of the Conference of the Parties and, in that context,
emphasizes the importance of equality between centres with regard to financial support and
operational arrangements, in order to strengthen capacities at an equal level in all regions in
implementing the Basel Convention, including the environmentally sound management of
hazardous wastes and their minimization;
17. Requests the secretariat, taking into account various legal options for the centres and
the need to address organizational and financial arrangements, further to develop in
consultation with the representatives of the centres a draft framework agreement, including a
core set of identical basic element for all centres, taking into account specific needs and
priorities in the respective regions, for consideration by the Working Group for
Implementation and for adoption by the Conference of the Parties at its sixth meeting.
The Conference
2. Further requests the secretariat, in collaboration with the United Nations Environment
Programme and other international organizations, as well as the private sector and
environmental non-governmental organizations, actively to contribute to the implementation
of the programme of activities of the regional centres by developing training materials,
publications and other supporting materials, by facilitating the development of local and
regional activities and case studies and by providing resource persons for training courses;
156
3. Also requests the secretariat to continue promoting public awareness on the aims of
the Basel Convention through participation in related international conferences, symposia and
seminars, through the preparation and publication of brochures, newsletters, leaflets, press
releases, case studies and other publications and material in this field, and through the
consolidation of the web sites of the Basel Convention on the internet;
4. Urges Parties to contribute to the Trust Fund to Assist Developing and Other
Countries in Need of Technical Assistance in the Implementation of the Basel Convention on
the Control of Transboundary Movements of Hazardous Wastes and their Disposal
established under the Basel Convention, with the aim of supporting the activities of
developing countries and other countries in need of such assistance and the secretariat in
developing training and capacity-building activities, as well as awareness-raising activities;
5. Invites all Parties that are in a position to do so to contribute to the trust funds to cover
the costs of participation of developing country representatives at meetings and seminars
organized by the secretariat, or to make in-kind contributions through, inter alia, the provision
of resource persons for the organization of seminars, workshops and training programmes.
The Conference
1. Notes the declaration made by the mayors of several cities in West Africa at the
regional consultation on the environmentally sound management of biomedical wastes held
in Dakar, from 9 to 11 November 1998;
2. Notes the declaration of the group of African countries made at the fourteenth session
of the Technical Working Group held in Pretoria, from 2 to 5 November 1998;
3. Reiterates the importance for Parties to provide financial resources to the Technical
Cooperation Trust Fund to assist developing countries and countries with economies in
transition that are Parties to the Convention in implementing the Basel Convention and in
managing hazardous wastes in an environmentally sound manner;
157
6. Also invites Parties, other States and potential donors to contribute financially,
technically or in kind to the implementation of specific project activities, the conduct of
which has been requested by the Parties.
The Conference
1. Notes the substantive progress made by the secretariat of the Basel Convention in
strengthening cooperation with the Chemicals Division of the United Nations Environment
Programme on matters pertaining to persistent organic pollutants;
2. Further notes the tasks contained in the work programme of the Technical Working
Group of relevance to persistent organic pollutants;22
3. Requests the secretariat, under the guidance of the Technical Working Group, to
continue its cooperation with the Chemicals Division of the United Nations Environment
Programme and the Food and Agriculture Organization of the United Nations, and also with
other relevant intergovernmental organizations, on the issue of persistent organic pollutants,
in particular, with a view, first, to building the capacities of developing countries and other
countries in need of such assistance to manage waste persistent organic pollutants in an
environmentally sound manner; second, to ensuring efficient use of resources and identifying
areas of common interest and opportunities for synergy; third, to providing technical and
other guidance to the Intergovernmental Negotiating Committee on persistent organic
pollutants, as appropriate; and, fourth, to identifying overlaps and gaps and the means to
overcome them;
4. Also requests the secretariat to report to the Conference of the Parties at its next
meeting, as well as to the Technical Working Group, on its cooperation with the Chemicals
Division of the United Nations Environment Programme and the Food and Agriculture
Organization of the United Nations, and also with other intergovernmental organizations, on
issues related to persistent organic pollutants.
The Conference
2222
See table annexed to decision V/26.
158
2. Requests the secretariat of the Basel Convention to continue its cooperation with the
secretariat of the Rotterdam Convention and to report thereon to the Conference of the Parties
at its next meeting, as well as to the Technical Working Group.
The Conference
1. Welcomes the work initiated by the Harmonized System Committee on the possibility
of establishing a correlation between the Harmonized System and the Basel Convention;
2. Requests the Technical Working Group, as part of its work programme, to provide
guidance to the Harmonized System Committee, as appropriate, on the separate identification
of hazardous wastes and other wastes in the Harmonized System, including the formulation
of proposals to be submitted to the World Customs Organization for the possible inclusion of
new hazardous wastes and other wastes in the Harmonized System;
3. Further requests the Technical Working Group to keep the matter of correlation
between the Harmonized System and the Basel Convention lists of wastes under review and
to provide, as necessary, guidance to the Harmonized System Committee as it progresses in
its work;
4. Requests the secretariat, under the guidance of the Technical Working Group, to
pursue its cooperation with the World Customs Organization on matters pertaining to the
separate identification of hazardous wastes and other wastes in the Harmonized System and
on correlation between the Harmonized System and the Basel Convention;
5. Also requests the secretariat to continue its close cooperation with the World Customs
Organization on matters pertaining, first, to joint training activities relating to implementation
of the Basel Convention and of the Harmonized System; and, second, to the continuation of
its cooperation on the control of transboundary movements of hazardous wastes and other
wastes and the prevention of illegal traffic in such wastes.
The Conference
1. Notes the progress made by the Working Group on Waste Management Policy of the
Organisation for Economic Cooperation and Development on the harmonization of the
Control System of the Organisation for Economic Cooperation and Development with the
Basel Convention;
2. Requests the secretariat of the Basel Convention to continue its cooperation with the
Environment Directorate of the Organisation for Economic Cooperation and Development on
matters pertaining to work on harmonization and information exchange;
159
3. Requests the Technical Working Group to provide guidance to the secretariat, as
necessary, in regard to the secretariat's cooperation with the Organisation for Economic
Cooperation and Development on the matter of harmonization of the Organisation's Control
System with the Basel Convention.
The Conference
2. Requests the secretariat of the Basel Convention, with a view to avoiding duplication
and promoting synergies, further to strengthen its cooperation on critical areas for the
implementation of the Basel Convention with relevant United Nations bodies and specialized
agencies, including with relevant offices of the United Nations Environment Programme, the
International Maritime Organization, the International Atomic Energy Agency, the United
Nations Industrial Development Organization and other international organizations and
regional conventions and commissions, and to submit a comprehensive report thereon to the
Conference of the Parties at its sixth meeting.
The Conference
1. Notes the enhanced working relationship with several members of the industry sector
and environmental non-governmental organizations in the implementation of the Basel
Convention;
2. Requests the secretariat of the Basel Convention to pursue its cooperation with
relevant areas of the industry sector and with environmental and other non-governmental
organizations, in particular, with a view to promoting the environmentally sound management
of hazardous wastes and the minimization of their generation, through, inter alia, the
provision of other relevant information to assist in the implementation of and compliance
with the Basel Convention;
3. Requests the secretariat, in close collaboration with the regional centres for training
and technology transfer, to explore ways and means of establishing partnerships with the
industry sector and with non-governmental organizations, with a view to promoting and
improving the management and minimization of such wastes, as well as to promoting
awareness on hazardous waste issues, as appropriate, and to report to the Working Group for
Implementation at its next session on progress in this area.
160
V/14. IMPLEMENTATION OF DECISION IV/3 (TRANSMISSION OF INFORMATION)
The Conference
1. Takes note of the compilation of documents prepared by the secretariat, based on the
information reported by Parties in accordance with articles 13 and 16 of the Basel
Convention, for the years 1996 and 1997;
2. Takes note of the country fact-sheets prepared by the secretariat for the year 1997;
3. Welcomes the graphic presentation of the 1997 data reported by the Parties to the
secretariat, contained in the publication Basel Convention Series/SBC No. 99/011, Part II;
5. Also acknowledges the difficulties that some Parties might have, particularly
developing countries, in gathering data and information in accordance with the reporting
requirements of article 13, due to the lack of proper arrangements and procedures in place at
the national level for this purpose;
6. Requests the Parties that are in a position to do so to collaborate with and assist
developing country Parties in setting up procedures and other arrangements to facilitate the
collection of data and preparation of inventories of hazardous wastes;
7. Urges the Parties that have not yet done so to report on articles 13 and 16 for the
calendar years 1997 and 1998 as soon as possible, using the questionnaire provided for this
purpose by the Secretariat and bearing in mind that, in accordance with the provisions of
article 13, Parties are requested to transmit, before the end of each calendar year, a report on
information for the previous calendar year;
8. Recalls that such information has to be provided by Parties to the secretariat for the
calendar year 1999 before the end of the calendar year 2000;
9. Requests the secretariat to review the existing questionnaire used for reporting under
Articles 13 and 16, with a view to simplifying it as appropriate, so as to facilitate reporting by
Parties from the year 1999 onwards;
10. Requests the secretariat to prepare the compilations and country fact- sheets for the
years 1998 and 1999 and to make such information available on a regular basis to the Parties
and non-Parties;
11. Requests the secretariat to continue its efforts in ensuring the availability of graphic
presentations of the data provided by Parties for the years 1998 and 1999;
12. Requests the secretariat to continue its efforts in harmonizing data collection with
other international bodies;
161
13. Requests the secretariat to explore the possibilities of developing indicators on
hazardous wastes to facilitate decision-making and to report thereon to the Conference of the
Parties at its sixth meeting.
The Conference
1. Takes note of the further development of the information system on hazardous wastes
and their management under the Basel Convention;
3. Welcomes the financial support from the Government of Japan, which made it
possible to initiate the development of the information system on hazardous wastes and their
management under the Basel Convention;
5. Also requests the secretariat, in the further development of the information system, to
explore the possibility of making the questionnaires for articles 13 and 16 available on the
internet in such a way as to make possible the direct entering through the internet of the data
by the respective Parties, which would considerably facilitate the work by the secretariat of
processing those data;
6. Further requests the secretariat to work closely with other parts of the United Nations
and other relevant organizations, in particular the United Nations Environment Programme,
which are developing databases or operating databases or information systems of direct
relevance to the Basel Convention, including with the European Topic Centre on Wastes
affiliated to the European Environment Agency.
The Conference
Requests the Legal Working Group to prepare a draft decision for adoption by the
Conference of the Parties at its sixth meeting, establishing a mechanism for promoting
implementation and compliance based on the draft elements annexed to the present decision.
162
Annex
2. An existing body or a new body can administer the mechanism. If a new body is to be
established:
(a) The number of its members should be limited and small (between 14 and 20);
(e) The term of the body could range between one and three years or from one
meeting of the Conference of the Parties to the next meeting of the Conference of the Parties,
and possibly be renewable.
B. Functions
(a) To provide Parties with advice, recommendations and information relating to:
163
(b) To consult with Parties on ways to facilitate their implementation of and
compliance with the obligations set out by the Basel Convention;
(c) To monitor, assess and facilitate reporting under article 13 of the Basel
Convention;
(d) To monitor and assist individual Parties in their efforts to implement decisions
of the Conference of the Parties on compliance;
(g) To report to the Conference of the Parties and its subsidiary bodies.
4. In addition to performing the functions listed under subparagraphs 3 (a)-(g) above, the
body may provide assistance in individual cases when specific implementation and
compliance questions are raised. In these cases, the assistance of the body may be invoked:
(a) By a Party (or Parties) with respect to its (their) own activities or activities of
other Parties in which it is (they are) directly involved;
(b) By the Conference of the Parties, and its subsidiary bodies where so mandated
by the Conference of the Parties.
The Conference
1. Welcomes the steps already taken by the secretariat of the Basel Convention in the
collection of information concerning aspects of dispute settlement under the Basel
Convention;
2. Invites Parties which have not yet replied to the set of questions to do so, to facilitate
progress on this matter;
3. Requests the Legal Working Group to give further consideration, inter alia, to the
issue of the analysis of the dispute settlement under article 20 of the Basel Convention and to
advise on future work on that issue.
164
V/18. EMERGENCY FUND
The Conference
Having addressed the issue of and need for a financial mechanism for emergency
situations, as envisaged in paragraph 2 of article 14 of the Basel Convention,
Taking note of Article 15 of the Protocol on Liability and Compensation for Damage
Resulting from Transboundary Movement of Hazardous Wastes and their Disposal,
Taking also into consideration the Caribbean proposal on the emergency fund annexed
to the secretariat's note on the issue prepared for the fifth meeting of the Conference of the
Parties,23
Requests the Legal Working Group to consider and finalize the financial mechanism
for emergency situations, with a view to presenting its recommendation to the Conference of
the Parties at its sixth meeting.
Invites Parties which have not yet informed the secretariat of the Basel Convention of
the designation of their competent authorities and focal points to do so as soon as possible to
facilitate the implementation of the Basel Convention.
The Conference
Invites Parties which have not yet informed the secretariat of Basel Convention of the
designation of their competent authorities and focal points to do so as soon as possible to
facilitate the implementation of the Basel Convention.
The Conference
2. Requests the Parties that have entered, in accordance with article 11, into bilateral,
multilateral or regional agreements or arrangements and that have not yet reported on the
conformity of such agreements or arrangements with the said article, to report through the
secretariat of the Basel Convention to the Working Group for Implementation at its next
session, taking into account the list of questions annexed to decision II/10;
2323
UNEP/CHW.5/14.
165
3. Requests the secretariat continuously to update the list of bilateral, multilateral or
regional agreements or arrangements in effect, as reported to the secretariat, and to distribute
this list on a regular basis to the Parties and non-Parties.
The Conference
1. Extends the mandate of the Technical Working Group and requests this Group and the
Legal Working Group to finalize the draft guidance elements for bilateral, multilateral or
regional agreements and present the draft guidance elements for approval, through the
Working Group for Implementation, by the Conference of the Parties at its sixth meeting;
2. Requests the Parties to present to the secretariat of the Basel Convention their views
and proposals for the finalization of the draft guidance elements for bilateral, multilateral or
regional agreements or arrangements.
The Conference
1. Adopts the programme of work of the Legal Working Group as shown in the annex to
the present decision;
2. Requests the Legal Working Group, at its next session, to decide which of the
proposed activities have to be carried out as a matter of priority, taking into account the
priorities identified by the Conference of the Parties and the arrangements that would be
necessary for that purpose.
166
Annex
167
Tasks Activities Year
(Tentative)
VI. Decision IV/8 In cooperation with the Technical Working
regarding Annex VII Group, further explore issues relating to
Annex VII and provide Parties with a detailed
and documented analysis that would
highlight issues related to Annex VII.
VII. Dismantling of In cooperation with the Technical Working
ships Group, analyse the legal matters under the
Basel Convention relating to the issue of the
full and partial dismantling of ships, with a
view to reporting to the Conference of the
Parties, at its sixth meeting, on how this issue
should finally be resolved.
VIII. Other tasks Provide legal advice to the regional centres
for training and technology transfer, to ensure
that they follow a coherent approach in their
activities, and advise on any other matter as
required by the Conference of the Parties.
The Conference
1. Extends the mandate of the Technical Working Group and requests the Legal Working
Group to give further consideration to the issue of illegal traffic in hazardous wastes and
other wastes, to develop recommended procedures to address alleged cases of illegal traffic
and to assist Parties in preventing, identifying, monitoring and managing illegal traffic, taking
into account the draft guidance elements for the detection, prevention and control of illegal
traffic in hazardous wastes, approved by the Technical Working Group and the Consultative
Subgroup of Legal and Technical Experts at their first joint meeting, in Pretoria, in November
1998;
2. Appeals to Parties to bring any confirmed case or, after consultation and agreement
with the other Parties involved, alleged case of illegal traffic to the attention of the secretariat
of the Basel Convention, with all the necessary information to enable the secretariat to take
appropriate action, including support for any efforts by the Parties to solve the issues, such as
the provision of appropriate expertise;
3. Invites Parties to use the approved form in their reports to the secretariat related to
confirmed cases of illegal traffic;
168
4. Requests the secretariat to continue its cooperation with various regional commissions
and secretariats of regional conventions and protocols, non-governmental organization, the
industry sector and the private sector, as well as the World Customs Organization and the
International Criminal Police Organization, in order to achieve a better control and
monitoring of cases or alleged cases of illegal traffic in hazardous wastes and other wastes;
5. Requests the Parties and the secretariat to take the necessary preventive measures, in
particular through the dissemination of information on the Basel Convention and through
working closely with the World Customs Organization, to include, as a matter of priority, the
wastes under the scope of the Convention in the Harmonized System;
6. Requests the secretariat, bearing in mind the provisions of decision IV/12, to work
closely with the United Nations Committee of Experts on the Transport of Dangerous Goods
to harmonize classification and labelling systems for hazardous wastes and dangerous goods;
7. Requests the Parties, with the assistance of the secretariat, to organize training courses
and develop training manuals, at the national and regional levels, for customs officers and
police forces, in cooperation with the World Customs Organization, the International
Criminal Police Organization and other appropriate bodies, including United Nations regional
commissions and secretariats of regional agreements dealing with similar issues.
The Conference
1. Notes with appreciation the progress made by the Technical Working Group on the
classification and hazard characterization of wastes and the decision to adjust entry B2060
(Spent activated carbon) of Annex IX;
2. Adopts the procedure for reviewing or adjusting the list of wastes, 24 as approved by
the Technical Working Group, and acknowledges the need for further elaboration of the
procedure for submitting decisions of the Technical Working Group to the Conference of the
Parties, with a view to proposing an amendment of the Annex VIII or Annex IX, and requests
the Technical Working Group to adjust the procedure as appropriate;
3. Further notes the agreement of the Technical Working Group on the course of action
with regard to the review of wastes placed on list C and requests the Technical Working
Group to keep these wastes under review and to report to the Conference of the Parties, at its
next meeting, on its conclusions and recommendations;
4. Commends the lead Parties and signatory, namely, Denmark, Egypt, the European
Community, the United Kingdom of Great Britain and Northern Ireland and the United States
of America, for their work in the preparation of draft scoping papers for the hazard
characteristics H6.2, H11, H12 and H13 and requests the Technical Working Group to finalize
its work on those hazard characteristics for consideration by the Conference of the Parties at
its next meeting;
2424
See annex IV to the present report.
169
5. Also requests the Technical Working Group to initiate work on the hazard
characteristic H10, as appropriate, and to report on progress to the Conference of the Parties
at its next meeting.
The Conference
1. Takes note of the draft technical guidelines for the identification and environmentally
sound management of plastic waste and for its disposal developed so far;
2. Takes note of the comments received from experts on the draft technical guidelines;
3. Requests the secretariat of the Basel Convention to prepare a revised version of the
technical guidelines for consideration by the Technical Working Group at its next meeting,
taking into consideration the proposed structure of the technical guidelines 25, as well as the
additional comments and information provided by the experts;
4. Requests the Technical Working Group to finalize its work on the technical guidelines
for consideration by the Conference of the Parties at its sixth meeting;
5. Invites the Technical Working Group to make available the final version of the
technical guidelines in advance of the sixth meeting of the Conference of the Parties once the
Group has adopted the technical guidelines.
The Conference
1. Commends Parties, in particular Australia, Germany, India and the Netherlands, for
taking the lead in the preparation of technical guidelines and encourages other Parties to
assist in that work;
2. Adopts the programme of work of the Technical Working Group, as contained in the
annex to the present decision;
3. Takes note of the considerable progress made with regard to the preparation of
technical guidelines on the environmentally sound management of biomedical and health-
care wastes and further encourages Parties to finalize the guidelines for consideration and
adoption by the Conference of the Parties at its sixth meeting;
2525
See attached Annex III to the report on the work of the Technical Working Group - UNEP/CHW.5/19.
170
4. Extends the mandate of the Technical Working Group to carry out the tasks contained
in its work programme and invites Parties to continue providing technical and financial
assistance to enable the Technical Working Group to fulfil its tasks;
5. Requests the Technical Working Group, at its next session, to arrange its work
programme taking into account the priorities identified by the Parties;
6. Further adopts:
7. Requests the secretariat to keep Parties and others informed, on a regular basis, of the
work accomplished by the Technical Working Group.
171
Annex
Tasks Activities
2. Hazard characterization
172
Tasks Activities
IV. Annex II of the Basel Initiate work on the scope of Annex II.
Convention
V. Decision IV/8 In cooperation with the Legal Working Group, further explore
regarding Annex VII issues relating to Annex VII and provide Parties with a
detailed and documented analysis that would highlight issues
related to Annex VII.
173
Tasks Activities
VI. Cooperation with Prior informed consent (PIC) for hazardous chemicals
UNEP Chemicals and (Rotterdam Convention) and persistent organic pollutants
relevant organizations (POPs):
174
Tasks Activities
IX. Other tasks 1. Regional centres for training and technology transfer:
provision of technical input or guidance to assist in
the establishment and operation of the regional
centres.
The Conference
1. Welcomes the activities undertaken by the Regional Centre for Training and
Technology Transfer in Bratislava on cleaner production and waste minimization and
encourages other regional centres established under the Basel Convention to address this
issue as one of their priorities;
2. Welcomes the work initiated between the Division of Technology, Industry and
Economics of the United Nations Environment Programme and the secretariat of the Basel
Convention for the promotion of collaboration on their respective programmes on the United
Nations Environment Programme/United Nations Industrial Development Organization
national cleaner production centres and the regional centres under the Basel Convention;
4. Further invites Parties that are currently using cleaner production methods or
technologies in their industrial processes and product design to facilitate and cooperate in the
transfer of those methods and technologies to other Parties;
5. Encourages Parties, in accordance with their national legislation and practices, and
requests the secretariat to work closely with the industry sector and appropriate non-
governmental organizations for the minimization of hazardous wastes;
175
6. Notes that the Technical Working Group, as part of its proposed work programme,
will provide guidance, as necessary, to the regional centres for training and technology
transfer relating to activities to be undertaken for the selection of waste streams susceptible
for cleaner production;
7. Urges the secretariat and the Division of Technology, Industry and Economics to
initiate joint activities as soon as possible between the national cleaner production centres and
the regional centres for training and technology transfer under the Basel Convention,
preferably through a formal agreement, which would outline the modalities for such
collaboration and specify the type of joint activities to be undertaken;
The Conference
1. Notes the agreement of the Technical Working Group and the Consultative Subgroup
of Legal and Technical Experts of the Basel Convention, at their joint meeting, on the course
of action with regard to the dismantling of ships;
(a) The Technical Working Group, to collaborate, through the secretariat of the
Basel Convention, with the appropriate body of the International Maritime Organization on
the subject of the full and partial dismantling of ships and to prepare guidelines for the
environmentally sound management of the dismantling of ships;
(b) The Technical Working Group and the Legal Working Group, to discuss the
legal aspects under the Basel Convention relating to the issue of the full and partial
dismantling of ships;
3. Requests these two bodies to report to the Conference of the Parties at its sixth
meeting, through the Working Group for Implementation, on how this issue should finally be
resolved.
176
V/29. BASEL PROTOCOL ON LIABILITY AND COMPENSATION FOR DAMAGE
RESULTING FROM THE TRANSBOUNDARY MOVEMENTS OF
HAZARDOUS WASTES AND THEIR DISPOSAL
The Conference
Adopts the Basel Protocol on Liability and Compensation for Damage resulting from
the Transboundary Movements of Hazardous Wastes and their Disposal.26
The Conference
Requests the secretariat to keep available on a website an updated list of the wastes
which are defined or considered as hazardous by a Party pursuant to Article 1, paragraph (1)
(b), and have been notified to the secretariat in accordance with Article 3 of the Convention,
as well as to provide the Parties with paper copies of that list.
The Conference
Taking note of article 23 of the Protocol on Liability and Compensation for Damage
resulting from the Transboundary Movements of Hazardous Wastes and their Disposal,
Desiring further to consider whether and how these powers should be exercised at the
next Conference of the Parties,
1. Requests the Legal and Technical Working Groups at their joint meetings to consider
paragraph (2) of annex B with a view to the presentation of its recommendation to the
Conference of the Parties at its sixth meeting;
26 26
See annex III to the present report.
177
V/32. ENLARGEMENT OF THE SCOPE OF THE TECHNICAL COOPERATION
TRUST FUND
The Conference
Recalling its decisions I/14, II/2, III/3 and IV/20 concerning the emergency fund,
Recalling its decisions I/5, II/1, III/2 and IV/19 concerning the adoption of a protocol
on liability and compensation,
Recalling its decisions I/7 and IV/22 concerning the Technical Cooperation Trust
Fund of the Basel Convention,
Referring to its decision V/29 on the adoption of the Protocol on Liability and
Compensation,
1. Decides on an interim basis to enlarge the scope of the Technical Cooperation Trust
Fund of the Basel Convention to assist the Contracting Parties which are developing
countries or countries with economies in transition in cases of emergency and compensation
for damage resulting from incidents arising from transboundary movements of hazardous
wastes and other wastes and their disposal;
2. Decides that the Secretariat of the Basel Convention may, upon request, use the funds
referred to in paragraph 8 to assist a Party to the Convention which is a developing country or
a country with economy in transition in case of an incident occurring during a transboundary
movement of hazardous wastes and other wastes covered by the Basel Convention in order:
(a) To estimate the magnitude of damage occurred or damage that may occur and
the measures needed to prevent damage;
(c) To help find those Parties and other entities in a position to give the assistance
needed;
3. Also decides that, where damage occurs that is covered by the Liability and
Compensation Protocol, the Secretariat of the Basel Convention may, upon request by a
Contracting Party which is a developing country or a Contracting Party which is a country
with economy in transition, use the funds referred to in paragraph 8 to provide compensation
for damage to and reinstatement of the environment up to the limits provided for in the
Protocol, where such compensation and reinstatement is not adequate under the Protocol, and
that the present paragraph will become operational on the date the Protocol enters into force;
4. Also decides that the Secretariat of the Basel Convention may, upon request, use the
funds referred to in paragraph 8 to assist a Party to the Convention which is a developing
country or a country with economy in transition in developing its capacity-building and
transfer of technology and in putting in place measures to prevent accidents and damage to
the environment caused by the transboundary movement of hazardous wastes and other
wastes and their disposal;
178
5. Further decides that the Parties shall evaluate the information made available by the
Secretariat on:
(c) With regard to each incident, the nature of the damage, the costs of preventive
measures and measures of reinstatement;
(d) With regard to each incident, the extent to which damage was not
compensated;
6. Requests the Secretariat to provide to the Parties the information referred to in the
previous paragraph as it becomes available and in any case not later than one year after the
adoption of the present decision;
7. Notes that the evaluation referred to in paragraph 5 shall be done in order to enable
the Conference of the Parties at its sixth meeting to decide on the need to maintain, improve,
change this interim arrangement or propose additional measures:
(a) To provide for the costs of preventive measures and measures of reinstatement
for damage from accidents arising from transboundary movements of hazardous wastes and
other waste under the Convention or during the disposal of the wastes;
(b) To provide for compensation when the person liable is or remains unknown,
disappears or cannot be found, or is or may become financially incapable of meeting his or
her obligation, or the liable person is exempted from liability in conformity with Article 4,
paragraph 5 of the Protocol, and with regard to illegal traffic;
10. Urges Parties to cooperate and provide advisory services, technical support and
equipment for the purpose of responding to damage involving the transboundary movement
of hazardous wastes and other wastes and their disposal;
179
11. Urges each Party which has not yet done so to establish a national system for
responding promptly and effectively to incidents occurring during transboundary movement
of hazardous wastes and their disposal;
12. Decides that the Secretariat shall present through the Expanded Bureau a report for
the Conference of the Parties at its sixth meeting on implementation of the present decision.
The Conference
1. Decides that, for the next decade of the Basel Convention, the following activities
should be undertaken to achieve the objectives of environmentally sound management in the
following fields:
(b) Active promotion and use of cleaner technologies with the aim of the
prevention and minimization of hazardous and other wastes subject to the Basel Convention:
Cooperation of the regional and subregional centres for training and technology transfer with
cleaner production centres and similar institutions having experience and expertise in areas
related to the minimization and management of hazardous and other wastes subject to the
Basel Convention, for the purpose of sharing information and knowledge and streamlining
activities;
180
Consistent with the technological needs of the Parties, promotion of initiatives aimed at
reducing transboundary movements to the minimum, taking into account the environmentally
sound management of the wastes, the protection of human health, the principles of proximity
and self-sufficiency and the priority requirement of recovery and recycling;
Continued cooperation with the International Criminal Police Organization and the World
Customs Organization, in particular, in the training of customs and enforcement officers in
order to identify, monitor and prevent illegal traffic in hazardous and other wastes subject to
the Basel Convention;
Adoption of procedures to address alleged cases of illegal traffic and to assist Parties in
preventing, identifying, monitoring and resolving illegal traffic;
Institutional strengthening of the regional and subregional centres for training and technology
transfer, to enable Parties to prevent and monitor illegal traffic;
With regard to capacity-building and assistance in legal and institutional matters, the
development and effective implementation of legal instruments, building and strengthening of
institutional infrastructures for the environmentally sound management of hazardous and
other wastes subject to the Basel Convention and their minimization and the control of their
transboundary movements;
With regard to capacity-building and assistance in technical matters, assisting in building and
improving installations for the treatment of hazardous and other wastes subject to the Basel
Convention and the transfer of know-how and technology; and the advancement and
improvement of strategies for the practical implementation of the minimization and
environmentally sound management of both domestically generated wastes and wastes
subject to transboundary movements that would include appropriate tools, measures and
incentives especially for use by developing countries and countries with economies in
transition, taking into account the needs of small and medium-sized enterprises;
(f) Further development of regional and subregional centres for training and
technology transfer:
181
Collection and dissemination of information on existing examples, in particular in developing
countries and countries with economies in transition, of best practices in waste management;
Training of the staff of competent authorities, enforcement officers and other key actors (e.g.,
generators, transporters, disposers, recyclers), where needed, bearing in mind that such
training is required to implement the environmentally sound management of hazardous
wastes, in particular, controls for transboundary movements, and the monitoring and
prevention of illegal traffic in hazardous and other wastes and that it could include, inter alia,
in-house training in partnership between government authorities and industry, as well as
practice-oriented seminars and workshops, and that the capacities and experience of the
regional centres for training and technology transfer should be fully utilized and enhanced;
Enhancement of partnership with all stakeholders, to include the various experiences, needs
and interests of different regions and sectors for the implementation of the Basel Convention;
encouragement of and provision of incentives to the private and public sectors to cooperate
with other stakeholders and to contribute experience and expertise in the management of
hazardous and other wastes subject to the Basel Convention, including the application of
cleaner technologies;
182
production, such as with the joint programme on cleaner production of the United Nations
Environment Programme and the United Nations Industrial Development Organization;
launching of joint activities and projects in cooperation with organizations such as the United
Nations Environment Programme and the Food and Agriculture Organization of the United
Nations in areas of common interest, in particular, on persistent organic pollutants, waste
pesticides and other chemical wastes;
(i) Development of mechanisms for compliance with and the monitoring and
effective implementation of the Convention and its amendments:
Promotion of the effective implementation of and compliance with the obligations of the
Convention and its amendments and the provision of assistance to the Parties as required;
2. Requests the Technical Working Group to work on the selection of waste streams in
countries or regions, for the purpose of developing pilot projects on the state of the art in the
field of cleaner production and the environmentally sound management of hazardous and
other wastes, including the development of contingency emergency plans;
(c) Development of a financial strategy for the operations and activities of the
Convention, including innovative methods of fund-raising;
4. Requests the subsidiary bodies of the Conference of the Parties, under the guidance of
the Expanded Bureau, further to elaborate and to prioritize the activities for the years 2000-
2002 listed in the table attached to the present decision and to start working towards
implementing the above objectives as soon as feasible, pending the elaboration and adoption
of the work programme;
5. Also requests the subsidiary bodies to prepare a strategic plan, including an indicative
work programme, for the period to the year 2010, to address the objectives set forth in the
present decision, and to develop a work programme by areas of work based on the present
183
decision for the years 2003-2004, for consideration and adoption by the Conference of the
Parties at its sixth meeting;
7. Requests the secretariat to collect and disseminate the information needed for the
tasks set out above and to coordinate the contacts with the partners involved;
8. Invites Parties to provide comments to the secretariat on the attached table by the end
of February 2000.
184
Table
(a) Dakar II (2000) To further define the concept of, and An international conference hosted • Exchange of information
identify opportunities for, by the Government of Senegal and and experience on the
environmentally sound management in the subregional centre for training practical implementation of
the areas of waste minimization, and technology transfer in Dakar to the concept of
reduction, recycling and disposal, bring together key stakeholders, such environmentally sound
as Governments, industry, civil management
To provide a forum that will facilitate society and intergovernmental
exchange of information and experience agencies • To act as a basis for the
on environmentally sound management. further development of other
workshops as given in (b)
To enhance partnership with all
stakeholders
185
Proposal Objective Method Outcome
(b) International To build on outcome from Dakar II Workshops to bring together key • Exchange of information
workshops (2000- stakeholders and experts to highlight and experience on the
2002) on: best practice through, for example, practical implementation of
the identification of appropriate the concept of
(i) hazardous waste technologies, including site visits, environmentally sound
minimization information exchange and case management with focus on
initiatives studies each of the themes identified
(ii) environmentally
sound recovery/
recycling initiatives
(iii) environmentally
sound disposal
(c) Development of Develop methods for the environmentally The methods will be developed • Methodologies for
methodolo-gies for sound management of specific waste through the establishment of five environmentally sound
environment-ally streams. case studies, information exchange management for specific
sound management in the form of questionnaires, and in waste streams developed
cooperation with Parties and
intergovernmental organizations • Dissemination of these
methodologies to Parties
186
Proposal Objective Method Outcome
(d) Economic To find out how economic instruments In cooperation with Parties, UNEP, • Provide reference material
instruments (e.g. fiscal and investment policies or UNCTAD, OECD, and other for the Parties in the
programmes) can contribute to relevant bodies: formulation of economic
environmentally sound management measures for
(i) Undertake a survey on economic environmentally sound
instruments used and experiences management
with economic instruments;
187
Proposal Objective Method Outcome
(e) Cooperation with To continue to develop and/or enhance Develop joint activities in full • Concrete outputs for use
United Nations synergies with each partner for a more collaboration with Parties by Governments, the private
bodies and efficient use of resources and to share sector and non-governmental
intergovernmental experiences on environmentally sound Periodic assessment of organizations
organizations management and cleaner technology accomplishments to date on these
initiatives and identification of new • More efficient use of
ones resources
(f) Electronic To develop electronic information Enhancement of existing information • Access to electronic
information systems systems on environmentally sound systems to highlight environmentally information systems
management to help Parties gain access sound management
to information • Information transfer and
Provision of the necessary exchange
technologies and access to these
systems • Increased awareness of
issues
188
Proposal Objective Method Outcome
(g) Institutional and To build up institutional and • Carrying out of an inventory of • Report on institutional and
technological technological capacity institutional and technological needs technological needs of
capacity-building of Parties Parties
(h) Training of To provide training for customs and other Cooperation with Parties, • Appropriately trained
enforcement officers enforcement officers INTERPOL, WCO and other customs and enforcement
international organizations working officers
in this field, to develop training
materials, establish training • Prevention of illegal traffic
programmes and raise awareness in hazardous waste
which would be implemented
through three workshops • Improved control of the
transboundary movement of
hazardous waste
189
Proposal Objective Method Outcome
• Information base/expertise
to be used to develop
management plans/strategies
(j) Cooperation and To enhance partnership arrangements Development of information • Resource material
partnership with the private sector, non-governmental resource networks
organizations, academia, and local • Better informed partners
communities for the promotion of
environmentally sound management • Information exchange and
increased awareness of
issues
190
Proposal Objective Method Outcome
(k) Strengthening of To support training and technology Involvement and participation in • Development of, and
regional and transfer activities at regional and activities designed to promote the increase in, knowledge base
subregional centres subregional levels for environmentally objectives of the regional and
for training and sound management subregional centres • Transfer of technology
technology transfer
These activities are to be developed • Training to improve
in full collaboration with the Parties control of the transboundary
in the region and/or subregion movement of hazardous
waste
• Waste minimization
191
V/34. INSTITUTIONAL ARRANGEMENTS
The Conference
Recalling paragraph 5 (e) of article 15 of the Basel Convention, stipulating that the
Conference of the Parties shall establish such subsidiary bodies as are deemed necessary for
the implementation of the Convention,
Also recalling its decisions I/5, I/2, I/16, II/11, II/27 and III/28, which established the
subsidiary bodies of the Convention,
2. Also decides that the Expanded Bureau will be composed of thirteen members: five
members of the present Bureau; five members of the Bureau of the previous meeting of the
Conference of the Parties; the Chair of the Working Group for Implementation; the Chair of
the Technical Working Group; and the Chair of the Legal Working Group, and that should a
national of one Party occupy more than one position on the Expanded Bureau, the relevant
regional group may nominate a representative of another Party to fill the additional position;
2. Further decides that, within the policy agreed by the Conference of the Parties, the
Expanded Bureau will have the following mandate:
(a) To provide general policy and general operational directions to the secretariat
between meetings of the Conference of the Parties;
192
(e) To receive, every six months, reports from the Executive Secretary of the
secretariat of the Basel Convention on all sources of income received, including carry-over,
plus actual provisional expenditures and commitments;
(f) To receive, every six months, information from the Executive Director of the
United Nations Environment Programme, through the Executive Secretary, on all sources of
income received on the trust funds of the Basel Convention, including carry-over, plus actual
provisional expenditures and commitments related to those trust funds;
(g) To keep under review the information provided under subparagraphs 3 (e) and
3 (f);
(h) To report to the Conference of the Parties on the activities it has carried out
between meetings of the Conference of the Parties;
4. Decides that the Working Group for Implementation will take over the role currently
performed by the Open-ended Ad Hoc Committee for Implementation and that the Working
Group for Implementation will be composed of the representatives of all the Parties interested
and will have the following mandate:
(a) To prepare draft decisions for consideration by the Conference of the Parties;
(d) To examine the reports submitted by the Parties in accordance with the
requirements of article 13 of the Basel Convention;
(e) To identify the specific needs of different regions and subregions for training
and technology transfer and to consider ways and means of ensuring the establishment and
functioning of the regional centres for training and technology transfer;
(f) To prepare, analyse and revise, as necessary, materials to assist Parties in the
implementation of the Basel Convention;
5. Decides also that the Working Group for Implementation may request the Expanded
Bureau to perform, on an ad hoc basis, some of its functions;
193
6. Requests the secretariat to prepare a draft work programme for consideration and
adoption by the Working Group for Implementation at its first meeting;
7. Decides that the Technical Working Group will be composed of the representatives of
all the Parties interested and will have the following mandate:
8. Decides that the Legal Working Group will take over the role currently performed by
the Consultative Subgroup of Legal and Technical Experts and that the Legal Working Group
will be composed of the representatives of all the Parties interested and will have the
following mandate:
(a) To keep on its agenda the issues related to establishing an emergency fund,
including elements required for its establishment with a view to elaborating on the
establishment of an emergency fund mechanism that meets the needs of the Parties;
(b) To cooperate closely with the Technical Working Group to finalize the draft
guidance elements for bilateral, multilateral and regional agreements concluded under article
11 of the Basel Convention;
(c) To explore issues relating to Annex VII and, in cooperation with the Technical
Working Group, to provide Parties with a detailed and documented analysis that would
highlight issues related to Annex VII;
194
(e) To develop, in cooperation with the Technical Working Group, recommended
procedures to assist Parties in preventing, identifying and managing illegal traffic;
(g) To examine the dispute settlement mechanism that exists under article 20 of
the Basel Convention and to consider whether it continues to meet the needs of the Parties to
the Convention;
(h) To analyse the legal aspects under the Basel Convention relating to the issue
of full and partial dismantling of ships;
(i) To perform any other legal tasks as may be entrusted to it by the Conference
of the Parties;
9. Further decides that the Working Group for Implementation, Technical Working
Group and Legal Working Group may organize joint meetings for the consideration of issues
that relate to the mandate of more than one group;
10. Also decides that the subsidiary bodies, separately or jointly, may establish, as
necessary and appropriate, during the meetings small task groups, with equitable geographic
representation, to perform specific tasks on an ad hoc basis.
The Conference
Recalling decision IV/22 of the fourth meeting of the Conference of the Parties,
Noting with appreciation the comprehensive information provided on the trust funds
of the Basel Convention by the secretariat,
1. Approves the budget for the Trust Fund for the Basel Convention on the Control of
Transboundary Movements of Hazardous Wastes and their Disposal in the amount of
4,201,854 United States dollars for 2001 and 4,201,854 United States dollars for 2002 as
contained in annex I to the present decision, reduces the reserve and fund balance for the
years 2001 and 2002 by 1,200,000 United States dollars per annum and establishes the level
of contributions accordingly. The contributions by the Parties are allocated according to the
tables in annex II to the present decision;
2. Notes the continued increase in the level of reserve and fund balance in the Trust
Fund for the Implementation of the Basel Convention;
3. Requests the secretariat to seek guidance from the Expanded Bureau to work towards
a reduction in the reserve and fund balance to a level that is consistent with the practice of the
United Nations and in line with the framework of its financial rules and regulations;
195
4. Expresses its concern over the delays in payment of the agreed contributions by
Parties, contrary to the provisions of the terms of reference for the administration of the trust
funds for the Basel Convention on the Control of Transboundary Movements of Hazardous
Wastes and their Disposal, as contained in paragraph 12 of annex II to decision I/7 of the first
meeting of the Conference of the Parties;
5. Takes note of the budget for the Technical Cooperation Trust Fund to assist
developing countries and other countries in need of technical assistance in the
implementation of the Basel Convention to the amount of 2,175,250 United States dollars for
2001 and 2,175,250 United States dollars for 2002 as contained in annex III to the present
decision;
6. Recognizes that voluntary contributions are essential for the effective implementation
of the Convention and invites voluntary contributions to the Technical Cooperation Trust
Fund to assist developing countries and other countries in need of technical assistance and to
the Trust Fund for the Implementation of the Basel Convention on the Control of
Transboundary Movements of Hazardous Wastes and their Disposal from Parties and non-
Parties, as well as from other sources;
7. Invites Parties to notify the secretariat of the Basel Convention of all contributions
made to the Basel Convention trust funds at the time such payments are made;
8. Requests the secretariat of the Basel Convention to ensure the implementation of all
decisions adopted by the Conference of the Parties as approved within the budgets for 2001
and 2002 ;
9. Requests the Executive Secretary of the Basel Convention to report every six months
to the Expanded Bureau on all sources of income received, including the reserve and fund
balance, as well as actual provisional and projected expenditure and commitments; and
further requests the Executive Secretary to report all expenditure against the agreed budget
lines;
10. Requests the Expanded Bureau to keep under review the financial information
provided by the secretariat including the timeliness and transparency of this information;
11. Requests the secretariat to prepare an updated version of the terms of reference for the
administration of the Trust Funds for the Basel Convention on the Control of Transboundary
Movements of Hazardous Wastes and their Disposal for consideration by the Working Group
for Implementation and adoption by the Conference of the Parties at its sixth meeting;
196
V/36. TRIBUTE TO THE HOST COUNTRY
The Conference
Having met in Basel from 6 to 10 December 1999, the tenth anniversary of the
signing of the Basel Convention,
Extends its gratitude to the Government of Switzerland for the organization of the
fifth meeting of the Conference of the Parties and to the people of Basel for the warm
hospitality accorded to all delegates at the meeting.
Annex II
We, the Ministers and other heads of delegation from the Parties to the Basel
Convention and from other States,
Concerned about the continuing risk of damage to the environment and of harmful
effects on human health caused by the environmentally unsound management of hazardous
wastes,
Recognizing that, notwithstanding the concerted efforts made during the first decade
of the Basel Convention, hazardous waste generation has continued to grow at the global
level and transboundary movements of hazardous wastes are still a matter for concern,
Further recognizing the importance of partnership with the private sector and non-
governmental organizations,
1. Assert a vision that the environmentally sound management of hazardous and other
wastes is accessible to all Parties, emphasizing the minimization of such wastes and the
strengthening of capacity-building;
197
also note with satisfaction that the number of Parties has greatly increased since the entry into
force of the Convention;
3. Reaffirm the fundamental aims of the Basel Convention, namely, the reduction of
transboundary movements of hazardous and other wastes subject to the Basel Convention, the
prevention and minimization of their generation, the environmentally sound management of
such wastes and the active promotion of the transfer and use of cleaner technologies;
4. Reiterate our commitment to sustainable development and full support for the
implementation of the Rio Declaration, Agenda 21 and the programme for its further
implementation adopted by the United Nations General Assembly at its nineteenth special
session in 1997;
5. Undertake to make all possible efforts to ensure the universality of the Convention by
promoting the ratification of or accession to the Convention and its amendments and by
ensuring effective implementation of and compliance with its obligations;
6. Recognize the need to focus our activities within the next decade on specific actions
to promote the implementation of the Convention and its amendments worldwide, at all
levels, and, to this end, agree to enhance and strengthen our efforts and cooperation to
achieve environmentally sound management in the following fields:
(b) Active promotion and use of cleaner technologies and production, with the
aim of the prevention and minimization of hazardous and other wastes subject to the Basel
Convention;
(f) Further development of regional and subregional centres for training and
technology transfer;
198
(h) Cooperation and partnership at all levels between countries, public authorities,
international organizations, the industry sector, non-governmental organizations and
academic institutions;
(i) Development of mechanisms for compliance with and for the monitoring and
effective implementation of the Convention and its amendments;
8. Recognize the need for a sound financial basis for the effective implementation of
these activities and for increased efforts to gain access to all sources of funding, including
international financial institutions, and recognize, in addition, the need to develop strategies
that will harness market forces to promote waste minimization and environmentally sound
management and to provide opportunities for investment in this field;
9. Agree that decision V/33 of the Conference of the Parties constitutes our agenda for
the next decade on environmentally sound management.
199
Annex III
Having taken into account the relevant provisions of Principle 13 of the 1992 Rio
Declaration on Environment and Development, according to which States shall develop
international and national legal instruments regarding liability and compensation for the
victims of pollution and other environmental damage,
Aware of the risk of damage to human health, property and the environment caused by
hazardous wastes and other wastes and the transboundary movement and disposal thereof,
Concerned about the problem of illegal transboundary traffic in hazardous wastes and
other wastes,
Committed to Article 12 of the Convention, and emphasizing the need to set out
appropriate rules and procedures in the field of liability and compensation for damage
resulting from the transboundary movement and disposal of hazardous wastes and other
wastes,
Convinced of the need to provide for third party liability and environmental liability
in order to ensure that adequate and prompt compensation is available for damage resulting
from the transboundary movement and disposal of hazardous wastes and other wastes,
Article 1
Objective
The objective of the Protocol is to provide for a comprehensive regime for liability
and for adequate and prompt compensation for damage resulting from the transboundary
movement of hazardous wastes and other wastes and their disposal including illegal traffic in
those wastes.
Article 2
Definitions
200
1. The definitions of terms contained in the Convention apply to the Protocol, unless
expressly provided otherwise in the Protocol.
(b) "Hazardous wastes and other wastes" means hazardous wastes and other
wastes within the meaning of Article 1 of the Convention;
(ii) Loss of or damage to property other than property held by the person
liable in accordance with the present Protocol;
(iii) Loss of income directly deriving from an economic interest in any use
of the environment, incurred as a result of impairment of the environment,
taking into account savings and costs;
(v) The costs of preventive measures, including any loss or damage caused
by such measures, to the extent that the damage arises out of or results from
hazardous properties of the wastes involved in the transboundary movement
and disposal of hazardous wastes and other wastes subject to the Convention;
(e) "Preventive measures" means any reasonable measures taken by any person in
response to an incident, to prevent, minimize, or mitigate loss or damage, or to
effect environmental clean-up;
(h) "Incident" means any occurrence, or series of occurrences having the same
origin that causes damage or creates a grave and imminent threat of causing
damage;
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duly authorized, in accordance with its internal procedures, to sign, ratify,
accept, approve, formally confirm or accede to it;
(j) "Unit of account" means the Special Drawing Right as defined by the
International Monetary Fund.
Article 3
Scope of application
(a) In relation to movements destined for one of the operations specified in Annex
IV to the Convention other than D13, D14, D15, R12 or R13, until the time at
which the notification of completion of disposal pursuant to Article 6,
paragraph 9, of the Convention has occurred, or, where such notification has
not been made, completion of disposal has occurred; and
(b) In relation to movements destined for the operations specified in D13, D14,
D15, R12 or R13 of Annex IV to the Convention, until completion of the
subsequent disposal operation specified in D1 to D12 and R1 to R11 of Annex
IV to the Convention.
3. (a) The Protocol shall apply only to damage suffered in an area under the national
jurisdiction of a Contracting Party arising from an incident as referred to in
paragraph 1;
(b) When the State of import, but not the State of export, is a Contracting Party,
the Protocol shall apply only with respect to damage arising from an incident
as referred to in paragraph 1 which takes place after the moment at which the
disposer has taken possession of the hazardous wastes and other wastes.
When the State of export, but not the State of import, is a Contracting Party,
the Protocol shall apply only with respect to damage arising from an incident
as referred to in paragraph 1 which takes place prior to the moment at which
the disposer takes possession of the hazardous wastes and other wastes. When
neither the State of export nor the State of import is a Contracting Party, the
Protocol shall not apply;
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(c) Notwithstanding subparagraph (a), the Protocol shall also apply to the
damages specified in Article 2, subparagraphs 2 (c) (i), (ii) and (v), of the
Protocol occurring in areas beyond any national jurisdiction;
5. Nothing in the Protocol shall affect in any way the sovereignty of States over their
territorial seas and their jurisdiction and the right in their respective exclusive economic
zones and continental shelves in accordance with international law.
(a) The Protocol shall not apply to damage that has arisen from a transboundary
movement of hazardous wastes and other wastes that has commenced before
the entry into force of the Protocol for the Contracting Party concerned;
(b) The Protocol shall apply to damage resulting from an incident occurring
during a transboundary movement of wastes falling under Article 1,
subparagraph 1 (b), of the Convention only if those wastes have been notified
in accordance with Article 3 of the Convention by the State of export or
import, or both, and the damage arises in an area under the national
jurisdiction of a State, including a State of transit, that has defined or considers
those wastes as hazardous provided that the requirements of Article 3 of the
Convention have been met. In this case strict liability shall be channelled in
accordance with Article 4 of the Protocol.
7. (a) The Protocol shall not apply to damage due to an incident occurring during a
transboundary movement of hazardous wastes and other wastes and their
disposal pursuant to a bilateral, multilateral or regional agreement or
arrangement concluded and notified in accordance with Article 11 of the
Convention if:
(i) The damage occurred in an area under the national jurisdiction of any
of the Parties to the agreement or arrangement;
(ii) There exists a liability and compensation regime, which is in force and
is applicable to the damage resulting from such a transboundary movement or
disposal provided it fully meets, or exceeds the objective of the Protocol by
providing a high level of protection to persons who have suffered damage;
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(iii) The Party to the Article 11 agreement or arrangement in which the
damage has occurred has previously notified the Depositary of the non-
application of the Protocol to any damage occurring in an area under its
national jurisdiction due to an incident resulting from movements or disposals
referred to in this subparagraph; and
(c) After a notification pursuant to subparagraph (a) (iii) is made, actions for
compensation for damage to which subparagraph (a) (i) applies may not be
made under the Protocol.
8. The exclusion set out in paragraph 7 of this Article shall neither affect any of the
rights or obligations under the Protocol of a Contracting Party which is not party to the
agreement or arrangement mentioned above, nor shall it affect rights of States of transit
which are not Contracting Parties.
9. Article 3, paragraph 2, shall not affect the application of Article 16 to all Contracting
Parties.
Article 4
Strict liability
1. The person who notifies in accordance with Article 6 of the Convention, shall be
liable for damage until the disposer has taken possession of the hazardous wastes and other
wastes. Thereafter the disposer shall be liable for damage. If the State of export is the
notifier or if no notification has taken place, the exporter shall be liable for damage until the
disposer has taken possession of the hazardous wastes and other wastes. With respect to
Article 3, subparagraph 6 (b), of the Protocol, Article 6, paragraph 5, of the Convention shall
apply mutatis mutandis. Thereafter the disposer shall be liable for damage.
3. Should the hazardous wastes and other wastes be re-imported in accordance with
Article 8 of the Convention, the person who notified shall be liable for damage from the time
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the hazardous wastes leave the disposal site, until the wastes are taken into possession by the
exporter, if applicable, or by the alternate disposer.
4. Should the hazardous wastes and other wastes be re-imported under Article 9,
subparagraph 2 (a), or Article 9, paragraph 4, of the Convention, subject to Article 3 of the
Protocol, the person who re-imports shall be held liable for damage until the wastes are taken
into possession by the exporter if applicable, or by the alternate disposer.
5. No liability in accordance with this Article shall attach to the person referred to in
paragraphs 1 and 2 of this Article, if that person proves that the damage was:
(a) The result of an act of armed conflict, hostilities, civil war or insurrection;
(d) Wholly the result of the wrongful intentional conduct of a third party,
including the person who suffered the damage.
6. If two or more persons are liable according to this Article, the claimant shall have the
right to seek full compensation for the damage from any or all of the persons liable.
Article 5
Fault-based liability
Without prejudice to Article 4, any person shall be liable for damage caused or
contributed to by his lack of compliance with the provisions implementing the Convention or
by his wrongful intentional, reckless or negligent acts or omissions. This Article shall not
affect the domestic law of the Contracting Parties governing liability of servants and agents.
Article 6
Preventive measures
2. Notwithstanding any other provision in the Protocol, any person in possession and/or
control of hazardous wastes and other wastes for the sole purpose of taking preventive
measures, provided that this person acted reasonably and in accordance with any domestic
law regarding preventive measures, is not thereby subject to liability under the Protocol.
Article 7
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1. Where damage is caused by wastes covered by the Protocol and wastes not covered
by the Protocol, a person otherwise liable shall only be liable according to the Protocol in
proportion to the contribution made by the wastes covered by the Protocol to the damage.
Article 8
Right of recourse
1. Any person liable under the Protocol shall be entitled to a right of recourse in
accordance with the rules of procedure of the competent court:
(a) Against any other person also liable under the Protocol; and
2. Nothing in the Protocol shall prejudice any rights of recourse to which the person
liable might be entitled pursuant to the law of the competent court.
Article 9
Contributory fault
Compensation may be reduced or disallowed if the person who suffered the damage,
or a person for whom he is responsible under the domestic law, by his own fault, has caused
or contributed to the damage having regard to all circumstances.
Article 10
Implementation
1. The Contracting Parties shall adopt the legislative, regulatory and administrative
measures necessary to implement the Protocol.
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Article 11
Whenever the provisions of the Protocol and the provisions of a bilateral, multilateral
or regional agreement apply to liability and compensation for damage caused by an incident
arising during the same portion of a transboundary movement, the Protocol shall not apply
provided the other agreement is in force for the Party or Parties concerned and had been
opened for signature when the Protocol was opened for signature, even if the agreement was
amended afterwards.
Article 12
Financial limits
1. Financial limits for the liability under Article 4 of the Protocol are specified in Annex
B to the Protocol. Such limits shall not include any interest or costs awarded by the
competent court.
Article 13
1. Claims for compensation under the Protocol shall not be admissible unless they are
brought within ten years from the date of the incident.
2. Claims for compensation under the Protocol shall not be admissible unless they are
brought within five years from the date the claimant knew or ought reasonably to have known
of the damage provided that the time limits established pursuant to paragraph 1 of this Article
are not exceeded.
3. Where the incident consists of a series of occurrences having the same origin, time
limits established pursuant to this Article shall run from the date of the last of such
occurrences. Where the incident consists of a continuous occurrence, such time limits shall
run from the end of that continuous occurrence.
Article 14
1. The persons liable under Article 4 shall establish and maintain during the period of the
time limit of liability, insurance, bonds or other financial guarantees covering their liability
under Article 4 of the Protocol for amounts not less than the minimum limits specified in
paragraph 2 of Annex B. States may fulfil their obligation under this paragraph by a
declaration of self-insurance. Nothing in this paragraph shall prevent the use of deductibles
or co-payments as between the insurer and the insured, but the failure of the insured to pay
any deductible or co-payment shall not be a defence against the person who has suffered the
damage.
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2. With regard to the liability of the notifier, or exporter under Article 4, paragraph 1, or
of the importer under Article 4, paragraph 2, insurance, bonds or other financial guarantees
referred to in paragraph 1 of this Article shall only be drawn upon in order to provide
compensation for damage covered by Article 2 of the Protocol.
3. A document reflecting the coverage of the liability of the notifier or exporter under
Article 4, paragraph 1, or of the importer under Article 4, paragraph 2, of the Protocol shall
accompany the notification referred to in Article 6 of the Convention. Proof of coverage of
the liability of the disposer shall be delivered to the competent authorities of the State of
import.
3. Any claim under the Protocol may be asserted directly against any person providing
insurance, bonds or other financial guarantees. The insurer or the person providing the
financial guarantee shall have the right to require the person liable under Article 4 to be
joined in the proceedings. Insurers and persons providing financial guarantees may invoke
the defences which the person liable under Article 4 would be entitled to invoke.
Article 15
Financial mechanism
1. Where compensation under the Protocol does not cover the costs of damage,
additional and supplementary measures aimed at ensuring adequate and prompt compensation
may be taken using existing mechanisms.
2. The Meeting of the Parties shall keep under review the need for and possibility of
improving existing mechanisms or establishing a new mechanism.
Article 16
State responsibility
The Protocol shall not affect the rights and obligations of the Contracting Parties
under the rules of general international law with respect to State responsibility.
PROCEDURES
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Article 17
Competent courts
1. Claims for compensation under the Protocol may be brought in the courts of a
Contracting Party only where either:
(c) The defendant has his habitual residence, or has his principal place of
business.
2. Each Contracting Party shall ensure that its courts possess the necessary competence
to entertain such claims for compensation.
Article 18
Related actions
1. Where related actions are brought in the courts of different Parties, any court other
than the court first seized may, while the actions are pending at first instance, stay its
proceedings.
2. A court may, on the application of one of the Parties, decline jurisdiction if the law of
that court permits the consolidation of related actions and another court has jurisdiction over
both actions.
3. For the purpose of this Article, actions are deemed to be related where they are so
closely connected that it is expedient to hear and determine them together to avoid the risk of
irreconcilable judgements resulting from separate proceedings.
Article 19
Applicable law
All matters of substance or procedure regarding claims before the competent court
which are not specifically regulated in the Protocol shall be governed by the law of that court
including any rules of such law relating to conflict of laws.
Article 20
Relation between the Protocol and the law of the competent court
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2. No claims for compensation for damage based on the strict liability of the notifier or
the exporter liable under Article 4, paragraph 1, or the importer liable under Article 4,
paragraph 2, of the Protocol, shall be made otherwise than in accordance with the Protocol.
Article 21
(b) Where the defendant was not given reasonable notice and a fair opportunity to
present his case;
(d) Where the judgement is contrary to the public policy of the Contracting Party
in which its recognition is sought.
3. The provisions of paragraphs 1 and 2 of this Article shall not apply between
Contracting Parties that are Parties to an agreement or arrangement in force on mutual
recognition and enforcement of judgements under which the judgement would be
recognizable and enforceable.
Article 22
Article 23
Amendment of Annex B
1. At its sixth meeting, the Conference of the Parties to the Basel Convention may
amend paragraph 2 of Annex B following the procedure set out in Article 18 of the Basel
Convention.
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2. Such an amendment may be made before the Protocol enters into force.
FINAL CLAUSES
Article 24
1. A Meeting of the Parties is hereby established. The Secretariat shall convene the first
Meeting of the Parties in conjunction with the first meeting of the Conference of the Parties
to the Convention after entry into force of the Protocol.
3. The Contracting Parties, at their first meeting, shall adopt by consensus rules of
procedure for their meetings as well as financial rules.
(b) To provide for reporting and establish guidelines and procedures for such
reporting where necessary;
(c) To consider and adopt, where necessary, proposals for amendment of the
Protocol or any annexes and for any new annexes; and
(d) To consider and undertake any additional action that may be required for the
purposes of the Protocol.
Article 25
Secretariat
(a) Arrange for and service Meetings of the Parties as provided for in Article 24;
(b) Prepare reports, including financial data, on its activities carried out in
implementation of its functions under the Protocol and present them to the
Meeting of the Parties;
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(c) Ensure the necessary coordination with relevant international bodies, and in
particular enter into such administrative and contractual arrangements as may
be required for the effective discharge of its functions;
(e) Cooperate with Contracting Parties and with relevant and competent
international organisations and agencies in the provision of experts and
equipment for the purpose of rapid assistance to States in the event of an
emergency situation;
(f) Encourage non-Parties to attend the Meetings of the Parties as observers and
to act in accordance with the provisions of the Protocol; and
(g) Perform such other functions for the achievement of the purposes of this
Protocol as may be assigned to it by the Meetings of the Parties.
2. The secretariat functions shall be carried out by the Secretariat of the Basel
Convention.
Article 26
Signature
The Protocol shall be open for signature by States and by regional economic
integration organizations Parties to the Basel Convention in Berne at the Federal Department
of Foreign Affairs of Switzerland from 6 to 17 March 2000 and at United Nations
Headquarters in New York from 1 April to 10 December 2000.
Article 27
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3. In their instruments of formal confirmation or approval, the organizations referred to
in paragraph 1 of this Article shall declare the extent of their competence with respect to the
matters governed by the Protocol. These organizations shall also inform the Depositary, who
will inform the Contracting Parties, of any substantial modification in the extent of their
competence.
Article 28
Accession
1. The Protocol shall be open for accession by any States and by any regional economic
integration organization Party to the Basel Convention which has not signed the Protocol.
The instruments of accession shall be deposited with the Depositary.
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Article 29
1. The Protocol shall enter into force on the ninetieth day after the date of deposit of the
twentieth instrument of ratification, acceptance, formal confirmation, approval or accession.
2. For each State or regional economic integration organization which ratifies, accepts,
approves or formally confirms the Protocol or accedes thereto after the date of the deposit of
the twentieth instrument of ratification, acceptance, approval, formal confirmation or
accession, it shall enter into force on the ninetieth day after the date of deposit by such State
or regional economic integration organization of its instrument of ratification, acceptance,
approval, formal confirmation or accession.
3. For the purpose of paragraphs 1 and 2 of this Article, any instrument deposited by a
regional economic integration organization shall not be counted as additional to those
deposited by member States of such organization.
Article 30
1. No reservation or exception may be made to the Protocol. For the purposes of the
Protocol, notifications according to Article 3, paragraph 1, Article 3, paragraph 6, or Article
14, paragraph 5, shall not be regarded as reservations or exceptions.
Article 31
Withdrawal
1. At any time after three years from the date on which the Protocol has entered into
force for a Contracting Party, that Contracting Party may withdraw from the Protocol by
giving written notification to the Depositary.
2. Withdrawal shall be effective one year from receipt of notification by the Depositary,
or on such later date as may be specified in the notification.
Article 32
Depositary
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The Secretary-General of the United Nations shall be the Depositary of the Protocol.
Article 33
Authentic texts
The original Arabic, Chinese, English, French, Russian and Spanish texts of the
Protocol are equally authentic.
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Annex A
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Annex B
FINANCIAL LIMITS
1. Financial limits for the liability under Article 4 of the Protocol shall be determined by
domestic law.
(a) For the notifier, exporter or importer, for any one incident, be not less than:
(vi) Plus an additional 1,000 units of account for each additional tonne up
to a maximum of 30 million units of account;
(b) For the disposer, for any one incident, be not less than 2 million units
of account for any one incident.
Annex IV
1. Applications
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• Additional information should be submitted to the next meeting of the
Technical Working Group in line with the time frame for new applications, i.e.,
90 days before the meeting.
• The Technical Working Group will consider and review the applications for
placement or removal of wastes on Annexes VIII or IX. The applications must
be based on sound scientific assessment in accordance with Article 1,
paragraph 1 (a), of the Basel Convention.
4. Reporting
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APPLICATION FORM FOR THE PLACEMENT OR REMOVAL
OF WASTES ON ANNEX VIII OR ANNEX IX
A. WASTE IDENTIFICATION
1. Proposed wording for the placement (or replacement wording for existing
category)
9. Hazard characteristics
C. NATIONAL DEFINITION
Is the waste legally defined as or considered to be hazardous in the country submitting the
application?
Yes No
D. COMMERCIAL CLASSIFICATION
Is the waste routinely traded through established channels and is that evidenced by
commercial classifications?
Yes No
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SUMMARY OF REASONS FOR PROPOSED PLACEMENT
NB: A detailed case (no more than 8 additional pages) should be attached considering the
category(ies) in Annex I to the Basel Convention under which the waste falls with evidence
demonstrating that the waste does or does not exhibit any of the hazard characteristics in
Annex III to the Convention (see guidance - to be drafted). Additional material may be
submitted in the form of annexes or attachments. All such annexes or attachments must be
listed in the application form, together with instructions on how to obtain these documents.
E. NAME OF APPLICANT
Name: ________________________________
Address: ________________________________ Party
________________________________ Observer State
Tel: ________________________________ NGO
Fax: ________________________________ Company
E-mail: ________________________________ Individual
__________________ _____________________
(Signature) (Stamp)
Name: ________________________________
Address: ________________________________ _____________________
________________________________ (Signature)
Tel: ________________________________
Fax: ________________________________
E-mail: ________________________________ _____________________
(Stamp)
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APPLICATION FORM PROCEDURE
• The applicant must present the application form with any supporting annexes and
attachments to national authorities for the Basel Convention.
• The competent authority and/or focal point should consider the application form with
any supporting annexes and attachments and only forward it to the secretariat of the
Basel Convention if it is properly completed and if it considers the completed
application provides sufficient information for the Technical Working Group to reach a
decision.
It is for the national authority to decide how the application form will be forwarded to
the secretariat of the Basel Convention. Normally, the competent authority or focal
point of the Basel Convention will be responsible for transmitting the form to the
secretariat. 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 the
secretariat.
• The Technical Working Group will consider the application at its next meeting,
provided it is received by the secretariat within the time-frame outlined below.
• The application form for placement or removal of wastes has to be submitted to the
secretariat of the Basel Convention at least three months prior to the meeting of the
Technical Working Group. The secretariat will despatch completed applications within
two months of the date of the next Technical Working Group meeting.
• Competent authorities and focal points are requested to make available any annexes or
attachments to all focal points of the Basel Convention and to advise the secretariat
that this has been done. If a competent authority or focal point is unable to make
available any annexes or attachments to all focal points of the Basel Convention, it
may request the secretariat to undertake this function.
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Annex V
1. Hazardous and toxic wastes, emanating from chemical and pesticide manufactures,
petrochemical refineries, makers of synthetics and plastics, industries, mines, farms, nuclear
power and weapons plants and military activities, continue to pose significant threats to
ecosystems and human health. An estimated 3 million tonnes of toxic and hazardous waste
cross national borders each year.
2. The Basel Convention, in its first ten years, has succeeded in putting hazardous wastes
and the implications of their indiscriminate disposal on the global agenda. The second
decade must be one of implementation. That means that the parties to the Convention will
need to strengthen old alliances and create new ones. You will need to think beyond
traditional domains, and reach out to non-governmental organizations, industries and others
who possess the knowledge, technology and financial resources needed for building and
improving capacity to manage wastes, especially in the developing world.
3. Developing countries have already benefited significantly from your work. You have
prevented them from becoming dumping grounds for the industrialized world. The challenge
now is to empower them so that they can follow the path of sustainable development.
4. We must also, in the years ahead, begun to think of the environment and hazardous
waste with a new logic. We need to encourage the view that clean water and land are
valuable not only for their beauty, but also as economic goods. And we must do more to
drive home the message that it makes good economic sense to reduce the generation of
hazardous waste in the first place. Corporations already profit from such reductions, so does
the planet. As in so many realms, prevention pays.
As you move ahead in these directions, let me assure you that you can rely on the full support
of the United Nations system. We share one world and only one: we can ill afford to waste
it.
Annex VI
2. The Marine Environment Protection Committee (MEPC) of IMO held its forty-third
session in July and the item on ship scrapping/demolition/recycling was discussed on the
basis of a proposal made by Norway (contained in document MEPC/43/18/1) and comments
submitted by the member States and the observer organizations.
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3. A representative of the Basel Convention secretariat attended the meeting and
informed MEPC of the ship dismantling activities within the conference of the Parties to the
Basel Convention.
4. The initial proposal by Norway was to include this item in the work programme of
MEPC and to develop a resolution of the IMO Assembly on the need for an international
regime on the ship scrapping and of the need for an inter-agency cooperation in developing
such a regime. There was a detailed and comprehensive discussion at MEPC. It was noted
that the shipping industry was facing a substantial volume of ageing vessels originating from
the building boom of the 1970s and now approaching the age of decommissioning. It is
estimated that around 700 sea-going ships are scrapped each year.
5. A large crude carrier can contain several tonnes of asbestos, PCB, heavy metals,
hydrocarbons, ozone-depleting substances and others. Environmental, human health and
safety risks have been clearly demonstrated. It has become evident, however, that a number
of technical, legal and administrative problems will have to be addressed to mitigate the
negative effects of the ship demolition practices. For example, today the ship follows paths
from an operative to a decommissioned State. However, no internationally agreed procedure
which involves the flag State, the State of reception and international organizations exists.
6. Ships have to meet certain requirements to sail. Similarly, it was suggested that
requirements relating to the environmental condition of a ship designated for scrapping could
be defined.
7. It was felt that there were loopholes in the existing Basel Convention and IMO
instruments, as they were not specifically designed for the case. In this respect, the need for
inter-agency cooperation and the need for a holistic approach was fully recognized.
8. MEPC agreed to include this item in both its work programmes and will further
discuss it at its next session in March 2000, when it is expected to agree on the working
schedule and arrangements. Meanwhile, the secretariat was requested to liaise with other
organizations, in order to coordinate their respective activities.
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