Wednesday
May 13, 1992
Hazardous Waste Management System;
Motification Concerning the Basel
Convention's Potential Implications for
Hazardous Waste Exports and Imports;
Motie©
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Federal Register f Vol. 57, No. 93 / Wednesday. May 13^1992/NoiiceB
ENVIRONMENTAL PROTECTION
AGENCY
ISW-FR 4132-5]
Harzardous Waste Management
System; Notification Concerning the
Basel Convention's Potential
Implications for Hazardous Waste
Exports and Imports
AGENCY: Environmental Protection
Agency.
ACTION: Announcement of the entry into
force of the Basel Convention.
SUMMARY: On May 5,1992, the Basel
Convention on the Control of
Transboundary Movements of
Hazardous Wastes and Their Disposal
(Basel Convention) enters into force for
the first twenty countries that have
ratified it. The United States has not yet
ratified the Basel Convention; therefore,
U.S. requirements regarding imports and
exports of hazardous waste remain
unchanged. This information-only notice
describes the development and major
provisions of the Convention. It also
discusses the potential impacts that
requirements imposed by ratifying
countries to implement the Convention
may have on U.S. waste importers and
exporters.
The complete text of the Basel
Convention is included with this notice.
EFFECTIVE DATE: May 5,1992.
FOR FURTHER INFORMATION CONTACT:
For general information contract the
RCRA Hotline, Office of Solid Waste,
U.S. Environmental Protection Agency,
401 M Street. SW., Washington, DC,
20460 from 9 a.m. to 7:30 p.m. (EST),
Monday through Friday, except for
Federal holidays; Telephone (800) 424-
9340 (toll free) or, in the Washington,
DC, Metropolitan area at (703) 920-9810.
For Information on specific aspects of
this notice, contract Ms. Angela
Cracchiolo. Office of Solid Waste, U.S.
Environmental Protection Agency, 401M
Street, SW.. Washington, DC, 20460,
telephone (202) 260-4779.
SUPPLEMENTARY INFORMATION:
Outline
1, Basel Convention4. Background
A History of Development
B, Reasons for Development
C. Entry into Force of the Convention
1, 90 days after 20th Ratification
2. List of Ratifying Countries
D Next Steps In Implumentation of the
Convention
1. Submission of Waste Lists to UNEP Interim
Secretary
2. Meeting of the Conference of the Partiea
II, Basel Convention: Summary of Provisions
A, Waste Coverage '
B. Prohibitions on Shipments To and From
Non-Parties
C. Prerequisites to Exporting
D. Notice and Consent
E. Exporting and Importing Country
Responsibilities
F. International Cooperation
G. Tracking, Accidents, and Reporting
H. Ban on Shipments to Antarctica Treaty
Area
HI. Progress Towards U.S. Ratification of
Basel
A. Basel Signed by U.S. On March 21,1990
" B. Importance of U.S. Ratification
1. Negotiation of Rules for Implementation
and Related Protocols
2. Full Participation Only by Basel Parties
C. Procedure for U.S. Ratification of Basel
D. Proposed Legislation
IV. Existing International Agreements
A. U.S./Canada Bilateral Agreement
B. U,S./Mexico Bilateral Agreement
C. OECD Decision
V. Text of the Basel Convention
I. Basel Convention: Background
A. History of Development
The United Nations Environment
Programme (UNEP) began working
towards controlling international
shipments of waste in 1982, pursuant to
a 1982 UNEP Governing Council
decision mandating the development of
guidelines and principles for
environmentally sound management of
hazardous waste. At virtually the same
time (1983), the Organization for
Economic Cooperation and
Development (OECD) Environment
Committee's Waste Management Policy
Group began working on a program to
control transboundary movements of .
wastes. The United States has been an
active participant in the activities of .
both OECD and UNEP. '
Since 1984, OECD has adopted four
legally binding Decisions for its
members (the United States has agreed
to all four Decisions). Briefly, these
Decisions require OECD Members to:
1. Control international shipments via
advance notification.
2. Develop an overall tracking system.
3. Require prior consent of receiving
countries outside the OECD.
4. Define the scope of coverage for
wastes that will be controlled.
In the interest of broader international
involvement and commitment, OECD
discontinued work in this area after a
1988 Decision Mo defer to UNEP'S
efforts. Much of OECD's early work,
including the list identifying wastes to .
be covered by an international
agreement, was adopted by UNEP
without change.
Continuing development in this area,
UNEP created the Cairo Guidelines and
Principles for the Environmentally
Sound Management of Hazardous
Wastes, which were adopted by the
UNEP Governing Council in 1987. The
Cairo Guidelines contained definitions,
provisions for generation,
transportation, and management of
waste, monitoring and control, remedial
action, recordkeeping, safety and
contingency planning, liability and
compensation. Countries would have the
right to refuse a waste shipment if it
could not be handled in an
environmentally sound manner.
However, the Cairo Guidelines were
nonbinding and unenforceable
guidelines that acted as a code of
practice. Soon after their completion,
UNEP began planning a convention.
which would go beyond the Cairo
Guidelines by including effective and
enforceable monitoring and control
requirements to ensure environmentally
sound management of transboundary
movements of hazardous and other .
wastes^The Basel Convention Was
negotiated under UNEP. beginning in
1988.
A conference of UNEP delegates met
hi Basel, Switzerland, in March 1989, at
which time the Basel Convention on the
Control of Transboundary Movements
of Hazardous Wastes and Their
Disposal was concluded and opened for
signature. A two-step procedure is
involved in "activating" the Convention.
Countries first sign the Convention, then
once they have the authority and are
prepared to implement its terms, they
may ratify it. .
1 Decision on Transfrontfer Movements of
Hazardous Waste p(B8)90(Final). adopted by the
Council on May 27.1988.
B. Reasons for Development.
There are two major reasons for the
development of the Basel Convention.
The first involves the increasing
shortage of waste management capacity
in several countries, leading to larger
volumes of solid and hazardous waste
movements across borders. Some
countries generate such small quantities
of hazardous waste that it is not
economically efficient to build disposal
facilities in these countries, therefore,
their waste is exported.
A second issue that provided a major
impetus for the development of Basel is
the occurrence of several international
incidents where wastes which may have
been hazardous wastes in either the
country of origin or the country of
import have been indiscriminately
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20SG3
dumped in developing countries, either
with or without their consent. For
example, in August 1986, the ship Khian
Sea left Philadelphia loaded with 15,000
tons of municipal incinerator ash and.
set sail for Haiti, where it unloaded
some of its cargo. The shipping papers
accompanying the waste labeled the
incinerator ash as bulk construction
material and top soil ash fertilizer. After
Haiti strongly opposed this action, the
incident gathered international
attention, particularly from the Pan-
American Health Organization and the
World Health Organization. The Khian
Sea then left Haiti and began a two-year
voyage around the world in search of a
country that would accept its waste.
After several additional refusals arid
several changes of the ship's name, the
Khian Sea appeared in Singapore with a
new. name and empty cargo holds.
Another incident involved waste from
Italy that was transported and unloaded
in Nigeria, in a total of five shipments
from August 1987'to May 1988. In 1988
, the Nigerian government ordered the
waste to be sent back to Italy. After a
lengthy trip and many refusals from
ports, the waste was finally retuned to
Italy. -"-., ;
For developing or newly industrialized
countries, the practice of importing
waste can be a very profitable one, and
there can be a strong incentive for
individuals in developing countries to
participate in this'activity. However,
developing and newly industrialized
countries often have limited capacity or
capability to ensure proper waste
treatment and disposal. Illegally
disposed wastes can cause
contamination of ground water, surface
water, soil, air, and biota. A study by
UNEP and the World Health ;
Organization on contamination of water,
soil, and air concluded that the "degree
of cdhtammatiori is worse in
[developing] countries and newly
industrialized countries than it is in
most of the developed ones." 2 The
contamination of the environment in
developing countries can directly affect
the health of the people, cause them to
relocate, and cause the loss of
productive land, natural resources, and
certain economic activities. The
negotiators of the Basel Convention
wanted to promote environmentally
sound management of exported and
imported wastes, especially in these
developing countries.
To date, at least 83 countries,
representing the African, Latin-
Caribbean and Asian-Pacific regions
have banned hazardous waste imports,
and a number have adopted strict
penalties for illegal imports.
c. Entry Into Force of the Convention
1. 90 Days After 20th Ratification
The Basel Convention was open for
signature from March 22,1989, through
March 22,1990. Fifty-three countries
signed the Convention, including the
United States. By signing the
Convention, a country indicates that it
agrees with the goals of the Convention
. and is moving towards ratification.
Ratification signals a country's ability to
implement the provision of the
Convention. As of February 5,1992,
twenty countries had ratified the
Convention. Ninety days after the
twentieth ratification (May 5,1992), the
Basel Convention will enter into force,
becoming effective for those 'twenty
countries. For any country that ratifies
the Convention after its entry into force,
the Basel Convention will be effective
for that country 90 days after the date it
ratifies (Article 25).
2. List of Ratifying Countries
The following countries ratified the
Basel Convention on or before February
5,1992:
Argentina
Australia
China ,.
Czechoslovakia
El Salvador
Finland
France
Hungary
Jordan :
Liechtenstein
Mexico '
Nigeria
Norway
Panama
Romania
Saudi Aratia
.Sweden --.
Switzerland
Syria -"
.Uruguay
2 "Third world has most chemical
contamination," Chemical &'Engineering News.
October 3,1988; pp. 8-9.
On'March 20,1992, Poland became the
twenty-first country to ratify the ;''. -
Convention; therefore, Basel will enter
into force for Poland on June 18,1992.
D. Next .Steps in Implementation of the
Convention '
1. Submission of.Waste Lists to UNEP
Interim Secretary
Within six months of becoming a
Party to the Convention,"eachParty -'.
must submit to the Secretariat a list of
those wastes which it considers
hazardous, other than those listed in
Annexes I and II of-.the Convention. In
addition to the wastes listed in the ':
Convention, Basel provisions apply to
any other wastes considered or defined
as hazardous by its Parties.
2. Meeting of the Conference, of the
Parties
The Basel Convention requires that a
meeting of the Conference of the Parties
be held within one year of the
Convention's entry into force to discuss'
implementation issues such as technical
guidelines to ensure environm'entally
sound management. Adoption of
procedural rules and determination of
financial participation, as well as
discussions on development of a
liability protocol, will also be topics of
the first meeting. The first meeting of the
Conferenc.e of. the Parties has not been
scheduled, but the Interim Secretariat
for the Basel Convention expects it to
take place in Fall 1992. '"-..-
II: Basel Convention: Summary of
Provisions ;
The BaselConventipn's main goal is
to protect human health and the
environment against the adverse 'effects
that may result from mismanagement or
careless international movements of;
hazardous and other wastes. The
Convention seeks a reduction in wasje
generation, a reduction in
trarisboundary waste movements:"
consistent with environmentally sound
and efficient waste management, and
sets a standard of environmentally
sound management for those waste
movements that do occur. Wastes;
covered by the Convention include
hazardous wastes, household wastes,
and residues arising from the
incineration of household wastes.
; The Convention controls the
transboundary movement of these
wastes from one Party to another.
Before a transboundary movement of
hazardous or other wastes may occur,
the exporting country must notify in
writing the countries of import and
: transit and must obtain their consent.
The shipment cannot proceed until the
exporting Country has received written
consent from the importing country and:.
any transit countries _as well as '...' -
confirmation of the existence of a waste-
management contract between the
exporter and the importer. Both the,
exporting and importing countries are
obligated to prohibit a transboundary
movement if there is:reason to believe
that the waste will not be managed in an
environmentally sound manner in the
importing country.
In addition, Basel Parties are
prohibited from exporting or importing
covered waste to or from non-Parties ''.
except in cases in which separate
government agreements exist which
provide for environmentally sound
management.
A. Waste Coverage
The Basel Convention defines :
hazardous wastes as:
- Wastes listed in Annex I (of the
Basel Convention) unless they do not
exhibit one or more of the ,
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characteristics identified in Annex III,
using national testing procedures, and .
Wastes considered to be or defined
as hazardous by one or more of the
exporting, importing, or transit Parties 3.
In addition, Basel covers "other .
wastes" (listed in Annex II), which are,
wastes from households and residues
from the incineration of household
waste.
Two waste streams are specifically
excluded from coverage:
Radioactive wastes covered by
other international controls, and
Wastes from ships covered by other
international controls.
B. Prohibitions on Shipments To and
From Non-Parties
The Convention prohibits
transboundary movements of covered
wastes between Parties and non-Parties.
Howdver, pursuant to Article 11, exports
or imports of Basel wastes between
Parties and non-Parties may occur if
there is a separate pre-existing bilateral
or multilateral agreement between those
countries that is compatible with the
environmentally sound management
standard in Basel, Bilateral or
multilateral agreements or arrangements
that Parties enter into after the entry
into force date of the Convention must
not derogate from the environmentally
sound management required under
Basel.
The United States currently has two
pre-existing bilateral agreements. One
agreement is with Canada, to which the
U.S. exports 68 percent of its total
exported hazardous waste (1990), and
the other is with Mexico, to which the
U.S. exports 28 percent of its total
exported hazardous waste (1990). In
addition, on March 30,1992, the
Organization for Economic Cooperation
and Development (OECD), of which the
United Slates is a Member, adopted a
multilateral Decision that allows for
transboundary movements of waste for
recovery.
C. Prerequisites to Exporting
The Convention requires that wastes
be exported only if the exporting
country does not have adequate
disposal capacity, facilities, or disposal
sites to dispose of the waste in an
environmentally sound and
economically efficient manner or, if the
wastes are required as a raw material
for recycling or recovery industries in
the importing country.
> In Ihe case of.thc United Stales, the Resource
Cunscrvulion and Recovery Act [RCRAJ. as
amended, is Ihe domestic legislation .that provides
rtiithuril.v fur EPA lo Identify htiznrdous wastes.
D. Notice and Consent '
Before an export may occur, the
Convention requires that the exporting
country notify, the receiving country and
any transit countries of the proposed
movement of hazardous; wastes or,'other,.
wastes. (A transit country is one through
which the waste shipment will travel eh
route to the importing country.) Upon
receiving notice of a proposed.shipment,
the importing and transit countries may
either consent to the shipment with or
without conditions, deny permission, or
request additional information. The .
waste shipment may be exported only
after the importing and transit countries
have consented. The exporting country
must take actions to stop the export if it
occurs without the written consent of
the importing and transit country or
under conditions discussed under
paragraph E below.
E. Exporting and Importing Country ~
Responsibilities
Both exporting and importing
countries are responsible for prohibiting
or stopping (if en route) transboundary
shipments of waste if they have reason
to believe, that the waste will not be
handled in an environmentally sound
manner in the importing country.
Environmentally sound manner is
defined in the Convention as "taking all
practicable steps to ensure that
hazardous wastes or other wastes are
managed in a manner which will protect
human health and the environment
against the adverse effects which may
result from such wastes." Technical
guidelines for environmentally sound
management will be a topic for
discussion at the first meeting of the
Conference of the Parties (Article 4).
In addition, if a shipment cannot be
delivered to the destination for which
consent has been given, or is not
accepted by the destination facility, the
exporter has the responsibility for
ensuring that the wastes are returned to
the exporting country if alternative
arrangements cannot be made for their
environmentally sound disposal,
consistent with all terms of the
Convention, within 90 days, or another
time-frame agreed upon by the countries
concerned. The exporting country must
also require that the exporter or
' generator take back any wastes illegally
exported or must assume responsibility
for the waste if the exporter or generator
does not do so. If the disposer in the
importing country committed the illegal
act, then this obligation rests with the
importing country. Where responsibility
for the illegal movement cannot be
determined; Parties are required to
cooperate to ensure environmentally
sound management.
F. International Cooperation -'..-
A fundamental principle of the Basel
Convention is that Parties respect the
import laws of other Parties. If a country
has prohibited the import of certain
waste's, and has notified other countries
of that decision, Parties.may not allow
exports of prohibited wastes to that
country.
All Parties have an obligation to
cooperate with other Parties in
developing technical guidelines for
achieving environmentally sound
management. This involves an
obligation to share information on
technical standards that will promote
environmentally sound waste
management. In addition, this
commitment involves cooperation in
monitoring the effects of certain waste
management practices on human health
and the environment. Parties also are
required to cooperate in providing
assistance to developing countries in
implementing environmentally sound
management practices.
G,, Tracking, Accidents, and Reporting
The Convention includes '
requirements for tracking wastes
through use of a "movement document,'
which must accompany the waste
shipment from the point the
transboundary movement begins to the
- point of disposal. (Disposal includes a
subset of activities which may lead to
recovery as well as final disposal undei
the Convention's terms.) In addition,
shipments of waste must be packaged,
labelled, and transported in.. v, =,:.. ,>,,.-;.
conformance with international rules.
If an accident involving a waste
shipment occurs during transportation
or disposal that poses a risk to human
health or the environment, the
Convention requires that the responsible
Parties inform potentially affected
countries of the accident. In addition,
Basel Parties must inform each other,
through the Secretariat of the
Convention, of changes in the
authorities responsible for
implementation of the Convention in
their country, changes in the definition
of hazardous waste, and decisions to
prohibit or not consent to the import of
certain wastes. Lastly, Parties must"
submit an annual report to the
Secretariat. The report must include
amounts and types of hazardous and
other wastes exported and their
destination,'transit countries, and "'
disposal method; amounts and types of
hazardous and other wastes imported,
their origin, and disposal method;
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disposals that were not completed as
planned; efforts to reduce waste exports;
and other specified pieces of
information. '
H, Ban of Shipments to Antarctica
Treaty Area
The Convention prohibits the export
of hazardous or other wastes to the
Antarctica Treaty Area (south of 60
degrees south latitude).
III. Progress Towards U.S. Ratification
of Basel
'A. Basel Signed by U.S. on March 21,
1990 ; .
United States'authority over the
export of hazardous wastes is found in
section 3017 of. the Resource
Conservation and Recovery Act
(RCRA), which currently requires notice
to, and consent from, an importing.
'country prior to export of hazardous
waste. In March 1989, President Bush
announced he would seek legislation
which would ensure .that U.S. hazardous
waste be exported only when an
agreement exists with the importing
country that ensure environmentally
sound management .of the waste. The
United States Ambassador to the United
Nations, Thomas Pickering, signed the
Basel Convention on March 21,1990, as
part of the United States' new policy.
B. Importance of U.S. Ratification
1. Negotiation of Rules for
Implementation and Related Protocols
Within one year of entry into force of
the Convention, a first meeting of the
Conference of the ratifying Parties will
be held. It is anticipated that the first
meeting will occur in Fall 1992. The
purpose of the meeting will be to agree
upon and adopt procedural and
financial participation rules for the
Parties and to consider other
implementation issues, such as technical
guidelines for environmentally sound
management. Discussions may also
included amendments or additional
action needed to carry out the mission
. of the Convention, establishment of
subsidiary bodies, and adoption of
appropriate liability protocols.
2. Full Participation Only by Basel
Parties '
Non-Party countries, such as the U.S.,
and other interested parties may be
represented as observers at meetings of
the Conference of the Parties, and may
be allowed courtesy participation in the
negotiation process. However, non-
Parties will not have the authority to
vote on these issues and may face other
constraints in fully representing their
positions during the negotiations.
C. Procedure for U.S. Ratification of
Basel -, . '_, .'
The United States Constitution
requires that the Senate consent to the
ratification of international treaties. In
keeping with, this requirement, President
Bush transmitted the Basel Convention
to the Senate for its advice and consent
in May 1991. In addition, before
ratification can occur, the U.S.
government must have sufficient
authority to implement the terms of the
Convention. Current authority is lacking
in several major areas, including:
Authority to control exports or
imports of certain Basel-covered wastes
(e,g., household waste and household
incinerator ash);
Authority to object to a shipment of
waste leaving the U.S. if it has reason to
believe the waste will not be managed
in an environmentally sound manner,
notwithstanding consent of the
importing country.
Authority to require the exporters
bring illegal waste shipments back to
the U.S. or the authority to assume such
a responsibility should the exporter fail
to do so.
An Administration bill and a number
of other bills have been introduced into
both Houses of Congress to increase
EPA's authority over transboundary
waste movements, consistent with
provisions of the Convention.
D. 'Proposed'Legislation
The following legislative proposals
covering transboundary waste
movements were introduced^into the
Congress in 1991: .. ;
1. "The Hazardous and Additional
Waste Export and Import Act of 1991,"
introduced on behalf of the.
Administration into the Senate by
Senator Chafee (S. 1082) and into the
House of Representatives fay "
Congressman Lent (H.R. 2398), May
1991. . " '
2. "The Waste Export Control Act,"
(H.R. 2358), introduced into the House of
Representatives by Congressman Synar
and Wolpe, May 1991.
3. "The Waste Export and Import
Prohibition Act," (H.R. 2580), introduced
into the House of Representatives by.
Congressman Towns submitted H.R.
2580, June 1991.
4. "The International Hazardous
Waste Disposal and Enforcement Act of
1991," (S. 1643), introduced into the
United States Senate by Senator Akaka,
August 1991.
In March 1992, as, part of reauthorizing
legislation for RCRA, Chairman Baucus
of the Senate Environment and Public
Works Committee, Environmental
Protection Subcommittee, introduced
into committee mark-up a section
governing hazardous and additional
waste imports and exports.
IV. Existing International Agreements
The authors of the Basel Convention
recognized that some countries may be
involved in pre-existing government:to-
government -arrangements regarding
transboundary waste movements and
that some countries may have difficulty
ratifying the Convention before it:
entered into force. Thus, under article
11, upon entry into force of the Basel
Convention, transboundary movements
of covered waste between Basel Parties
and non-Parties may continue to take.
place if there is an international
agreement between these countries for
those wastes, provided that the
agreement is compatible with the
environmentally sound management
required under the Convention. The U.S.
currently has a bilateral agreement with
Canada and a bilateral agreement.with
Mexico. In addition, the U.S., as a
member of the OECD, is bound by a
multilateral arrangement for
transboundary movements of '
recyclables within the OECD region.
Therefore, after May 5,1992, .
transboundary movements of Basel ,
wastes may take place between selected
Basel Parties and the U.S.; but only
pursuant to the bilateral or multilateral
agreements or arrangements noted
above.
A. U.S./Canada Bilateral Agreement -
In 1986, the United States and Canada .
entered into a bilateral agreement
concerning transboundary movement of
hazardous waste. The 14-article
agreement covers imports, exports, and
transit movements. The agreement
stipulates that:
1. The exporting country notify the
importing country of a proposed export;
2. The designated authority has 30
days from the date of receipt of the
notice to indicate consent or objection
to the export;
,3. If no objection is received within
the 30-day period, the country of import
is considered to have no objection-to the
export.
Also included in the U.S./Canada
agreement are provisions which require
that shipments conform to the
regulations of the importing country;!
provisions for notification of transit
shipments; requirements .for cooperative
efforts in monitoring to ensure
compliance with regulations in both
countries; and a provision for
readmitting exports for any reason.
Parties also may require that any
transboundary movement of hazardous
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waste be insured against damage to
third parties.
B. U.S./Mexico Bilateral Agreement
Also in 1988, the U.S. and Mexico
entered into a bilateral agreement for
hazardous waste transboundary
movements. The agreement allows the
export of hazardous waste from Mexico
into the United States for recovery or
disposal, as well as transit shipments
through the U.S. and Mexico. Since the
import of hazardous wastes for disposal
in Mexico is forbidden under Mexican
Presidential decree, hazardous wastes
may be exported to Mexico under the
agreement only for the purpose of
recycling.
The U.S./Mexico agreement requires
the exporting country to provide a
notification of intent to export
hazardous waste to the importing
country 45 days in advance of shipment;
the consent or objection by the ,.
importing country must be reported in
another 45 days. In contrast to the
Canadian agreement, if a response from
Mexico is not received within the
prescribed time, consent is not implied.
The bilateral agreement also references
the requirement under the Mexican
Maquiladora Program that hazardous
wastes generated from raw materials
admitted in bond be returned to the
country of export of the raw materials.
The Maquiladora Program was
established to attract U.S. industries to
Mexico to promote industrial
development in that country. The
liability provisions of the U.S./Mexico
bilateral agreement call for the country
of export to take action, within the limits
of its legal authority, that will result in:
1. The return of the hazardous waste
to the country of export;
2. The return, insofar as practicable,
of the status quo ante of the affected
ecosystem; and
3. The repair, through compensation,
of damages caused to persons, property,
or the environment.
C, OECD Decision
On March 30,1992, the Council of the
Organization for Economic Cooperation
and Development (OECD) adopted a
legally binding Decision on The Control
of Transfrontier Movements of Wastes
Destined for Recovery Operations. The
OECD Member countries which adopted
the Decision are: Australia, Austria,
Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Iceland,
Ireland, Italy, Luxembourg, Netherlands,
New Zealand, Norway, Portugal, Spain
Sweden, Switzerland, Turkey, United
Kingdom, and the United States. The .
OECD Decision, which covers waste
materials destined for recovery
operations, is a preexisting arrangement
under Article 11 of the Basel
Convention. The OECD multilateral
arrangement will allow for the U.S. to
continue exporting and importing
hazardous waste to and from other
OECD Members, including those who
are Basel Parties, for the purpose of
recovery, after entry into force of the
Basel Convention. However, the OECD
arrangement does not cover wastes
imported and exported for final
disposal.
. The OECD Decision requires Member
countries to control transfrontier
movements of hazardous wastes and .
ensure that adequate and timely
information is transmitted from the
exporting country to the importing
country. The Decision requires that
responsibility for the proper
management of the waste, including the
necessary re-exportation of waste, if
safe disposal cannot be assured by the
importing country, be specified in a
contract between the exporter and the
importer. Recognizing that Member
countries would require time to
implement the terms of the Decision
within their domestic regulatory
framework, yet desiring implementation
of the Decision as quickly as possible,
the OECD Council Decision was made
effective on the date of its adoption. The
U.S: expects to issue regulations
implementing the Decision very shortly.
Until such regulations become effective,
all existing regulations regarding the
export of hazardous wastes from the
U.S. and imports of hazardous wastes to
the U.S. remain in effect and
enforceable. After May 5,1992, exports
to and imports from OECD Member ,
countries for final disposal will cease if
the OECD country has ratified the Basel
.Convention. OECD Members that have
ratified Basel include: Australia,
Finland, France, Norway, Sweden, and
Switzerland.
Dated: May 5,1992
Don R. Clay,
Assistant Administrator: ' '
V. Text of the Basel Convention
Basel Convention on the Control of
Transboundary Movements of Hazardous
Wastes and Their Disposal; Preamble
The Parties to this Convention,
Aware of the risk of damage to human
health and the environment caused by
hazardous wastes and other wastes and the
transboundary movement thereof,
Mindful of the growing threat to human
health and the environment posed by the
increased generation and complexity, and
transboundary movement of hazardous ,
wastes and other waste's, '.- :
Mindful also that the most effective way of
protecting human health arid 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 arid the
environment whatever the place of their
disposal,
Noting that States' should ensure that the
generator should carry out duties-with regard,
to the transport and disposal of hazardous
wastes and other wastes in a manner that is
consistent with the protection of the .
environment, whatever the place of disposal,
Fully recognizing that any State has the
sovereign right to ban the entry or disposal of
foreign hazardous wastes and other wastes in
its territory, ,
Recognized also the increasing desire for
the prohibition of transboundary moyements
of hazardous wastes and their disposal in
other States, especially developing countries,
Convinced that hazardous wastes and
other wastes should, as far as is compatible
with environmentally sound and-efficient,
management, be disposed of in the State
where they were generated,
A ware 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 riot ehdarige'r human '
health and the environment, and under
conditions in conformity with the provisions
of this Convention,
Considering that enhanced control of
transboundary movement of hazardous
wastes and other wastes will act as an
incentive for their environmentally sound
management and for the reduction of the,
volume of such transboundary movement,
Convinced that States should take
measures for the proper exchange of
information on and control of the .
transboundary movement of hazardous
wastes and other wastes from and to those
States,
Noting that a number of international and
regional agreements have addressed the issue
of protection and preservation of the
environment with regard to the transit of
dangerous goods,
Taking into account the Declaration of the
United States 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 on 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,.:. :'. -r'--;>' 3 tut, Msifiu.'-W ",
Mindful of the spirit, principles, aims and
functions of the World Charter for Nature
" adopted by the General Assembly of the
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Federal Register /Vol. 57, No. 93 / Wednesday, May' 13, 1992 /Notices
United Nations at its thirtyrseventh 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 fulfillment 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 inthe case of a material
breach of the provisions of this Convention or
any protocol thereto the relevant
international law of treaties shall apply,
A ware of the need to continue the
development and implementation of
environmentally sound low-waste
technologies, recycling options, good house-
keeping and management systems with a
view to reducing to a minimum the generation
of hazardous wastes and other wastes,
Aware also of the growing international
concern about the need for stringent control
of transboundary movement of hazardous
wastes and other wastes; and of the need as
far as possible to reduce such movement to a
minimum,
Concerned about the problem of illegal
transboundary traffic in hazardous wastes
and other wastes,
Taking into account also the limited
capabilities of the developing countries to
manage hazardous wastes and other wastes,
Recognizing the need to promote the
transfer of technology for the sound
management of hazardous wastes and other
wastes produced locally, particularly to the
developing countries in accordance with the
spirit of the Cairo Guidelines and decision
14/16 of the Governing Cpuncil of UNEP on
Promotion of the transfer of environmental
protection technology,
Recognizing also that hazardous wastes
and other wastes should be transported in
accordance with relevant international
conventions and recommendations,
Convinced also that the transboundary
movement of hazardous wastes and other
wastes should be permitted only when the
transport and. the ultimate disposal of such
wastes is environmentally sound, and
Determined to protect, by strict control,
human health and the environment against
the adverse effects which may result from the
generation and management of hazardous ;
wastes and other wastes,
Have Agreed as Follows:
Article 1 ,
Scope of the Convention '.-..'-.. ,
1. The following wastes that are subject to
transboundary movement shall be
"hazardous wastes" for the purposes of this
Convention: - .
(a) Wastes that belong to any category
contained in Annex I, unless they do not
possess any of the characteristics contained
in Annex III; and...
(b) Wastes that are not covered under
paragraph (a) but are defined as, or are
considered .to be, hazardous wastes by the
domestic legislation of the Party of export,
import or transit.
2. Wastes that belong,to any category
contained in Annex II that are subject to
transboundary movement shall be other
wastes for the purposes of this Convention.
3. Wastes which, as a result of being
radioactive, are subject to other international
control systems, including international
instruments, applying specifically to
radioactive materials, are excluded from the
scope, of this Convention.
4. Wastes which derive from the normal
operations of a. ship, the discharge of which is
covered by another international instrument,
are excluded from the scope of this
Convention. : .
Article 2
Definitions _ ' :' - . ' "-.--
For the purposes of this Convention:, .
1. Wastes are substances or objects lyhich
are disposed of or are intended to be
disposed of or are required to be disposed of
by the provisions of national law;>
2. Management means the collection,
transport and disposal of hazardous wastes
or other wastes, including after-care of
disposal sites; "
3. Transboundary movement means any
movement of hazardous wastes or other
wastes from an area under the national
jurisdiction of one State to or through an area
under the jurisdiction of another State or to'
or through an area not under the national
jurisdiction of any State, provided at least
two States are involved in the movement;
4. Disposal means any operation specified
in Annex IV to this Convention;
5. Approved site or facility means a site or
facility for the disposal of hazardous wastes
or other wastes which, is authorized or
permitted to operate for this purpose by a
relevant authority of the State where the site
or facility isjocated; ;
6. Competent authority means one
governmental authority designated by a Party
to be responsible, within such geographical
area as the Party may think fit, for receiving
the notification of a transboundary
'movement of hazardous wastes pr other
wastes, and any information related to it,: and
for responding to such a notification, as
provided in Article 6;
7. Focal point means the entity of a Party
referred to in Article 5 responsible for
receiving and submitting information as
provided for in Articles 13 and 15;
" . 8. Environmentally sound management of
hazardous wastes or other wastes means
taking all practicable steps to ensure that
hazardous wastes or other wastes are
managed in a manner which;will protect
human health and the environment against
the adverse effects which, may result from
such wastes; '
9. Area under the national jurisdiction of a
State means any land, marine area or
airspace within which a State exercises
administrative and regulatory responsibility
in accordance with international law in
regard to the protection of human health pr
the environment; ,
10. State of export means a Party from
which a transboundary movement of
hazardous wastes or other wastes is planned
to be initiated or is initiated;
11. State of import means a Party to which
a transboundary movement of hazardous
wastes or other wastes is planned or takes
place for the purpose of disposal therein or
for the purpose of loading prior'to disposal in
an area not under the national jurisdiction pf
any State; ' .. *
12. State 'of. transit means any State, other .
than the State of export or import, through
which a movement of hazardous wastes or
other wastes is planned or takes place;
13. States concerned means Parties which
are States of export or import, or transit
States, whether or.not Parties;
14. Person means any natural or legal
person; :
15. Exporter means any person under the
jurisdiction of the State of export who
arranges for hazardous wastes or other
wastes to be exported;
16..Importer means any person under the
jurisdiction of the State of import who
arranges for hazardous wastes or other .
wastes to be imported;
17. Carrier, means any person who carries
out the transport of hazardous wastes or
other wastes;
18. Generator means any person whose
activity produces hazardous wastes or other
wastes or, if that person is not known, the
person who is in possession and/or control of
those wastes; . . '
19. Disposer means any person to whom
hazardous wastes or other wastes are
'shipped and who carries out the disposal of
such wastes.
20. Political and/or economic integration
- organization means any organization '
constitutes by sovereign States to which its
member States have transferred competence
in respect of matters governed by this
Convention and which has been duly
authorized, in accordance with its internal
procedures, to sign, ratify, accept, approve, ,
formally confirm or accede to it;
21. Illegal traffic means any transboundary
movement of hazardous wastes or other
wastes as specified in Article 9.
Articles /.-_ .:. .-"'.'
National Definitions of Hazardous Wastes .
1. Each Party shall, within six months of .
becoming a Party to this Convention, inform
the Secretariat of the .Convention of the
wastes, other than those listed in Annexes I
and II, considered or defined as hazardous
under its national legislation and of any
requirements concerning transboundary
movement procedures applicable to such .'.-
wastes.' " . t -:..'.-'
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. ,. /'. -':'
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Federal Register/Vol. 57, No. 93 / Wednesday, May 13, 1992 / Notices
(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 waste!), 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 thejcase
where that State of import has not prohibited
the import of such wastes.
2. Each Party shall take the appropriate
measures to;
{a) Ensure that the generation of hazardous
wastes and other wastes within it is reduced
to a minimum, taking into account social,
technological and economic aspects;
(bj Ensure the availability of adequate
disposal facilities, for the environmentally
sound management of hazardous wastes and
other waster., that shall be located, to the
extent possible, within it, whatever the place
of their disposal;
It) 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 (he 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 agains't
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
Stales 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 bo decided on by the Parties at
their first meeting;
(f) Require that information about a
proposed Iransboundary movement of
hazardous wastes and other wastes be
provided to the States concerned, according
to Annex V A. to stale clearly the effects of
the proposed movement on human health and
tho environment;
(g) Prevent the import of hazardous wastes
and other wastes if it has reason to believe
that the wastes in question will not be
managed in tin environmentally sound
mimnen
(h) Co-operate in activities with other
Parties and interested organizations, directly
and through the Secretariat, including the
dissemination of information on the
transboundary movement of hazardous
wastes and other wastes, in order to improve
the environmentally sound management of
such wastes and to achieve the prevention of
illegal traffic;
3. The Parlies consider that illegal traffic in
hazardous wastes or other wastes is criminal.
4, Each Party shall take appropriate legal,
administrative and other measures to
implement and enforce the provisions of this
Convention, including measures to prevent
and punish conduct in contravention of the
Convention.
5. A Party shall not permit hazardous
wastes or other wastes to be exported to a
non-Party or to be imported from a non-Party.
6. The Parties agree not to allow the export
of hazardous wastes or other wastes for
disposal within the area south of 60* South
latitude, whether or not such wastes are
subject to transboundary movement.
7. Furthermore, each Party shall: (a)
Prohibit all persons under its national
jurisdiction from transporting or disposing of
hazardous wastes or other wastes unless
such persons are authorized or allowed to
perform such types of operations;
(b) Require that hazardous wastes and
other wastes that are to be the subject of a
transboundary movement be packaged,
labelled, and transported in conformity with
generally accepted and recognized
international rules and standards in the field
of packaging, labelling, and transport, and
that due account is taken of relevant.
internationally recognized practices;
(c) Require that hazardous wastes and
other wastes be accompanied by a movement
document from the point at which a
transboundary movement commences to the
point of disposal.
8. Each Party shall require that hazardous
wastes or other wastes, to be exported, are
managed in an environmentally sound
manner in the State of import or elsewhere.
Technical guidelines for the environmentally
sound management of wastes subject to this
Convention shall be decided by the Parties at
their first meeting. .. . . . . ..
9. Parties shall take the appropriate
measures to ensure that the transboundary
movement of hazardous wastes and other
wastes only be allowed if;
(a) The State of export does not have the
technical capacity and the necessary
facilities, capacity or suitable disposal sites
in order to dispose of the wastes in question
in an environmentally sound and efficient
manner; or
(b) The wastes in question are required as
a raw material for recycling or recovery
industries in the State of import; or
(c) The transboundary movement in
question is in accordance with other criteria
to be decided by the Parties, provided those
criteria do not differ from the objectives of
this Convention.
10. The obligation under this Convention of
States in which hazardous wastes and other
wastes are generated to require that those
wastes are managed in an environmentally
sound manner may not under any
circumstances be transferred to the States of
import or transit.
11. Nothing in this Convention shall
prevent a Party from imposing additional
requirements that are consistent with the
provisions of this Convention, and are in
accordance with the rules of international
law, in order better to protect human health
and the environment.
12. Nothing in this Convention shall affect
in any way the sovereignty of States over
their territorial sea established in accordance
with international law, and the sovereign
rights and the jurisdiction which States have
in their exclusive economic zones and their
continental shelves in accordance with
international law, and the exercise by ships
and aircraft of all States of navigational
rights, and freedoms as provided for in
international law and as reflected in relevant
international instruments.
13. Parties shall undertake to review
periodically the possibilities for the reduction
of the amount and/or the pollution potential
of hazardous wastes and other wastes which
are exported to other States, in particular to
developing countries*
Article 5
Designation of Competent Authorities and
Focal Point
To facilitate the implementation of this
Convention, the Parties shall:
1. Designate or establish one or more
competent authorities and one focal point.
One competent authority shall be designated
to receive the notification in case,of a,State
of transit.
2. Inform the Secretariat, within three
months of the dpte of the entry into force of
this Convention for them, which agencies
they have designated as their focal point and
their competent authorities.
3. Inform the Secretariat, within one month
of the date of decision, of any changes
regarding the designation made by them
under paragraph 2 above.
Article 6 .
Transboundary Moverfient between Parties
" 1. The State of export shall notify, or shall
require the generator or exporter to notify, in
writing, through the channel of the competent
authority of the State of export, the
competent authority of the States concerned
of any proposed transboundary movement pf
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 s_ent to the competent authorities of the
States concerned which are Parties.'
3. The State of export shall not allow the
generator or exporter to commence the
transboundary movement until it has ,
received written confirmation that:
(a) The notifier has received the written
consent of the State of import; and
' (b) The notifier has received from the State
of import confirmation of the existence of a
contract between the exporter and the
disposer specifying environmentally sound
management of the wastes in question.
4. Each State of transit which is a Party
shall promptly acknowledge to the notifier
receipt of the notification. It may
subsequently respond to the notifier in
writing, within 60 days, consenting to the
movement with or without conditions.
-------
7 Nonces:
denying permission for the movemenUor
requesting additional information. The State
0 of export shall not allow the transboundary
movement to commence until it has received
the written qonsent of the State of transit.
However, if at any time a Party decides not
to require prior written consent, either
generally_orunder specific,conditi6ns, 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 the
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 the 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 exactquantities 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 trarisboundary
movement ofhazardous 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 diia course, of the
completion of disposal as specified in the
notification. If no such information is -
received within the State of export, the ,
competent authority of the State of export.or
the exporter shall so notify the State of
import. ...... ' , ,
10. The notification and response required
by this Article shall be transmitted to the
competent authority of the Parties concerned
or to such governmental authority as may be
appropriate in the case of 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? "
Parly. - ' . : . , -...
Article 7
Transboundary Movement frorp a Party
through States which are not Parties
' Paragraph 2 of Article 6 of the Convention
shall apply mutatis mutandis to -'""-
transboundary movement of hazardous
wastes or other wastes from a party through
a State or States which are not Parties,
. .Articles -;,: '" ;..' .-... -
Duty to Re-import ' - ' . . '
When a transboundary movement of
hazardous wastes or other wastes to which
the consent of the States concerned has been
given, subject to the provisions o£ this
Convention, cannot be completed in
accordance with the terms of the contract^
the State of export shall ensure that the "
wastes in question are taken back into the
State of export, hy the exporter, if alternative
arrangements cannot be made .for their
disposal in an environmentally sound
manner, vvithin 90 days from the time that the
importing State informed the State of export
and the Secretariat, or such other period of
time as the States concerned agree. To this
end, the State of export and any Party of
transit shall not oppose, hinder or prevent the
return of those wastes to the State of export. ',
Article 9 :
Illegal Traffic - ; :: . . , .' :
1. For the purpose of this;C6nvention, any
transboundary movement of hazardous ..
wastes or other wastes: "*-'''
(a) Without notification pursuant to the
provisions of this Convention to all States
concerned;.or ' :
, (bj Without the consent pursuant to' the
provisions of this Convention of a State" : '
concerned; or '. :
{c) With consent obtained from States .
concerned through: falsification,
misrepresentation or fraud; or ,'"-
(d),- that does not conform in a material way
with the documents; or
(e) that results in deliberate disposal (e.g.
dumping) of hazardous, wastes or other. :
wastes in contravention of this Convention
and of general principles of international law,.
.shall be deemed to be illegal traffic.
2. In case of a transboundary movement of
hazardous wastes or other wastes deemed to
be illegal traffic as:the result of conduct on
the part of the exporter or generator, the
State of export shall ensure that the Wastes, in.
questipn;are; . ; ..... '
[a] taken back by the exporter or the <
generator or, if necessary,,by,itself into the
State of export, or, if impracticable,
(b) are otherwise disposed of in
accordance with the provisions of this
Convention, , -.-'.' .
within 30 days from the time the State of-
export has been informed about the illegal
traffic or such other period of time as States
concerned may agree. To this end the Parties
concerned shall not oppose, hinder or prevent
the return of those wastes to the State of -
export.- : --. '' '.' --"- ,: -
3. In the case of a-transboundary ','
movement of hazardous wastes or other
. wastes deemed to be illegal traffic as the
, result of conduct on the part of the importer
or disposer, the State of import shall ensure
that the wastes in question are disposedof in
an environmentally sound manner by the
importer or disposer or, if necessary, by itself
within 90' days from the time the illegal traffic
has come to. the attention of the State of
import or such other period of time as the
States concerned may agree. To this end, the
parties concerned shall co-operate, as , -
necessary, in the disposal of the wastes in an
environmentally sound manner.., -.,'.-.-
4. In case 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 othei
parties, as appropriate, shall ensure, through
co-operation, that the wastes in question are
disposed of as soon as possible in-an
environmentally sound manner either in the
State of export or the State of import or
elsewhere as appropriate.
5. Each Party shall introduce appropriate
national/domestic legislation to prevent and
punish illegal traffic. The parties shall co-
operate with a view to achieving the objects'
of this Article. '.."' "''.-." ". '
Article 10 ;
International Co-operation '
1, The Parties shall co-operate with eacri
other in order to improve and achieve
environmentally sound management of
hazardous wastes and other wastes.
2. To this end,: the Parties shall:'
(a) Upon request, make available
information, whether on a bilateralpr
multilateral basis, with a view to promoting
the environmentally sound management of :
hazardous wastes and other wastes, ,
including harmonization-of technical -
standards andjpractices .for the adequate '
management of hazardous wastes and other
wastes;..-...' . ... . , . -.'"''
[b) Co-operate in monitoring the effects of
the management of hazardbus wastes on -
human health and the environment;
(c) Co-operate,, subject to their national
laws, regulations and.policies, in the
development and implementation of new
-environmentally sound low-waste
. technologies and the improvement of existing
technologies with a view" to eliminating, as
far as practicable, the, generation of . , . -
hazardous wastes and other wastes and
achieving more effective and efficient
methods of ensuring their management in an
environmentally sound manner,,includirig the '
study of the economic-, social and -::' .:
environmental effects of the 'adoption of such,. -
new or improved technologies; / .
. fd) Co-operate.actively, subject to thejr
national laws, regulations and policies, in the
; transfer of technology and management
systema related to the environmentally sound
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Federal Register / Vol. 57, No. 93 /
management of hazardous wastes and other
wastes. They shall also co-operate in
developing the technical capacity among
Parlies, especially those which may need and
request technical assistance in this field;
(e) Co-operalo in developing appropriate
technical guidelines and/or codes of practice.
3. The Parties shall employ appropriate
means to co-operate in order to assist
developing countries in the implementation of
subparagraphs a, b, c, and d of paragraph 2 of
Article 4.
4. Taking into account the needs of
developing countries, co-operation between
Parlies and the competent international
organizations is encouraged to promote, inter
alia, public awareness, the development of
sound management of hazardous wastes and
other wastes and the adoption of new low-
waste technologies.
Article 11
Bilateral, Multilateral and Regional
Agreements
1, Notwithstanding the provisions of
Article 4 paragraph 5, Parties may enter into
bilateral, multilateral, or regional agreements
or arrangements regarding transboundary
movement of hazardous wastes or other
wastes with Parties or non-Parties provided
that such agreements or arrangements do not
derogate from the environmentally sound
management of hazardous wastes and other
wastes as required by this Convention. These
agreements or arrangements shall stipulate
provisions which are not less
environmentally sound than those provided
for by this Convention in particular taking
into account the interests of developing
countries.
2, Parties shall notify the Secretariat of any
bilateral, multilateral or regional agreements
or arrangements referred to in paragraph 1
and those which they have entered into prior
to the entry into force of this Convention for
them, for the purpose of controlling
transboundary movements of hazardous
wastes and other wastes which take place
entirely among the Parties to such
agreements. The provisions of this
Convention shall not affect transboundary
movements which take place pursuant to
such agreements provided Shat 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
\, The Parties shall, whenever it comes to
their knowledge, ensure that, in the case of
an accident occurring during the
transboHndary movement of hazardous
v, allies 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:
(a) Changes regarding the designation of
competent authorities and/or focal points,
pursuant to Article 5;
(b) Changes in their national definition of
hazardous wastes, pursuant to Article 3;
and, as soon as possible,
(c) Decisions made by them not to consent
totally or partially to the import of hazardous
wastes or other wastes for disposal within
the area under their national jurisdiction;
(d) Decisions taken by them to limit or ban
the export of hazardous wastes or other
wastes;
(e) Any other information required
pursuant to paragraph 4 of this Article.
3. The Parties, consistent with national
laws and regulations, shall transmit, through
the Secretariat, to the Conference of the
Parties established under Article 15, before
the end of each calendar year, a report on the
previous calendar year, containing the
following information:
(a) Competent authorities and focal points
that have been designated by them pursuant
to Article 5;
: (b) Information regarding transboundary
movements of hazardous wastes or other
wastes in which they have been involved,
including:
(i) The amount of hazardous wastes, and
other wastes exported, their category
characteristics, destination, any transit
country and disposal method as stated on the
response to notification;
(ii) The amount of hazardous wastes and
other wastes imported, their category,
characteristics, origin, and disposal methods;
(iii) Disposals which did not proceed as
intended;
(iv) Efforts to achieve a reduction of the
amount of hazardous wastes or other wastes
subject to transboundary movement;
(c) Information on the measures adopted by
them in implementation of this Convention;
(d) Information on available qualified
statistics which have been compiled by them
on the effects on human health and the
environment of the generation, transportation
and disposal of hazardous wastes or other
wastes;
(e) Information concerning bilateral,
multilateral and regional agreements and
arrangements entered into pursuant to Article
11 of this Convention;
(f) Information on accidents occurring
during the transboundary movement and
disposal of hazardous wastes and other
wastes and on the measures undertaken to
deal with them;
(g) Information on disposal options
operated within the area of their national
jurisdiction;
(h) Information on measures undertaken for
development of technologies for the reduction
and/or elimination of production of
hazardous wastes and other wastes; and
(i) Such other matters as the Conference of
the Parties shall deem relevant. :
4. The Parties, consistent with national
laws and regulations, shall ensure that copies
of each notification concerning any given
transboundary mpvement 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
Conference of the Parties _
1. A Conference of the Parties is hereby
established. The first meeting of the
Conference of the Parties shall be convened
by the Executive Director of UNEP not later
than one year after the entry into force of this
Convention. Thereafter, ordinary meetings of
the Conference of the Parties shall be held at
regular intervals to be determined by the
Conference at its first meeting.
2. Extraordinary meetings of the
Conference of the Parties shall be held at
such other times as may be deemed
necessary by the Conference, or at the
written request of any Party, provided that,
within six months of the request being
communicated to them.by the Secretariat, it
is supported by at least one third of the
Parties. '
3. The Conference of the Parties shall by
consensus agree upon and adopt rules of
procedure for itself and for any subsidiary
body it may establish, as well as financial
rules to determine in particular the financial
participation of the Parties under this
Convention. ,
4. The Parties at their first meeting shall
consider any additional measures needed to
assist them in fulfilling their responsibilities
with respect to the protection and the
preservation of the marine environment in
the context of this Convention.
5. The Conference of the Parties shall keep
under continuous review and evaluation the
effective implementation of this Convention,
and, in addition, shall:
(a) Promote the harmonization of
appropriate policies, strategies and measures
for minimizing harm to human health and the
environment by hazardous wastes and other
wastes;
(b) Consider and adopt, as required,
amendments to this Convention and its
annexes, taking into consideration,.inter alia,
available scientific, technical, economic and
environmental information;
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. 57, No;,93 / Wednesday, May 13, 1992 /Notices
. i (c) Consider and undertake any additional
action that may be required for the'
achievement of the purposes of this - . - .
Conventioni in the light of experience gained
in its operation and .in-the operation of the :
agreements and arrangements envisaged in
Article 11; . ."'.."<
(d) Consider and adopt protocols as
required; and "..'.- , " . . . ,
(e) Establish such subsidiary bodies as are
deemed necessary for the implementation of
this Convention.
6. The United Nations, its specialized
agencies, as well as any State not party to
this Convention, may be represented as
observers at meetings of the-Conference of
the Parties. Any other,body or agency,
whether national or international,
governmental or non-governmental,, qualified
in fields relating to hazardous wastes or.,othei
wastes which has informed the Secretariat of
its wish to be represented as an observer at a ,
meeting of the Conference of the Parties, ma>.
-bff admitted imless-at least one third of the
Parties .present object. The admission and ;
participatibn 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 transbouridary movements; of; ''-'
hazardous wastes.andother wastes In light of
the latest scientific, environmental, technical
and economic information. . . . -"
Article 16 -..' ; . . -
Secretariat ' _'-'. : . ,
1. The functions of the Secretariat shall be;
(a) To arrange for and service meetings
provided for'in. Articles 15 .and 17;
(b) To prepare and transmit reports based
. upon information received in accordance
with Articles 3, 4, 8,11 and 13 as well as upon
information 'derived from meetings of ; .
subsidiary bodies established under Article
15 as well'as upon, as appropriate,
information provided by relevant .
intergovernmental and non-go verhmenta)
entities; .
(c) To prepare reports on its activities
carried out in implementation of its functions
under this Convention and present them .to
the Conference of the Parties;
(d) To ensurelhe necessary coordination
with relevant international bodies, and in
particular to enter into such administrative
and contractual arrangements as may be
required for the effective discharge of its
functions; -,1':'-.-.'." . r .
(e) To communicate with focal points and
competent authorities established by the
Parties in accordance with Article 5 of this
Convention; , ;
(f) To compile information concerning
authorized national sites .and facilities of
Parties available for the .disposal of, their
hazardous wastes and other wastes and to
circulate this information, among Parties;
(g):To receive and.convey .information.from
and .to Parties,on; , --., . - .,,,
sources of technical assistance and ... :
. training; . ' " ...-;: ,. .
available, technical and scientific know-
how; -.'."-'.-''.'..''
sources of advice and expertise; and
availability of resources ' -
with a view to. assisting them; upon request,
in such areas',as: ~
the handling of the'notification system of
this Convention; .. ;...,.'
the management of hazardous wastes and
other wastes; '.:. . .-.' - . ;
^environmentally sound technologies :
relating to hazardous wastes and other
wastes, such as low1 and non-waste' .
. technology; ' .
the assessment of disposal capabilities and
. 'sites; ''''' " "' ', " "'' " ",- "
the monitoring of hazardous wastes and
other wastes; and . ' "
emergency responses; "
'(h) To provide Parties, upon request,.with
information on consultants or consulting
-firms having the necessary technical
competence in the field, which can assist : .
them to "examine'a'notification fora .
transboundary movement, the concurrence of
a shipment of hazardous wastes or other
.wastes with the relevant notification, and/or
the fact that the proposed disposal facilities
for hazardous wastes or other wastes are.
environmentally sound, when they have
reason to believe that the wastes in question
will not be managed in an environmentally
sound manner.. Any such examination would
not be at the expense of the Secretariat;
(i) To assist Parties upoii 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; - .
' (jjTo 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; arid
(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 firstmeeting of the
Conference _of the Parties held pursuant to
Article 15.- . .."'.- ' ' . - ;'
3; At its first meeting, the Conference of the
Parties shall designate the Secretariat from
amprig 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. "-'' ,' '. '-
,Articlel7-' . ' . : -['.: -.'.."-.
Amendment of the Convention ,
1. Any Party may propose amendments to
this Convention and'.any Party to a protocol
may propose amendments, to that protocol-
Such amendments shall take due account,
JnteralJa, of relevant scientific apd technigal
.considerations. ,,j-: -,. -'.,-.-., .'..,,',-
.2. Amendments to this Convention shall be
adopted at a meeting of the Conference of the
Parties. Amendments to any protocol shall be
adopted at a meeting of the Parties to the
protocol in question. The text of any :
proposed amendment to this Convention or to
any protocol, except as may otherwise be
provided in such protocol, shall be "'....
communicated,to the Parties by the
Secretariat at least six months before the '..
meeting at which if is proposed for adoption.
The Secretariat shall also communicate
proposed amendments to the Signatories to;
this Convention for information. ;
3. The Parties shall make every effort to
reach agreement oh any proposed .
amendment to this Convention by consensus.
If all efforts at consensus have been
exhausted, and no agreement reached, the
amehdrnent shall as a last resort_be adopted _
by a three-fourths majority vote of.the Parties
present and .voting at the meeting, and shall
be submitted by the Depository to all Parties
for ratification, approval, formal confirmstion .
or acceptance. ' -...':- .^..-,..-.. , , ,,,, , -.,.'.
4. The procedure mentioned in paragraph 3
above shall apply to amendments to any
protocol, except that a two-thirds majority of
the Parties to that protocol present and voting
.'at the meeting shall suffice for their adoption.
"5. Instruments of ratification, approval,
formal confirmation or acceptance of
amendments shall be deposited with.>the
Depository. Airiendments adopted in .
accordance with paragraphs 3 or 4 above >'-"' ,
shall enter into force between Parties having
accepted them on the ninetieth day after the
receipt by "the Depository of their instrument
of ratification, approval, formal confirmation, '.
or acceptance by at least three-fourths of the
Parties who accepted the amendments to the
protocol concerned.-except as may otherwise
be provided in such protocol. The
amendments shall enter into force for any
other Party on the ninetieth day after that '
Party deposits its instrument of ratification,
approval, formal confirmation or acceptance
of the amendments. *
6. For the purpose of this Article, Parties
present and voting means Parties present and
casting an affirmative or negative vote. "
Article 18 _
Adoption and Amendment of Annexes
1. The annexes of 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 saine 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 of of
annexes-to a protocol:
(a) Anriexes to this Convention and its
. protocols shall be proposed and adopted
according to thp procedure laid down in
Article 17, paragraphs 2, 3, antl.4; ,,-
(b) Any Party that is unable to accept an
additional annex to this Convention or an
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Federal Register / Vol. 57, No. 93 / Wednesday. May 13, 1992 / Notices
nnncx to any protocol to which it is party
shall so notify the Depository, in writing,
wilhin six months from the date of the
communication of the adoption by the
Depository. The Depository 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
(cj On the expiry of six months from the
date of the circulation of the communication
by (he Depository, 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.
4. If an additional annex or an amendment
to an annex involves an amendment to this
Convention or to any protocol, the additional
annex or amended annex shall not enter into
force until such time as the amendment to
this Convention or to the protocol enters into
force.
Article 19
Verification
Any Parly which has reason to believe that
another Party is acting or has acted in breach
of its obligations under this Convention may
inform the Secretariat thereof, and in such an
event, shall simultaneously and immediately
inform, directly or through the Secretariat, the
Party against whom the allegations are made.
All relevant information should be submitted
by the Secretariat to the Parties.
Articlo 20
Settlement of Disputes
1. In case of a dispute between Parties as
to the Interpretation or application of, or
compliance with, this Convention or any
protocol thereto, they shall seek a settlement
of the dispute through negotiation or any
other peaceful means of their own choice.
2, If the Parlies concerned cannot settle
their dispute through means mentioned in the
preceding paragraph, the dispute, if the
parlies 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 lo 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.
3. When ra tifying. accepting, approving,
formally confirming or acceding to this
Convention, or at any time thereafter,-a State
or political and/or economic integration
organization may declare that it recognizes
as compulsory ipso facto and without special
agreement, in relation to any Party accepting
the same obligation:
(a) submission of the dispute to the
International Court of Justice; and/or
(b) arbitration in accordance with the
procedures set out in Annex VI.
Such declaration shall be notified in
writing to the Secretariat which shall
communicate it to the Parties.
Article 21
Signature
This Convention shall be open for signature
by States, by Namibia, represented by the
United Nations Council for Namibia, and by
political and/or economic integration
organizations in Basel on 22 March 1989, at
the Federal Department of Foreign Affairs of
Switzerland in Berne from 23 March 1989 to
30 June 1989, and an United Nations
Headquarters in New York from 1 July 1989 to
22 March 1990.
Article 22
Ratification, Acceptance, Forma!
Confirmation or Approval
1. This Convention shall be subject to
ratification, acceptance or approval by States
and by Namibia, represented by the United ,
Nations Council for Namibia, and to formal
confirmation or approval by political and/or
economic integration organizations.
Instruments of ratification, acceptance,
formal confirmation, or approval shall be
deposited with the Depositary.
2. Any organization referred to in _
paragraph 1 above which becomes a Party to
this Convention without any of its member
States being a Party shall be bound by all the
obligations under the Convention. In the case
of such organizations, one or more of whose
.member States is a Party to the Convention,
the organization and its member States shall
decide on their respective responsibilities for
the performance of their obligations under the
Convention. In such cases, the organization
and the member States shall not be entitled
to exercise rights under the Convention
concurrently;
3. In their instruments of formal
confirmation or approval, the organizations
referred to in paragraph 1 above shall declare
the extent of their competence with respect to
the matters governed by the Convention.
These organizations shall also inform the
Depositary, who will inform the Parties of
any substantial modification in the extent of
their competence.
Article 23
Accession
1. This Convention shall be open for
accession by States, by Namibia, represented
by the United Nations Council for Namibia,
and by political and/or economic integration
organizations from the day after the date on
which the Convention is closed for signature.
The instruments of accession shall be
deposited with the Depositary.
2. In their instruments of accession, the
organizations referred to in paragraph 1
above shall declare the extent of their
competence with respect to the matters
governed by the Convention. These
organizations shall also inform the
Depositary of any substantial modification in
the extent of their competence.
3. The provisions of Article 22, paragraph 2.
shall apply to political and/or economic
integration organizations which accede to
this Convention.
Article 24
Right to Vote .
1. Except as provided for in paragraph 2
below, each Contracting Party to this
Convention shall have one vote.
2. Political and/or economic integration
organizations, in matters within their
competence, in accordance with Article 22,
paragraph 3, and Article 33, 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 in their member States exercise theirs,
and vice versa.
Article 25
Entry into Force
1. This Convention shall enter into force on
the ninetieth day after the date of deposit of
the twentieth instrument of ratification,
acceptance, formal confirmation, approval or
accession.
2. For each State or political and/or
economic integration organization which
ratifies, accepts, ^approves or formally
confirms this Convention or accedes thereto
after the date of the deposit of thelwentieth
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 ot
accession.
3. For the purposes of paragraphs 1 and 2
above, any instrument deposited by a
political and/or economic integration
organization shall not be counted as
additional to those deposited by member
States of such organization. . .- . .
Article 26
Reservations and Declarations
1. No reservation or exception may be
made to this Convention.
2. Paragraph 1 of this Article does not
preclude a State or political and/or economic
integration organizations, 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
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/Wednesday, May 13, 1992 ,/ -Notices
;20S13
withdraw from the Gon.ventioh.;by giving .
writtenfnbtificatiori 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, '-.-"'. . "" - ' ,
Articled '' :.;...". " - .
Depository: - ''...' .-' :..:. . '.'. .-...; . ', .
The Secretary-General of the United
Nations shall be Ihe Depository of this :.
Conventidn and of any protocol thereto. '
Article29
Authentic Texts - ' -.
' The original Arabic, Chinese, English,
French, Russian and Spanish texts of this '
Convention are equally authentic.,
In Witness Whereof the undersigned, being
duly authorized to that' effect, have signed';
this Convention. .
Done at _ "- ,on the .-..',
day nf ' .-.''',-.:: .. ,'-. ::-,' ".'-.I
Annex I '.-..''.'. '':,V '.'-* -
Categories of Wastes to be Controlled -
Waste Streams ' '- - . '. ,.
Yl Clinical wastes from medical care in
hospitals, medical centers and clinics "
Y2 Wastes from the production and
preparation of pharmaceutical products
Y3 Waste pharmaceuBeals, 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 '
JY6 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 ''. -'.'; -*>-.' ., ,
YlO Waste substances and articles
containing or contaminated with
polychlorinated biphenyls (PCBs) and/or
polychlorinated terphenyls :(PCTs) and/or: .
polybrominated biphenyls (PBBs)
Yll 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 :
new and whose effects on man and/or tne
environment-are not known v'
YlS Wastes of an explosive nature not
subject to 'other legislation"";-" .
Y16 Wastes from prbauction, formulation
and use.of photographic chemicals and '
processiftgtnateriais . ;..'",
Y17 Wastes resulting from Surface
treatment of metals' and plastics
Y18 Residues arising from industrial waste
disposal operations.-.-..
Wastes Having as Constituents. .
YW '..Metal carbqnyla.". / '
Y20 Beryllium; beryllium compounds
Y21 .Hexavalent chromium .compounds
Y22 Copper compounds . . . .
Y23. -Zinc compounds ' " ' .-: -
Y24 Arsenic; arsenic compounds '
Y25 Selenium; selenium compounds
Y26 Cadmium; cadmium compounds
Y27 Antimony; antimony compounds
Y28 Tellurium; tellurium compounds
Y29 Mercury; mercury compounds
Y3Q ThaUium; thallium compounds
Y31 Lead; lead compounds ' . "
Y32 Inorganic fluorine compounds ".'.'
excluding calcium fluoride
Y33 Inorganic cyanides
Y34 Acidic solutions ot acids in solid form
Y35 Basicsolutions or bases in sold,form
Y3& Asbestos (dust and fibres) .
Y37 Organic phosphorous' compounds
Y38; Organic cyanides : '.;-. ;
Y39 Phenols;-phenol compounds including
chlorophenols .'.-' " ' .' .
YJO; Ethers : : '- ' ';.'-. :, "'.'
Y41 Halpgenated organic solvents
Y42 Organic.solvents excluding
halogenated solvents -
Y43; Any congenoriof poly chlorinated
.dibenzo-ruran
Y44 Any cohgenor of polychlorinated
dibenzo-p-dioxin . '
Y45 Organohalogen compounds other than
substances referred to in this Annex (e.g.,
Y39, Y4I, Y42, Y43, Y4'4). ; '
AnnexII . ..'- -. :': , \ :
Categories of Wastes Requiring Special
Consideration ;...' '
Y46 Wastes collected from households
Y47 'Residues arising from the incineration
of .household wastes- '.--.'
Annex Iff. '".-. , ' '.
List of Hazardous Characterfstics' -: :
UN
class \
4.1
4.2
4.3
Code/characteristics
Hi, Explosive " .- '.'.".. ' ';'
.'. An exjjlosive substance .or
.-"..'. waste is a solid or liquid siib-
stahce or waste (or mixture
of substances or wastes)
, which is in itself capable by
chemical reaction ,of produc-
ing gas at such,a temperature
--.- and pressure and at such a
".". speed as to cause damage to
' the surroundings. .
H3 Flammable liquids
The word "flammable" has the
same meaning as "inflamma-
: ; ble". Flammable .liquids are
liquids, or mixtures of liquids,
, i or liquids .containing .solids iix
solutionn or.' suspension (for
example, paints, varnishes,
lacquers, etc.', but not includ-
.... ing substances or wastes oth-
-.; erwise classified' on accoiint
of their dangerous .characjer-
, istics) which' give off a flam-
mable vapor at temperatures
-y of not more than 6b.5°C,
closed-cup test, or not more
than 65.6°C, open-cup test
(Since the results of open-cup
tests and of elosed-.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 dif-
. ferences would be within the
spirit -of this definition.).
H4.1 Flammable solids
Solids, or waste solids, other
than those classed as explo-
sives,;'which under conditions
encountered in transport are
readily combustible, or may
cause or contribute .to fire
through friction.
H4.2 Substa'nce's or v/astes liable
t6 spontaneous combustion
; Substances or wastes which are.
: liable to spontaneous heating
under normal conditions enr
countered in transport, or to
heating Aip on contact with
air, and being then liable to
catch fire. .
'Substances or wastes which,
in contact with water emit flam-
mablegases
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Federal Register / Vol. 57, No. 93 ./ Wednesday, May 13, 1992 / Notices
UN
clasi'
5.1
5.2
0.1
6,2
Code characteristics
Substances or wastes which, by
Interaction with water, are
liable to become spontane-
ously flammable or to give off
flammable gases in dangerous
quantities.
H5.1 Oxidizing
Substances or wastes which,
while in themselves not nec-
essarily combustible, may,
generally by yielding oxygen
cause, or contribute to, the
combustion of other materi-
als.
H5.2 Organic Peroxides
Organic substances or wastes
which contain the bivalent-O-
O-structure are thermally un-
stable substances which may
undergo exothermic self-ac-
celerating decomposition.
HB.l Poisonous (Acute)
Substances or wastes liable
either to cause death or seri-
ous injury or to harm human
health if swallowed or in-
haled or by skin contact.
HO.2 Infectious substances
Substances or wastes contain-
ing viable micro organisms or
their toxin:! which are known
or suspected to cause disease
in animals or humans.
H8 Corrosives
Substances or wastes which, by
chemical action, will cause
severe damage when in con-
tact with living tissue, or, in
the case of leakage, will ma-
terially damage, or even de-
stroy, other goods or the
means of transport; they may
also cause other hazards.
H10 Liberation of toxic gases in
contact with air or water
Substances or wastes which, by
interaction with air or water,
are liable to give off toxic
gases in dangerous quantities.
Hit Toxic (Delayed or chronic)
Substances or wastes which, if
they are inhaled or ingested
or if they penetrate the skin,
may involve delayed or
chronic effects, including car-
cinogonicity.
H12 Ecotoxic
Substances or wastes which if
released present or may
present immediate or delayed
adverse impacts to the envi-
ronment by means of bioac-
cumulation and/or toxic ef-
fects upon biotic systems.
H13 Capable, by any means, after
disposal, of yielding another ma-
terial, e.g., leakage, which pos-
sesses any of the characteristics
listed above.
1 Corresponds to the hazard classification
system included in the United Nations Rec-
ommendations on the Transport of Danger-
ous Goods (ST/SG/AC.10/l/REV.5i United
Nations, New York, 1988).
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
A. Operations Which do not Lead to the
Possibility of Resource Recovery, Recycling,
Reclamation, Direct Re-use or Alternative
Uses
Section A encompasses all such disposal
operation which occur in practice.
Dl Deposit into or onto land, (e.g., landfill,
etc.)
D2 Land treatment, (e.g., biodegradation of
liquid or sludgy discards in soils, etc.)
D3 Deep injection, (e.g., injection of
pumpable discards into walls, salt domes
or naturally occurring repositories, etc.) ;
D4 Surface impoundment, (e.g., placement
of liquid or sludge discards into pits, ponds
or lagoons, etc.)
D5 Specially engineered landfill, (e.g.,
placement into lined discrete cells which
are capped and isolated from one another
and the environment, etc.)
D6 Release into a water body except seas/
oceans
D7 Release into seas/oceans including sea-
bed insertion
D8 Biological treatment not specified
elsewhere in this Annex which results in
final compounds or mixtures which are
discarded by means of any of the
operations in Section A
D9 Physico chemical treatment not specified
elsewhere in this Annex which results in
final compounds or mixtures which are
discarded by means of any of the
operations in Section A, (e.g., evaporation,
drying, calcination, neutralisation,
precipitation, etc.)
D10' Incineration on land
Dll Incineration at sea
D12 Permanent storage (e.g., emplacement
of containers in a mine, etc.)
D13 Blending or mixing prior to submission
to any of the operations in Section A.
D14 Repackaging prior to submission to any
of the operations in Section A
D15 Storage pending any of the operations
in Section A
B. Operations Which May Lead to Resource
Recovery, Recycling, Reclamation, Direct Re-
use or Alternative Uses
Section B encompasses all such operations
with respect to materials legally defined as or
considered to be hazardous wastes and
which otherwise would have been destined
for operations included in Section A.
Rl 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
RIO Land treatment resulting in benefit to
agriculture or ecological improvement
Rll Uses of residual materials obtained
from any of the operations numbered Rl-
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
Information To Be Provided on Notification
1. Reason for waste export. "
2. Exporter of the waste.1
3. Generator(s) of the waste and site of ;
generation.1
4. Disposer of the waste and actual site of
disposal.1
5. Intended carrier(s) of the waste or their
agents, if known.1 ,
6. Country of export of the waste
Competent authority.2
7. Expected countries of transit Competent
authority.2
8. Country of import of the waste
Competent authority.2
9. General or single notification.
10. Projected date(s) of shipment(s) and
period of time over which waste is to be
exported and proposed itinerary (including
point of entry and exit).3
11. Means of transport envisaged (road,
rail, sea, air, inland waters).
12. Information relating to insurance.4
13. Designation and physical description or
the waste including Y number and UN
number and its composition 5 and
information on any special handling
requirements including emergency provisions
in case of accidents.
14. Type of packaging envisaged (eg. bulk,
drummed, tanker).
15. Estimated quantity in weight/volume.6
18. Process by which the waste is
generated.7
17. For wastes listed in Annex I,
classifications from Annex II: hazardous
characteristic, N number, and UN class.
18. Method of disposal as per Annex III.
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
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13«'1992 / Notices
20615
in an environmentally sound manner in
accordance with the la,ws and regulations of
the country of import. .,
21. Information concerning the contract
between the exporter and .disposer.
Notes .: . ; , ,.".....,,. :
. ' Full name and address; telephone, telex ; .
. br'telefax number and the name, address,
telephone, telex, or telefax number of the !-'
person to be contacted.
2 Full name arid address, telephone, telex
or telefax number.
3 In the case of a general notification
covering several shipments, either the
expected .dates of-each shipment or, if this is
not known, the expected frequency of :the
shipments will be required.
4 Information to be provided On relevant
insurance requirements and how they are met
by exporter, carrier arid dispolser.
5 The nature and the concentration of the
most hazardous components, in terms of
toxicity and other dangers:presented by the :
waste both in handling and in relation to the
proposed disposal method.
6 In the case of a general notification
.covering several shipments, both the
estimated total quantity and the estimated
quantities for.each individual s'hipment will
be required. ' .
7 Insofar as this is necessary to assess the
hazard and determine the apprqpriaieness.of
the proposed disposal operation.
Annex V B
Information To Be Provided on the Movement
Document ...
1. Exporter of the waste.1
2. Generator(s) of the waste and site of
generation.' ,
3. Disposer of the waste and actual site:of"
disposal.1
4. Carrier(s) of the waste ' or his agent(s).
5. Subject of general or single notification.
6. The date the transboundary movement
started and date(s) and signature on receipt
by 'e'acti pefs'QH'whti takes charge: of the; :
waste.. . . ....
7. Means of transport (road, rail, inland
waterway, sea, air) including countries of
export, transit and import, also point of entry
and exit where these have been designated).
8. General description of the waste
(physical state, proper UN shipping name and
class, UN number, Y number and H number
as applicable). .. - . ...
- 9.. Information on special handling
requirements including emergency provision
in case of accidents.
10. Type and number of packages.
11. Quantity in weight/volume.
12. Declaration by the generator or
exporter that the information is correct.
13. Declaration by the generator or
exporter indicating no objection from the
competent authorities of all; States concerned
which are Parties.' -: .' . '
14. Certification by disposer of receipt at :
designated disposal facility and indication of
method of disposal and of the, approximate
date of disposal. ,.,, . ;
Notes. , ... ";'".-
The informatio'n required on the movement
document shall where possible be integrated
in.orie document with that required under
transport rules. Where-this is not possible the
information should cpmplement rather than
duplicate that required under the transport .-\
rules. The movement document shall carry
instructions as to who is to provide
information and fill-out any form.
1 Full name and address, telephone, telex
or telefax number and the name, address,
telephone, telex or telefax number of the
person to be contacted in case of emergency.
Annex VI ' . - - -
Arbitration . .
Article 1 ' .'"'-..,
Unless the agreement referred to in Article
20 of the Convention provides otherwise, the
arbitra.tion procedure shall be conducted in:
accordance with Articles 2 to 10 below.
Article 2 ; '
the claimant party .shall notify the '
Secretariat that the parties have agreed to
submit the dispute to arbitration pursuant to
paragraph 2 or paragraph 3 of Article 20 and
include, in particular, the Articles of the
Convention the interpretation or application
of which arejat issue. The Secretariat shall .
-forward'the information thus received to .all
Parties to the Convention. : '. .
Articles ; : ; , . . ..
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 notbeen 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. Aftersuch period, he shall inform the.,
Secretary-General of the United Nations, who
shall make this appointment within a further
; two months'period. -...-
Article 5 -,-- - "- . - .' ;
1. The.arbitral tribunal shall render its
decision in .accordance.with international law
arul in accordance with the provisions of the
.Convention.,. T ,.,, --.- .:
.'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. -. ' ..'. s -
Article7 .',. . ' "-. : " . /
The tribunal may hear and determine
counter-claims arising directly out of the
subject-matter of the dispute. 5 v
Article8 '. . ;
, Unless the .arbitral tribunal determines
otherwise because of the particular
circumstances of the case, the expenses of
the tribunal, including the remuneration of its
members, shall be borne by the parties to the
dispute'in equal shares. The, tribunal shall
keep a record of all its' expenses, and shall
furnish a final statement thereof to the
parties. , "
Article 9 ' . .- ',
;. Any Party that has an interest of a legal
-nature in the subject-matter of the dispute
Which maybe 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.
2. The award of the arbitral tribunal shall -
be aecornpanied by a statement of reasons. It
shall be1 final and binding upon the parties to
the dispute. ,
3. Any dispute which may arise between
the parties concerning the interpretation or
execution of the award may be submitted by
either party to the arbitral tribunal which'
made the award or, if the latter cannot be
seized thereof, to another tribunal constituted
for this purpose in the same manner as the
first. . ;...- . .
[FR Doc. 92-11113 Filed 5-12-92; 8:45 am]
BILLING CODE 6560-50-M
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