UNEP/CHW.7/18

/

BC

UNEP/CHW.7/18
/ Distr.: General
26 July 2004
Original: English

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UNEP/CHW.7/18

Conference of the Parties to the Basel Convention

on the Control of Transboundary Movements of

Hazardous Wastes and Their Disposal

Seventh meeting

Geneva, 25–29 October 2004

Item 6 of the provisional agenda[*]

Report on the implementation of the decisions adopted by

the Conference of the Parties at its sixth meeting

Harmonization of lists of wastes and related procedures

Note by the Secretariat

I. Introduction

1.  Reference is made to decision VI/37 (Work programme of the Open-ended Working Group) of the Conference of the Parties to the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal and to decision OEWGI/3 (Other issues in the work programme: arrangement of work) of the Open-ended Working Group.

2.  At its third session in April 2004, the Open-ended Working Group invited Parties and others to provide comments and suggestions to the Secretariat on the harmonization of the forms for the notification and movement document, preferably by 30 June 2004.

II. Implementation

3.  After the deadline of 30 June 2004, the Secretariat received comments from Canada, Colombia and Germany. These comments are contained in the annex to the present note.

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UNEP/CHW.7/18

III. Proposed action

4.  The Conference of the Parties may wish to adopt a decision along the following lines:

The Conference of the Parties,

Aware of the need for harmonization of the notification and movement document for the control of transboundary movements of hazardous wastes and other wastes under the Basel Convention, the Organization for Economic Cooperation and Development and the European Union,

  1. Agrees to adopt the revised forms for the notification and movement document for the control of transboundary movements of hazardous wastes and other wastes under the Basel Convention as annexed to the present decision;
  1. Requests the Parties and signatories to start using these new forms for the control of the transboundary movements of hazardous waste and other wastes as soon as possible;

3.  Also agrees to include in the work programme of the Open-ended Working Group for 2005–2006 consideration of the need to review and update the procedures for notification in the Basel Convention;

4.  Requests the Secretariat to prepare a paper on the improved compatibility among different international and regional systems governing the control of transboundary movements of hazardous wastes and other wastes and the modalities required to achieve such improvements.


Annex

Comments received from Parties

A. Canada

Canada believes that the harmonization of forms for the notification and movement documents is an important step to developing a harmonized approach between the Basel Convention and the OECD (UNEP/CHW/OEWG/3/INF/21).

Canada supports the adaptation of the forms used in the OECD Council decision C(2001)107/FINAL. We feel this would be appropriate since the information to be provided under notification under the Basel Convention is contained in the OECD forms, and the OECD forms will provide value added to the Basel Convention through the additional codes used under the OECD.

Please note that we also have comments on the actual form itself. However, it appears that this is not the appropriate time or forum to provide those comments. If so, please advise.

B. Colombia

Harmonization of the lists of wastes and related procedures (document UNEP/CHW/OEWG/3/20)

Background

At its first meeting, held in April 2003, the Open-ended Working Group adopted decision I/13, by which it invited countries to send comments to the Secretariat, by 30 November 2003, regarding the notification and movement documents mentioned in paragraphs 116 and 117 of the report of the nineteenth session of the Technical Working Group (UNEP/CHW/TWG/19/13). As at 31 December 2003, the Secretariat had only received comments from Germany regarding the development of globally harmonized forms for the notification and movement document, and regarding the possible amendment of the Convention’s notification procedure, should it prove necessary.

Comments of the Ministry

The Ministry of Environment, Housing and Land Development supports the initiative of Germany and considers it relevant to develop globally harmonized forms for the notification and movement documents, if there are countries that have experienced difficulties or setbacks in dealing with them, although this is not the case in Colombia. The proposed new forms should be officially circulated by the Secretariat in sufficient time for all countries to give their opinion on the matter.

On the other hand, with regard to the proposal of Germany that the procedures for the notification of the transboundary movements of hazardous wastes should be amended, giving shorter time periods for a competent authority to give its consent, the inclusion of exemptions for certain wastes in specified circumstances, etc., we recommend that the Secretariat should carry out a careful analysis as to whether it is worthwhile reviewing and updating these procedures, since this may result in changes to the Convention and may not be helpful to developing countries, which experience some institutional weaknesses in the implementation of the Convention.

With regard to the final proposal of Germany that, in cases of crisis or times of war, it should be possible to export specific types of hazardous waste generated by armed forces without a bilateral agreement, we consider this to be a very sensitive proposal, which should be discussed at a national level by all competent authorities, and in regard to which this Ministry’s initial reaction is that a country could find itself totally unprotected and vulnerable in the face of the introduction of hazardous wastes.

C. Germany

German comments on the forms for the notification document and the movement document

(related to item 13 (c) of the OEWG3 agenda and to doc. UNEP/CHW/OEWG/3/20)

In the view of the German delegation, the forms for the notification document and the movement document should be harmonized at the global level in order to reduce the administrative burden for industry and the competent authorities.

OECD undertook work to streamline and update the forms, which has resulted in the forms as contained in OECD decision C(2001)107/FINAL. In the course of the deliberations in the European Union on a European Union regulation on shipments of waste, a few amendments were made to address specificities related to different terminology.

The following changes to the forms as contained in OECD decision C(2001)107/FINAL are suggested which mainly address specificities related to different terminology in the European Union. The changes are marked in italics and are underlined.

Block 16a in the Movement Document is suggested to be inserted (cf. Block 23 of the current Basel form), because an importer other than the facility may take charge of the waste and because each person who takes charge of the waste shall sign the movement document pursuant to Art. 6.9 of the Basel Convention.

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1.  Notification Document for Transboundary Movements / Shipments of Waste

1. Exporter - Notifier Registration N°: / 3. Notification N°:
Name: / Notification concerning
Address: / A.(i) / Individual shipment: / c
(ii) / Multiple shipments: / c
Contact person: / B.(i) / Disposal (1): / c
Tel: / Fax: / (ii) / Recovery : / c
Email: / C. / Pre-consented recovery facility (2;3) / Yes / c / No / c
2. Importer - Consignee Registration N°: / 4. Total intended number of shipments:
Name: / 5. Total intended quantity (kg / litre) (4):
Address: / 6. Intended period of time for shipment(s) (4):
First departure: / Last departure:
Contact person: / 7. Packaging type(s) (5):
Tel: / Fax: / Special handling requirements (6): / Yes: / c / No: / c
Email: / 11. Disposal / recovery operation(s) (2)
8. Intended carrier(s) Registration N°: / D code / R code (5) :
Name(7): / Technology employed (6):
Address:
Contact person: / Reason for export (1;6):
Tel: / Fax:
Email: / 12. Designation and composition of the waste (6):
Means of transport (5):
9. Waste generator(s)/producer(s) (1;7;8) Registration N°:
Name:
Address:
13. Physical characteristics (5):
Contact person:
Tel: / Fax: / 14. Waste identification (fill in relevant codes)
Email: / (i) Basel Annex VIII (or IX if applicable):
Site & process of generation (6) / (ii) OECD code (if different from (i)):
(iii) EC list of wastes:
10. Disposal facility (2): / c / or Recovery facility (2): / c / (iv) National code in country of export:
Registration N°: / (v) National code in country of import:
Name: / (vi) Other (specify):
Address: / (vii) Y-code:
(viii) H-code (5):
Contact person: / (ix) UN class (5):
Tel: / Fax: / (x) UN Number:
Email: / (xi) UN Shipping name:
Actual site of disposal/recovery: / (xii) Customs code(s) (HS):
15. Countries/states concerned (a), code N° of competent authorities where applicable (b), specific points of exit or entry (c)
State of Export/Dispatch / State(s) of Transit (entry and exit) / State of Import/Destination
(a)
(b)
(c)
16.Customs offices of entry and/or exit and/or export (European Community):
Entry: / Exit: / Export:
17. Exporter’s - Notifier's / Generator’s/Producer's (1) declaration:
I certify that the information is complete and correct to my best knowledge. I also certify that legally-enforceable/binding written contractual obligations have been
entered into and that any applicable insurance or other financial guarantee is or shall be in force covering the transboundary movement. / 18. Number of
Exporter’s - Notifier's Name: / Signature: / Date: / annexes attached
Generator’s/Producer's Name: / Signature: / Date:
FOR USE BY COMPETENT AUTHORITIES
19. Acknowledgement from the relevant competent authority of
countries of import - destination / transit (1) / export - dispatch (9): / 20. Written consent (1;8) to the movement provided by the
competent authority of (country):
Country: / Consent given on:
Notification received on: / Consent valid from: / until:
Acknowledgement sent on: / Specific conditions: / No: / c / If Yes, see block 21 (6): / c
Name of competent authority: / Name of competent authority:
Stamp and/or signature: / Stamp and/or signature:
21. SPECIFIC CONDITIONS ON CONSENTING TO THE MOVEMENT OR REASONS FOR OBJECTING
(1) Required by the Basel Convention
(2) In case of R12/R13 or D13-D15 operation, also attach corresponding information
on the subsequent R1-R11 or D1-D12 facilit(y)ies when required.
(3) To be completed for movements within the OECD area and only if B(ii) applies.
(4) Attach detailed list if multiple shipments / (5) See list of abbreviations and codes on the next page
(6) Attach details if necessary
(7) Attach list if more than one
(8) If required by national legislation
(9) If applicable under the OECD Decision

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2.  List of Abbreviations and Codes Used in the Notification Document

DISPOSAL OPERATIONS (Block 11)
D1 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 wells, 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 list which results in final compounds or mixtures which are discarded by means of any of the operations in this list
D9 Physico-chemical treatment not specified elsewhere in this list which results in final compounds or mixtures which are discarded by means of any of the operations in this list (e.g., evaporation, drying, calcination, etc.)
D10 Incineration on land
D11 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 this list
D14 Repackaging prior to submission to any of the operations in this list
D15 Storage pending any of the operations numbered in this list
RECOVERY OPERATIONS (Block 11)
R1 Use as a fuel (other than in direct incineration) or other means to generate energy/Use principally as a fuel or other means to generate energy
R2 Solvent reclamation/regeneration
R3 Recycling/reclamation of organic substances which are not used as solvents
R4 Recycling/reclamation of metals and metal compounds
R5 Recycling/reclamation of other inorganic materials
R6 Regeneration of acids or bases
R7 Recovery of components used for pollution abatement
R8 Recovery of components from catalysts
R9 Used oil re-refining or other reuses of previously used oil
R10 Land treatment resulting in benefit to agriculture or ecological improvement
R11 Uses of residual materials obtained from any of the operations numbered R1-R10
R12 Exchange of wastes for submission to any of the operations numbered R1-R11
R13 Accumulation of material intended for any operation in this list.
PACKAGING TYPES (Block 7)
1.  Drum
2.  Wooden barrel
3.  Jerrican
4.  Box
5.  Bag
6.  Composite packaging
7.  Pressure receptacle
8.  Bulk
9.  Other (specify) / H CODE AND UN CLASS (Block 14)
UN H code Characteristics
Class
1 H1 Explosive
3 H3 Flammable liquids
4.1 H4.1 Flammable solids
4.2 H4.2 Substances or wastes liable to spontaneous combustion
4.3 H4.3 Substances or wastes which, in contact with water, emit flammable gases
5.1 H5.1 Oxidizing
5.2 H5.2 Organic peroxides
6.1 H6.1 Poisonous (acute)
6.2 H6.2 Infectious substances
8 H8 Corrosives
9 H10 Liberation of toxic gases in contact with air or water
9 H11 Toxic (delayed or chronic)
9 H12 Ecotoxic
9 H13 Capable, by any means, after disposal of yielding another material, e. g., leachate, which possesses any of the characteristics listed above
MEANS OF TRANSPORT (Block 8)
R = Road
T = Train/Rail
S = Sea
A = Air
W = Inland Waterways
PHYSICAL CHARACTERISTICS (Block 13)
1.  Powdery/powder
2.  Solid
3.  Viscous/paste
4.  Sludgy
5.  Liquid
6.  Gaseous
7.  Other (specify)

Further information, in particular related to waste identification (block 14), i.e. on Basel Annexes VIII and IX codes, OECD codes and Y codes, can be found in a Guidance/Instruction Manual available from OECD and the Secretariat of the Basel Convention.