GUIDANCE MANUAL FOR THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF RECOVERABLE WASTES GUIDANCE MANUAL FOR THE IMPLEMENTATION OF COUNCIL DECISION C(2001)107/FINAL, AS AMENDED, ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF WASTES DESTINED FOR RECOVERY OPERATIONS ORGANISATION FOR ECONOMIC CO-OPERATION AND DEVELOPMENT ORGANISATION FOR ECONOMIC CO-OPERATION AND DEVELOPMENT The OECD is a unique forum where the governments of 30 democracies work together to address the economic, social and environmental challenges of globalisation. The OECD is also at the forefront of efforts to understand and to help governments respond to new developments and concerns, such as corporate governance, the information economy and the challenges of an ageing population. The Organisation provides a setting where governments can compare policy experiences, seek answers to common problems, identify good practice and work to co-ordinate domestic and international policies. The OECD member countries are: Australia, Austria, Belgium, Canada, the Czech Republic, Denmark, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Japan, Korea, Luxembourg, Mexico, the Netherlands, New Zealand, Norway, Poland, Portugal, the Slovak Republic, Spain, Sweden, Switzerland, Turkey, the United Kingdom and the United States. The Commission of the European Communities takes part in the work of the OECD. The OECD Publishing disseminates widely the results of the Organisation’s statistics gathering and research on economic, social and environmental issues, as well as the conventions, guidelines and standards agreed by its members. This document is published on the responsibility of the Secretary General of the OECD. Also available in French under the title: Manuel d'application pour le contrôle des mouvements transfrontières de déchets recyclables © OECD 2009 ______________________________________________________________________________ No reproduction, copy, transmission or translation of this publication may be made without written permission. Applications should be sent to OECD Publishing [email protected] or by fax 33 1 45 24 99 30. Permission to photocopy a portion of this work should be addressed to the Centre français d’exploitation du droit de copie (CFC), 20, rue des Grands-Augustins, 75006 Paris, France, fax 33 1 46 34 67 19, [email protected] or (for US only) to Copyright Clearance Center (CCC), 222 Rosewood Drive Danvers, MA 01923, USA, fax 1 978 646 8600, [email protected]. 2 Guidance Manual for the Control of Transboundary Movements of Recoverable Wastes FOREWORD The successive amendments of Council Decision C(2001)107/FINAL [C(2004)20; C(2005)141; and C(2008)156] on the control of transboundary movements of waste destined for recovery operations, which concern the lists of wastes, necessitate the update of the relevant Guidance Manual for the implementation of this Decision. This document is a revised version of the former Guidance Manual [ENV/EPOC/WGWPR(2001)6/FINAL]. It includes: Detailed explanations on how to implement the OECD Decision C(2001)107/FINAL, as amended; The Decision C(2001)107/FINAL (Annex A), including Appendices 3 and 4, and Appendix 8 which have been amended by C(2008)156; The updated consolidated lists of waste subject to the Green and Amber control procedures (Annexes B and C); Other relevant information to facilitate the implementation of the OECD Decision C(2001)107/FINAL, such as applicable international transport agreements and a sample contract; Queries of the interactive database aiming to facilitate the paperwork of all parties involved in transboundary movements of wastes by providing the necessary information to complete the forms for the notification and movement documents. The database includes the information required by the Decision C(2001)107/FINAL, as amended and some practical information for each OECD member country(http://www.oecd.org/environment/waste/database-transboundary-movements-of-wastes.xlsx). This Guidance Manual has been prepared by Soizick de Tilly, with advice from Tom Jones and Henrik Harjula. The OECD Secretariat is grateful to Michael Ernst and Andreas Jaron (Germany); Marco Buletti (Switzerland); Josée Lanctôt and Julie Croteau (Canada); Pascale Clochard and Laurence Matringe (France); and Donata Rugarabamu and Melissa Thomas (Secretariat of the Basel Convention), for their contributions to the revision of this Guidance Manual, in particular to the consolidated lists of wastes. Isabelle Fakih provided technical support and editing. Further information related to the work of the OECD on transboundary movements of wastes, as well as this Guidance Manual itself, can be found on Internet at: http://www.oecd.org/env/waste. This Manual is to be considered only as a supportive explanatory document to the OECD Council Decision C(2001)107/FINAL. It does not have any legal standing and does not, in any way, replace the Decision or any national legislation. In case of doubt on specific points in the Manual, please refer directly to the Decision, or contact national competent authorities. 3 Guidance Manual for the Control of Transboundary Movements of Recoverable Wastes TABLE OF CONTENTS FOREWORD ................................................................................................................................................... 3 GUIDANCE MANUAL FOR THE IMPLEMENTATION OF DECISION C(2001)107/FINAL, AS AMENDED, ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF WASTES DESTINED FOR RECOVERY OPERATIONS ................................................................................................................. 6 1. Introduction .......................................................................................................................................... 6 2. Background ........................................................................................................................................... 7 2.1 OECD Council Acts preceding the Basel Convention ................................................................ 7 2.2 Basel Convention ......................................................................................................................... 8 2.3 Harmonisation of the OECD Council Acts with the Basel Convention ...................................... 9 2.4 Status of OECD Decision C(2001)107/FINAL ......................................................................... 10 3. Scope of the OECD Decision C(2001)107/FINAL ............................................................................ 11 3.1 What is Waste? .......................................................................................................................... 11 3.2 Which Transboundary Movements are covered? ...................................................................... 11 3.3 OECD Waste Lists .................................................................................................................... 12 3.3.1 Wastes falling under Green and Amber Control Procedures (see Figure 1) ........................ 12 3.3.2 Contaminated Green-listed Waste ....................................................................................... 16 3.3.3 Wastes not appearing on OECD Waste Lists ..................................................................... 16 3.3.4 Procedure for amending the OECD Waste Lists (see Figure 2) ......................................... 17 4. Green control procedure ..................................................................................................................... 18 5. Amber control procedure .................................................................................................................... 19 5.1 Main Features of Case 1 and Case 2 Control Procedures (see Figure 3) ................................... 19 5.2 Contracts .................................................................................................................................... 21 5.3 Financial Guarantees ................................................................................................................. 22 5.4 Notification Procedure ............................................................................................................... 23 5.4.1 Purpose of the Notification Procedure ................................................................................. 23 5.4.2 Who has the Responsibility to notify? ................................................................................. 23 5.4.3 Notification Document ........................................................................................................ 24 5.4.4 Acknowledgement ............................................................................................................... 24 5.4.5 Consent or Objection by Competent Authorities ................................................................. 25 5.4.6 Conditions for consenting to a Transboundary Movement .................................................. 26 5.5 Tracking Procedure ................................................................................................................... 26 5.5.1 Movement Document .......................................................................................................... 26 5.5.2 Responsible Parties in the Circulation of the Movement Document .................................. 27 5.5.3 Certification of Receipt ........................................................................................................ 27 5.5.4 Certification