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EP United Nations Environment Programme

UNITED NATIONS

Distr.

GENERAL

UNEP/CHW/TWG/18/12

18 May 2001

ENGLISH ONLY

TECHNICAL WORKING GROUP OF THE BASEL CONVENTION Eighteenth session Geneva, 18-20 June 2001 Item 10 of the provisional agenda∗

REVIEW OF THE DRAFT REVISED QUESTIONNAIRE ON “TRANSMISSION OF INFORMATION” WITH A PRE-FILLING

FEATURE FOR REPORTING FOR THE YEAR 2000 AND ONWARDS

Note by the secretariat

I. BACKGROUND 1. Further to Decision V/14 on the “Transmission of Information” adopted by the Conference of the Parties at its fifth meeting (Basel, December 1999) the Secretariat prepared a draft revised questionnaire on “Transmission of Information” and its Manual with assistance from the Government of Finland. The questionnaire and the Manual were presented to the 17 session of the Technical Working Group (Geneva, October 2000) whereby it was agreed that the revised questionnaire should be used by Parties to report from the year 1999 and onwards. Some Parties expressed the need for a pre-filled Part I of the questionnaire to facilitate its updating in subsequent reporting from the year 2000 and onwards.

II. IMPLEMENTATION 2. Taking into account the need expressed by Parties for a pre-filled Part I of the revised questionnaire, the Secretariat has prepared a draft questionnaire that would allow (a) the Secretariat to pre-fill the questionnaire on behalf of Parties; and (b) Parties to indicate whether the information provided by them in the previous year needs updating or not and provision to update the information, if required.

∗ UNEP/CHW/TWG/18/1

UNEP/CHW/TWG/18/12

2

3. It should be noted that while preparing the enclosed draft questionnaire the Secretariat has not made any changes to the content as such to the questionnaire that was agreed upon by the 17th session of the Technical Working Group. Only the physical layout of the questionnaire has been modified by adding a column to the existing questionnaire which allows Parties to indicate whether the information provided in the previous year has been changed or not. 4. The draft questionnaire with a pre-filling feature for reporting for the year 2000 and onwards was sent to all focal points to the Basel Convention for their feedback in March 2001. Twenty-four Parties1 as at 9 May 2001 expressed their satisfaction and supported the layout of the questionnaire. 5. In addition, Finland proposed a way to fine-tune the layout of the questionnaire in order to highlight the questions more clearly and also provided assistance to the Secretariat in doing so. To make the contents of this pre-filled questionnaire compatible for automatic transfer into a database in future, some minor changes in the layout may be required at a later stage. 6. The draft questionnaire with a pre-filling feature for reporting for the year 2000 and onwards is attached to this note.

III. PROPOSED ACTION 7. The Technical Working Group may wish to:

(a) Agree that the draft questionnaire with a pre-filling feature and its Manual should be used by Parties to report information from the year 2000 and onwards;

(b) Agree to submit the draft questionnaire and its Manual to the Working Group for the Implementation of the Basel Convention with a view to have them adopted by the sixth meeting of the Conference of the Parties;

(c) Request the Secretariat to provide training on how to complete the questionnaire to developing countries and other countries that are in need of such assistance in order to meet their reporting obligation by organizing workshops through its regional centres or by other appropriate means; and

(d) Invite Parties to assist the Secretariat in providing such training.

1 Albania, Andorra, Armenia, Bahamas, Belarus, Botswana, Canada, Colombia, Croatia, Ecuador, Estonia, Ethiopia, European Commission, Finland, Kyrgyzstan, Latvia, Moldova, Netherlands, Oman, Saint Lucia, Slovakia, Spain, Switzerland and United Kingdom.

1

Secretariat of the Basel Convention on the Control of Transboundary Movements of

Hazardous Wastes and their Disposal

(Draft) Revised questionnaire on “Transmission of Information” (in accordance with Articles 13 & 16 of the

Basel Convention)

Reporting for the year 2000

Please fill in the following Country: Date when form completed(D/M/Y): __/__/____ Name of the person who completed the questionnaire: Title: Address: Telephone no: Fax no: E-mail:

To request an electronic version of this questionnaire, to return the completed questionnaire by e-mail, or for further information and clarification, please contact: Ms. Nalini Basavaraj Secretariat of the Basel Convention 15, chemin des Anémones 1219 Châtelaine, Geneva Switzerland Tel: (41 22) 917 8383; Fax: (41 22) 797 3454 e-mail: nalini.basavaraj@unep.ch Thank you for completing the questionnaire!

2

INTRODUCTION

The Parties to the Basel Convention are required, in accordance with Articles 13 and 16 of the

Convention, to inform each other, through the Secretariat on issues related to the implementation of the Basel Convention.

Further to the Decision V/14 on the “Transmission of Information” adopted by the Conference of the Parties at its fifth meeting (Basel, December 1999) the Secretariat took initiative to invite Parties to form an Informal Working Group1 to review the questionnaire during the 16th session of the Technical Working Group (TWG)(April 2000).

Based on the comments from the Parties as well as the Group, the Secretariat prepared a draft

revised questionnaire on “Transmission of Information” and its Manual with the assistance from the Government of Finland. These were presented to the 17th session of the TWG (October 2000) where by it was agreed that (a) the draft revised questionnaire should be used by Parties to report information for the year 1999 and onwards; and (b) to submit the revised questionnaire and its Manual to the Working Group for the Implementation of the Basel Convention with a view for their adoption by the sixth meeting of the Conference of the Parties.

Some Parties also expressed at the 17th session of the TWG the need for a pre-filled Part I of the

questionnaire to facilitate in subsequent reporting from the year 2000 and onwards. The Secretariat took note of the need and modified only the physical layout of the already agreed upon questionnaire, without changing the content, by simply adding an additional feature in the form of a column to it.

This modification in the layout now not only allows Parties to indicate whether the information

provided by them in the previous year has changed or not but also facilitates the pre-filling of the questionnaire by the Secretariat on behalf of Parties.

The draft questionnaire with a pre-filling feature for reporting for the year 2000 and onwards was

sent to all focal points to the Basel Convention for their feedback in March 2001. Twenty-four Parties2 as at 9 May 2001 expressed their satisfaction and supported the layout of the questionnaire.

In addition, Finland proposed a way to fine-tune the layout of the questionnaire in order to

highlight the questions more clearly and also provided assistance to the Secretariat in doing so. To make the contents of this pre-filled questionnaire compatible for automatic transfer into a database in future, some minor changes in the layout may be required at a later stage.

The current questionnaire consists of two parts, namely, Part I: Status of information; and Part II: Annual reporting.

Part I: Status of information: With a view to make the reporting process easier to the Parties now the Part I of the questionnaire for the year 2000 and onwards will be pre-filled by the Secretariat (provided that Parties have reported to the year 1999 in the required format).

1 The Informal Working Group was Chaired by Finland and was attended by Australia, Austria, Belgium, Benin, Bolivia, Brazil, Canada, Democratic Republic of the Congo, El Salvador, France, Germany, India, Indonesia, Japan, Norway, Senegal, Seychelles, South Africa, Switzerland, Thailand, United Kingdom and a representative of the OECD Secretariat. 2 Albania, Andorra, Armenia, Bahamas, Belarus, Botswana, Canada, Colombia, Croatia, Ecuador, Estonia, Ethiopia, European Commission, Finland, Kyrgyzstan, Latvia, Moldova, Netherlands, Oman, Saint Lucia, Slovakia, Spain, Switzerland and United Kingdom.

3

When a Party receives the pre-filled questionnaire from the Secretariat to report for the year

2000 and onwards, Parties need to check the pre-filled information that was provided by them in their previous reporting. As Part I essentially covers those issues for which information usually provided by Parties remains the same as that reported during the previous year(s). Updating is only required if there is a change in the information already provided (including necessary corrections or deletions) during the previous reporting period. In this case, it is sufficient to indicate that no updating is required as the information provided during the previous reporting is still valid and no changes are necessary. On the other hand if there is a need for updating then that also needs to be indicated and the information should be updated accordingly. All Parties should complete Part I: Status of Information of the questionnaire either for the year 1999 or for the subsequent year. It is a pre-requisite to receive a pre-filled questionnaire from the Secretariat to report for the year 2000 and onwards. Part I: Status of information covers issues such as designation of Competent Authority and Focal Point; national definition of waste; national definition of hazardous waste; restrictions on transboundary movement of hazardous wastes and other wastes; control procedure of the transboundary movement of waste; reduction and/or elimination of the generation of hazardous wastes and other wastes; reduction of the amount of hazardous wastes and other wastes subject to transboundary movement; effect on human health and the environment; bilateral, multilateral or regional agreements or arrangements; disposal and recovery facilities and sources of assistance. Part II: Annual reporting covers those issues for which reporting is required on an annual basis. For the ease of electronic reporting and processing of the reported data/information, Part II: Annual reporting is divided into two sections namely, Section A and Section B. Part II: Section A covers issues such as export/import hazardous wastes and other wastes and generation of hazardous wastes and other wastes. Part II: Section B covers issues such as disposals, which did not proceed as intended and accidents occurring during the transboundary movement and disposal of hazardous wastes and other wastes. Some of the general guidelines to fill in the questionnaire are: - Complete the questionnaire in English. - Ensure that all quantities are in metric tonnes. - Complete the questionnaire by providing information/data in the required format. - Provide an electronic version of the completed questionnaire, if possible, or use a typewriter or

else handwritten in block letter for legibility. The Manual could be referred for more detailed guidelines. The Manual is available in all 6 UN languages (Arabic, Chinese, English, French, Russian, Spanish). The questionnaires for the year 1999 and 2000 and the Manual are available both in hard copy as well as in electronic version from the Secretariat (Part I and Part II: Section B of the questionnaire is in Word; and Part II: Section A of the questionnaire is in Excel. The Manual is in Word).

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PART I: STATUS OF INFORMATION (for the year 2000) Note: If there is any update to the pre-filled answer provided in the middle column by your country to this query since the last update, please indicate so on the right column and update all relevant information accordingly!

1 Competent Authority and Focal Point Updated?

Is there a designated Competent Authority to the Basel Convention? Yes No

Yes No In preparation If yes, please provide:

Title: Address:

Tel: Fax: E-mail: Official Web site:

1a

NOTE: If more than one Competent Authority exists, please provide the above information for each Competent Authority, specifying regions and activities (i.e. import/export/transit) assigned to them. Use additional space/attachment, if required.

Is there a designated Focal Point to the Basel Convention? Yes No

Yes No In preparation If yes, please provide:

Title: Address:

Tel: Fax: E-mail:

1b

Official Web site:

2 Wastes Controlled for the Purpose of Transboundary Movement Updated?

Yes No Is there a national definition of waste used for the purpose of transboundary movements of waste?

Yes No In preparation If yes, please provide the text of the national definition of waste (use additional space/attachment, if required):

2a

5

Yes No Is there a national definition of hazardous waste used for the purpose of transboundary movements of waste?

Yes No In preparation If yes, please provide the text of the national definition of hazardous waste (use additional space/attachment, if required):

2b

Yes No Does your country regulate/control any additional wastes as hazardous that are not included in Art. 1 (1)a of the Basel Convention and would be controlled for the purpose of transboundary movements pursuant to Art. (1)b? Yes No In preparation If yes, please specify those wastes (use additional space/attachment, if required):

2c

Yes No Are there any wastes other than those identified in above questions 2b and 2c that require special consideration when subjected to transboundary movement?

Yes No In preparation If yes, specify (use additional space/attachment, if required):

2d

3 Restrictions on Transboundary Movement of Hazardous Wastes

and Other Wastes Updated? Yes No Has the amendment to the Basel Convention (Decision III/1) been

implemented in your country? Yes No In preparation Remarks:

3a

6

Yes No Are there any restrictions on the export of hazardous wastes and other wastes for final disposal (Annex IV A) in your country? Yes No In preparation

3b

If yes, please provide the following: Specify relevant legislation and its entry into force: (i)

Specify country/region and/or waste which would be covered by this restriction: (ii)

Remarks: (iii)

Yes No Are there any restrictions on the export of hazardous wastes and other wastes for recovery (Annex IV B) in your country? Yes No In preparation

3c

If yes, please provide the following: Specify relevant legislation and its entry into force: (i)

Specify country/region and/or waste which would be covered by this restriction: (ii)

Remarks: (iii)

Yes No Are there any restrictions on the import of hazardous wastes and other wastes for final disposal (Annex IV A) in your country? Yes No In preparation

3d

If yes, please provide the following: Specify relevant legislation and its entry into force: (i)

Specify country/region and/or waste which would be covered by this restriction: (ii)

Remarks: (iii)

7

Yes No Are there any restrictions on the import of hazardous wastes and other wastes for recovery (Annex IV B) in your country? Yes No In preparation

3e

If yes, please provide the following: Specify relevant legislation and its entry into force: (i)

Specify country/region and/or waste which would be covered by this restriction: (ii)

Remarks: (iii)

Yes No Are there any restrictions on the transit of hazardous wastes and other wastes through your country? Yes No In preparation

3f

If yes, please provide the following: Specify relevant legislation and its entry into force: (i)

Specify country/region and/or waste which would be covered by this restriction: (ii)

Remarks: (iii)

4 Control Procedure of the Transboundary Movement of Waste Updated? Yes No Are the Notification and Movement document forms of the Basel Convention

used and/or accepted in the control of transboundary movement of hazardous wastes and other wastes?

4a

Yes No In preparation If yes, have there been any problems in the usage of the Notification and Movement document forms? Yes No If you have encountered any problem, please explain:

(i)

Provide information on any other forms which are used and/or accepted in the control of transboundary movement of hazardous wastes and other wastes:

(ii)

8

Yes No As a state of import/transit, which is (are) the acceptable language(s) to receive the Notification and Movement document forms?

4b

Yes No Please specify, if there are any additional information requirements in addition to those listed under Annex V (A and B) of the Basel Convention:

4c

Yes No Is the border control for the purpose of export/import/transit of hazardous wastes and other wastes established?

4d

Yes No In preparation Is the Harmonized System on customs control of the World Customs Organization used?

(i)

Yes No In preparation Remarks: (ii)

5 Reduction and/or Elimination of the Generation of Hazardous

Wastes and Other Wastes Updated? Yes No Describe measures taken for the reduction and/or elimination of the amount

of hazardous wastes and other wastes generated: (i) National strategies/policies:

(ii) Legislation, regulations and guidelines:

(iii) Economic instruments/initiatives:

(iv) Measures taken by industries/waste generators:

(v) Others:

9

6 Reduction of the Amount of Hazardous Wastes and Other Wastes

Subject to the Transboundary Movement Updated?

Yes No Describe measures taken for the reduction of the amount of hazardous wastes and other wastes subject to the transboundary movement:

(i) National strategies/policies:

(ii) Legislation, regulations and guidelines:

(iii) Economic instruments/initiatives:

(iv) Measures taken by industries/waste generators:

(v) Others:

7 Effect on Human Health and the Environment Updated? Yes No Please provide information (e.g. activities, effects, regions, period covered and

the sources of data/information) on any available statistics, studies, monitoring reports, etc. which have been compiled on the effects of the generation, transportation and disposal of hazardous wastes and other wastes on human health and the environment or alternatively provide contact information on where this could be found:

10

Updated?

Table 1 Bilateral, Multilateral or Regional Agreements or Arrangements (in 2000)

Provide information concerning bilateral, multilateral or regional agreements or arrangements concluded pursuant to Article 11 of the Basel Convention: Yes No

Validity period Type of agreement (Bilateral, multilateral, regional)

States and territories covered From: To:

Remarks: (wastes covered, disposal

operations, etc.)

11

Updated?

Table 2 Disposal Facilities Operated within the National Jurisdiction

Please provide the following information OR indicate the source from where such information could be obtained: Yes No

Facility/operation or process (Name, address, organization/company, etc.)

Description of the facility, operation or process

Disposal operation (Annex IVA)

D code

Capacity of the facility (in metric tonnes)

Does the facility treat

wastes imported Yes/No

OR

Sources of information from where such information could be obtained:

Remarks:

12

Updated?

Table 3 Recovery Facilities Operated within the National Jurisdiction

Please provide the following information OR indicate the source from where such information could be obtained: Yes No

Facility/operation or process (Name, address, organization/company, etc.)

Description of the facility, operation or process

Recovery operation (Annex IVB)

R code

Capacity of the facility (in metric tonnes)

Does the facility treat

wastes imported Yes/No

OR

Sources of information from where such information could be obtained:

Remarks:

13

Updated?

Table 4 Sources of Technical Assistance

Please list institutions (e.g. governmental bodies, universities, research centers etc.) to contact within your country for technical assistance and training; technical and scientific know-how, and for advice and expertise in various fields of

assistance specified below: Yes No

Field of Assistance

Name and address of institutions Notification

system

Management of hazardous wastes and other wastes

Environmentally sound

technologies

Assessment of disposal

capabilities and sites

Monitoring of hazardous wastes and

other wastes

Emergency response

Identification of cases of

illegal traffic

OR

Sources of information from where such information could be obtained:

Remarks:

14

Updated? Table 5

Sources of Financial Assistance Please list institutions within your country that could be contacted by other Parties for financial assistance, if required: Yes No

Field of Assistance

Name and address of institutions Notification

system

Management of hazardous wastes and other wastes

Environmentally sound

technologies

Assessment of disposal

capabilities and sites

Monitoring of hazardous

wastes

Emergency response

Identification of cases of

illegal traffic

OR

Sources of information from where such information could be obtained:

Remarks:

Y code Waste Streams/ wastes having as

constituents 2

Country/countries of transit4

Country of import4

Final disposal operation

(Annex IV A) D code

Recovery operation

(Annex IV B) R code

1 Crucial to fill in the Y code or, if none is applicable, the waste streams/wastes having as constituents.2 Not required to fill in, if you have provided the Y-code.3 Optional to fill in.4 Use ISO codes as in the attached list.

Category of waste

Annexes I and II 1

Annex VIII 3

Hazardous characteristics 3

(Annex III)

Amount exported (metric tonnes)

UN class 3

H' code 3 Characteristics 3

PART II: ANNUAL REPORTINGSECTION A

TABLE 6Export of hazardous wastes and other wastes in 2000

Total amounts exported: Total amount of hazardous wastes under Art. 1 (1)a (Annex I: Y1 - Y45) exported................ in metric tonnes. Total amount of hazardous wastes under Art. 1 (1)b exported..................….…..................... in metric tonnes. Total amount of other wastes exported (Annex II: Y46 - Y47). .............................................. in metric tonnes. Total amount of hazardous wastes and other wastes exported............................................... in metric tonnes.

15

Y code Waste Streams/ wastes having as

constituents 2

1 Crucial to fill in the Y code or, if none is applicable, the waste streams/wastes having as constituents.2 Not required to fill in, if you have provided the Y-code.3 Optional to fill in.4 Use ISO codes as in the attached list.

Category of waste

Annexes I and II 1

Annex VIII 3

Hazardous characteristics 3

(Annex III)

Amount imported (metric tonnes)

Country/countries of transit4

Country of origin4

Final disposal operation

(Annex IV A) D code

Recovery operation

(Annex IV B) R code

UN class 3

H' code 3 Characteristics 3

PART II: ANNUAL REPORTINGSECTION A

TABLE 7Import of hazardous wastes and other wastes in 2000

Total amounts imported: Total amount of hazardous wastes under Art. 1 1(a) (Annex I: Y1 - Y45) imported................ in metric tonnes. Total amount of hazardous wastes under Art. 1 1(b) imported..................…...…..................... in metric tonnes. Total amount of other wastes imported (Annex II: Y46 - Y47). ............................................... in metric tonnes. Total amount of hazardous wastes and other wastes imported................................................... in metric tonnes.

16

1994 1995 1996 1997 1998 1999 2000

Remarks:

Total amount of other wastes generated (Annex I: Y46-Y47)

TOTAL amount of hazardous wastes and other wastes generated (metric tonnes)

Total amount of hazardous wastes under Art. 1 (1)a (Annex I: Y1-Y45) generated

Total amount of hazardous wastes and other wastes under Art. 1 (1)b generated

PART II: ANNUAL REPORTINGSECTION A

TABLE 8ATotal Amount of Generation of hazardous wastes and other wastes in 2000

17

1994 1995 1996 1997 1998 1999 2000

Y1 Clinical wastes from medical care in hospitals, medical centres and clinics

Y2 Wastes from the production and preparation of pharmaceutical products

Y3 Waste pharmaceuticals, drugs and medicines

Y4 Wastes from the production, formulation and use of biocides and phytopharmaceuticals

Y5 Wastes from the manufacture, formulation and use of wood preserving chemicals

Y6 Wastes from the production, formulation and use of organic solvent

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, emulsion

Y10 Waste substances and articles containing or contaminated with PCBs, PCTs, PBBs

Y11 Waste tarry residues arising from refining, distillation and any pyrolytic treatment

Y12 Wastes from production, formulation and use of inks, dyes, pigments, paints, etc

Y13 Wastes from production, formulation and use of resins, latex, plasticizers, glues, etc

Y14 Waste chemical substances arising from research activities….. environment are not known

Y15 Wastes of an explosive nature not subject to other legislation

Y16 Wastes from production, formulation and use of photographic chemicals…

Y17 Wastes resulting from surface treatment of metals and plastics

Y18 Residues arising from industrial waste disposal operations

If possible, please fill in the quantities for the categories Y1 - Y47

QUANTITY GENERATED (metric tonnes)

Waste streams (Annex I to Basel Convention)

CATEGORIES

PART II: ANNUAL REPORTINGSECTION A

TABLE 8BGeneration of hazardous wastes and other wastes by Y-categories in 2000

18

1994 1995 1996 1997 1998 1999 2000

QUANTITY GENERATED (metric tonnes)CATEGORIES

Y19 Metal carbonyls

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

Y30 Thallium; thallium compounds

Y31 Lead; lead compounds

Y32 Inorganic fluorine compounds excluding calcium fluoride

Y33 Inorganic cyanides

Y34 Acidic solutions or acids in solid form

Y35 Basic solutions or bases in solid form

Y36 Asbestos (dust and fibres)

Y37 Organic phosphorus compounds

Y38 Organic cyanides

Y39 Phenols; phenol compounds including chlorophenols

Y40 Ethers

Y41 Halogenated organic solvents

Y42 Organic solvents excluding halogenated solvents

Y43 Any congenor of polychlorinated dibenzo-furan

Y44 Any congenor of polychlorinated dibenzo-p-dioxin

Y45 Organohalogen compounds other than …in this Annex (e.g. Y39, Y41, Y42, Y43, Y44)

Y46 Wastes collected from households

Y47 Residues arising from the incineration of household wastes

Categories of wastes requiring special consideration (Annex II to Basel Convention)

Wastes having as constituents (Annex I to Basel Convention)

19

20

PART II : ANNUAL REPORTING SECTION B

TABLE 9 Disposals which did not proceed as intended

Date of the

incident Countries involved Type of waste

Amount (in

metric tonnes)

Reason for the incident Alternative measures take

Remarks:

21

TABLE 10 Accidents occurring during the transboundary movement and disposal of hazardous wastes

and other wastes

Date and place of accident

Countries involved Type of waste

Amount (in

metric tonnes)

Type of accident Measures taken to deal with the accident

Remarks: