Annex
Draft technical guidelines on transboundary movements of electronic and electrical waste and used
electrical and electronic equipment, in particular regarding the distinction between waste and nonwaste under the Basel Convention
Explanatory Note
Background on the need for the collection of additional information regarding paragraph 26 of the draft
guidelines
Pursuant to decision BC-11/4 of the Conference of the Parties, the Secretariat of the Basel Convention is
currently developing technical guidelines on transboundary movements of e-waste and used equipment. The
guidelines provide:

Information on the relevant provisions of the Convention applicable to transboundary
movements of e-waste;

Guidance on the distinction between waste and non-waste when equipment is moved across
borders;

Guidance on the distinction between hazardous waste and non-hazardous waste;

General guidance on transboundary movements of e-waste and used equipment and
enforcement of the control provisions of the Convention.
They are intended for government agencies including enforcement agencies that wish to implement, control and
enforce legislation and provide training regarding transboundary movements. They are also intended to inform
all actors involved in the management of e-waste and used equipment so they can be aware of this guidance
when preparing or arranging for transboundary movements of such items.
Their application should help reduce transboundary movements to the minimum consistent with the
environmentally sound and efficient management of such wastes and reduce the environmental burden of ewaste that currently may be exported to countries and facilities that cannot handle it in an environmentally
sound manner.
At the eleventh meeting of the Conference of the Parties (COP11), significant progress was made by the
technical contact group established to discuss these technical guidelines. However, there are still a number of
outstanding issues, of which the most important is that Parties could not reach a consensus regarding paragraph
26(b) in which situations where non-functional used equipment should normally not be considered waste are
mentioned. The guidelines suggest that only used equipment for which the exporter can demonstrate its full
functionality and which is intended for direct reuse should be considered as non-waste and should be able to
move across borders without being subject to controls that would apply to wastes subject to the Basel
Convention. Parties and others are crafting Paragraph 26 (b) to lists cases where equipment that is not tested for
functionality prior to being transported internationally should normally not be considered waste and should not
be subject to such controls.
At the 5 February 2014 teleconference of the Small Intersessional Working Group (SIWG) that was established
to assist the Secretariat of the Basel Convention with the further development of the guidelines, the SIWG
recommended the Secretariat to collect more information regarding the possible impact of introducing such
cases in paragraph 26 (b) and possible ways to introduce safeguards against abuse.
The SIWG recognized that such information would be useful in the discussions, but that also other information
would be needed, e.g. on the possibilities for authorities to exercise controls of transports of used equipment. It
was also indicated that it would be necessary to actively seek the views of developing countries and countries
with economies in transition.
The Secretariat has developed a questionnaire to facilitate the collection of information and consulted with the
SIWG on its content.
SECRETARIAT OF THE BASEL CONVENTION
ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL
15 chemin des Anémones, 1219 Châtelaine (Geneva), Switzerland
Types of information to be collected
In order to be able to take an informed decision on paragraph 26 (b) it is necessary that Parties and other
stakeholder understand what the implications could be of such inclusions. It is only then that they can forge an
opinion if these inclusions are appropriate or not and which conditions should be attached to them to assure that
this will not lead to illegal traffic or abuse. Therefore a fact finding exercise will be done. Several types of
information could help in that context:
(a) Country experience with imports and exports of e-waste and used equipment
(b) Quantitative information regarding transboundary movements of the used equipment that for which it is
suggested it may be included in paragraph 26(b)
(c) Information on the impact of such transboundary movements
(d) Information on mechanisms for control that should be retained for these cases
To facilitate the gathering of this information a questionnaire was developed that is in the Annex to this
document.
How to collect the information
In paragraph 7 of decision BC 11/4, the Secretariat is requested to gather and analyze information on the
implications of the issues referred to in paragraph 26 (b), subject to the availability of resources. The Secretariat
has launched a request for financial contributions for this work but until this date has not yet received any
contribution. Unless such contributions are received, the possibilities for the Secretariat to actively engage into
this information gathering e.g. by appointing a consultant to collect the information, are limited. The Secretariat
will send out a request to Parties and other stakeholders (industry, NGOs, etc) to provide information as
indicated in the Annex and will collate and assess this information in the context of the review of the
guidelines. However, the success of the exercise would depend on the willingness of Parties and other
stakeholders to provide the required information. There may also be a need to ask the SIWG to assist (e.g. in
kind) with the assessment of the information and the Basel Convention Regional Centres to assist developing
country Parties in providing information.
Based on the information received, a report will be prepared for the review of the SIWG members before an
information document is prepared for the Open-ended Working Group for consideration at its ninth meeting in
September 2014.
Timelines
Sending out the request for information by the Secretariat
Deadline for submission of information
Preparation of a report with the information as received for review by the SIWG through
correspondence or teleconference
Information document prepared for presentation to the OEWG9
20 May 2013
30 June 2013
21 July 2013
15 August 2013
SECRETARIAT OF THE BASEL CONVENTION
ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL
15 chemin des Anémones, 1219 Châtelaine (Geneva), Switzerland
Annex
Questionnaire on information regarding the situations mentioned in paragraph 26 (b) of the draft
technical guidelines on transboundary movement of e-waste and used electrical and electronic
equipment, in particular regarding the distinction between waste and non-waste under the Basel
Convention.
Parties and other stakeholders are invited to provide additional information regarding the situations mentioned
in paragraph 26 (b) of the draft guidelines. In this paragraph, lists cases where used equipment should normally
not be considered waste even though its functionality has not been tested. Inclusion in the paragraph implies
that transboundary transports should be possible without the controls as foreseen waste under the Basel
Convention.
In order to be able to take an informed decision on paragraph 26 (b) it is necessary that Parties and other
stakeholder understand what the implications could be of such inclusions. It is only then that they can forge an
opinion if these inclusions are appropriate or not and which conditions should be attached to them to assure that
this will not lead to illegal traffic or abuse. This questionnaire is designed to indicate the type of information
that is likely to be helpful in that context.
NOTE: Some respondents may not be in a position to provide information on all aspects included in the
questionnaire. Information on single issues may be useful and transmission of such partial information would be
helpful as well. Respondents are encouraged to transmit as much or as little information that they have on the
questions below.
Identity of respondent
Questionnaire filled by:
Party/Organization
Address
Contact person
E-mail address
I.
Country experience with imports and exports of e-waste and used equipment
More information would be helpful on the problems that countries are facing in regards to the import and export
of e-waste and used equipment that the guidelines seek to address, such as experiences with shipments destined
for disposal that are misrepresented as those intended for direct reuse, repair or refurbishment.
Questions:
1. Does your country have a definition to distinguish waste from non-waste for used equipment or did you
develop guidance to assist making this distinction?
___________________________________________________________________________________
_________________________
2. What is your country’s experience with exporters or importers misrepresenting shipments of waste
destined for disposal as used equipment destined for direct reuse or for reuse after repair or
refurbishment?
___________________________________________________________________________________
___________________________________________________________________________________
______________________________________________________
SECRETARIAT OF THE BASEL CONVENTION
ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL
15 chemin des Anémones, 1219 Châtelaine (Geneva), Switzerland
3. How are violations of Basel Convention provisions detected in your country? What are the mechanisms
your country uses to ensure that all wastes subject to the Basel Convention are following the appropriate
procedures (e.g. waste shipments that are misrepresented as non-wastes)?
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
_____________________________________________________________________________________
Quantitative information regarding transboundary movements of the used equipment that for which it is
suggested it may be included in this paragraph
This concerns information about the type of used equipment that may be covered when included in paragraph 26
(b), the amount of equipment this represents, trade patterns ,the types of facilities it is destined for and the
amount of waste that would be generated from repair and refurbishment operations in the country of destination.
It is likely that Parties would not have an overview of the global situation. They may have information regarding
their own country. Such country information would be useful. Most likely it would be industry, academia or
other international organizations (IGOs) and NGO’s) that could provide the best global overview.
Questions:
1 What type of used equipment may be included in paragraph 26 (b) and what amounts are being
transported across borders annually?
Type of used equipment
(whole equipment or spare
parts)
Type of transport and
type of destination
(e.g. repair,
refurbishment,
warranty returns1,
root-cause analysis,
testing, return under
lease contracts etc…)
Total
2
Estimated yearly amounts
imported (specify units e.g.
tons)
Estimated yearly
amounts exported
(specify units e.g tons)
(sum of the above)
(sum of the above)
Trade patterns
Under the Basel Convention it is important to assure that in particular developing countries and countries with
economies in transition are protected. Please specify insofar possible:
Transport from – to2
Developed countries to developed countries
Developed countries to developing countries or
countries with economies in transition
Developing countries or countries with economies in
1
2
Quantities per year (specify units e.g tons)
This may included cases the period of warranty is exceeding legally required warranty.
If more detailed information is available, e.g. for trade paterns involving Africa, Asia etc. this could be usefull too.
SECRETARIAT OF THE BASEL CONVENTION
ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL
15 chemin des Anémones, 1219 Châtelaine (Geneva), Switzerland
transition to developed countries
Developing countries or countries with economies in
transition to developing countries or countries with
economies in transition
3
Treatment
a. What type of treatment will the used equipment undergo in the country of import? (e.g. repair
under warranty, refurbishment, repair, root cause analysis, check by the lessor followed by
possible repair or refurbishment, others (to be specified). How many of these facilities are
operational?
Type of treatment
Estimated number of facilities
Location (country)
b. How much of the used equipment can be reused as whole equipment or spare parts after
treatment?
__________________________________________________________________________________________
________________
c. How much of the used equipment cannot be reused as whole equipment or spare parts?
__________________________________________________________________________________________
______________
d. How much waste is generated with this treatment?
__________________________________________________________________________________________
______________
e. How much of this waste is hazardous waste?
__________________________________________________________________________________________
______________
f. How is this waste treated and where?
__________________________________________________________________________________________
______________
a) Impacts if certain types of used equipment would be included in paragraph 26 (b)
In case certain used equipment destined for specific treatment in the country of import would be included in
paragraph 26 (b), it would be important to know the implications. The following information would assist in
assessing this:
1. Why is it not possible or feasible to test functionality or to repair or refurbish the used equipment in the
country of export?
__________________________________________________________________________________________
_________________
2. Would the control procedure of the Basel Convention have any impact on the reuse of the used
equipment in the country of destination or elsewhere? If yes, which?
SECRETARIAT OF THE BASEL CONVENTION
ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL
15 chemin des Anémones, 1219 Châtelaine (Geneva), Switzerland
___________________________________________________________________________________
___________________________________________________________________________________
_____________________________________
3. What would be the environmental impact of its inclusion?
__________________________________________________________________________________________
__________________
4. What would be the economic impact of its inclusion?
__________________________________________________________________________________________
_________________
b) Mechanisms for control if certain types of used equipment would be included in paragraph 26 (b)
For e-waste the Basel Control mechanism would apply, unless it is demonstrated that the e-waste does not
contain Annex I materials to an extent to cause them to exhibit an Annex III characteristic.
For used equipment intended for direct reuse the draft guidelines includes provisions on the evidence exporters
should provide in order to facilitate verification by the authorities that the equipment is destined for direct
reuse. The following documentation is foreseen (paragraph 24):
 Presence of an invoice and a contract relating to the sale and/or transfer of ownership of the used
equipment
 Proof of functionality
 A declaration that the equipment is not waste
 Adequate protection of the equipment against damage during transport, etc
For used equipment which may be included in paragraph 26 (b) an invoice or contract may not be available, e.g.
because there is no change of ownership. Also providing proof of functionality is not possible because they are
destined for repair or refurbishment, e.g. in the case of lease, warranty or root cause analysis. Paragraph 26bis
of the draft guidelines lists documentation that should accompany the transport of used equipment falling under
paragraph 26 (b). It is important to collect additional ideas on the measures authorities could request to be able
to verify if the claim that a specific transport falls under paragraph 26 (b) is justified.
Question:
a) Which conditions or rules have been defined or which measures have been taken by Parties to control
transboundary transports of used equipment, apart from those set in the Basel Convention?
b) Which is the experience of authorities or industry with the implementation of these conditions or rules
mentioned under question (a)?
c) Which difficulties Parties face in setting conditions, rules or measures referred to in question (a)?
SECRETARIAT OF THE BASEL CONVENTION
ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL
15 chemin des Anémones, 1219 Châtelaine (Geneva), Switzerland
d) Which difficulties do Parties face or foresee in controlling transboundary transports of used equipment
destined for treatment such as testing, repair or refurbishment with a view of their subsequent reuse?
e) Which elements of control should be applied to the used equipment that may be included in paragraph
26(b)? Such control elements may include: documentation, declarations by the exporter or the importer,
declarations from authorities, specific conditions for the equipment etc.
__________________________________________________________________________________________
_____________________
Please return the filled questionnaire and/or background information that is relevant for consideration in
relation to this topic before 30 June 2014 to the Secretariat at the following addresses:
[email protected] and [email protected]
Thank you.
SECRETARIAT OF THE BASEL CONVENTION
ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL
15 chemin des Anémones, 1219 Châtelaine (Geneva), Switzerland