[Federal Register Volume 64, Number 158 (Tuesday, August 17, 1999)]
[Notices]
[Pages 44722-44730]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-21311]
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ENVIRONMENTAL PROTECTION AGENCY
[FRL-6423-3]
Request for Information Concerning Transfrontier Movements of
Wastes Destined for Recovery Operations Within the OECD Area
AGENCY: Environmental Protection Agency (EPA).
ACTION: Notice.
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SUMMARY: The Environmental Protection Agency (EPA) is requesting
specific information from interested parties, and the U.S. regulated
community in particular, on imports and exports of secondary materials,
wastes and hazardous wastes moving toward recycling operations in the
29 member countries of the Organization for Economic Cooperation and
Development (OECD). This information will be used by EPA and other
federal agencies in developing U.S. positions with respect to potential
harmonization of certain provisions of OECD Council Decision C(92)39
concerning the control of transfrontier movements of wastes destined
for recovery operations with those of the Basel Convention on the
Control of Transboundary Movements of Hazardous Wastes and Their
Disposal (``Basel Convention'' or ``the Convention''), including the
possible replacement of the OECD waste lists (green, amber, and red)
with the Basel waste lists (Annexes VIII and IX).
DATES: Responses to this document should be submitted no later than
September 30, 1999.
ADDRESSES: Commenters must send an original and two copies of their
comments referencing docket number F-1999-TMWA-FFFFF to: RCRA Docket
Information Center, Office of Solid Waste (5305G), U.S. Environmental
Protection Agency Headquarters (EPA, HQ), 401 M Street, SW, Washington,
DC 20460. Hand deliveries of comments should be made to the Arlington,
VA, address listed below. Comments may also be submitted electronically
to: rcra-docket@epamail.epa.gov. Comments in electronic format should
also be identified by the docket number F-1999-TMWA-FFFFF. All
electronic comments must be submitted as an ASCII file avoiding the use
of special characters and any form of encryption. Commenters should not
submit electronically any confidential business information (CBI). An
original and two copies of CBI must be submitted under separate cover
to: RCRA CBI Document Control Officer, Office of Solid Waste (5305W),
U.S. EPA, 401 M Street, SW, Washington, DC 20460. Public comments and
supporting materials are available for viewing in the RCRA Information
Center (RIC), located at Crystal Gateway I, First Floor, 1235 Jefferson
Davis Highway, Arlington, VA. The RIC is open from 9 a.m. to 4 p.m.,
Monday through Friday, excluding federal holidays. To review docket
materials, it is recommended that the public make an appointment by
calling (703) 603-9230. The public may copy a maximum of 100 pages from
any regulatory docket at no charge. Additional copies cost $0.15/page.
For information on accessing this document electronically, see the
Supplementary Information section.
FOR FURTHER INFORMATION CONTACT: Ms. Julia Gourley, Office of Solid
Waste (5304W), U.S. Environmental Protection Agency, Washington, D.C.
20460; telephone: (703) 308-8751; fax: (703) 308-0514; e-mail:
gourley.julie@epamail.epa.gov.
SUPPLEMENTARY INFORMATION:
Internet Access
This document may be accessed at the following internet address:
http://www.epa.gov/epaoswer/hazwaste/exp-imp/oecd.htm.
I. Background
A. Relationship of OECD Council Decision C(92)39 to the Basel
Convention
The Basel Convention is an international treaty under the United
Nations Environment Program (UNEP) that applies to transboundary
movements (exports and imports) of hazardous and other wastes and their
disposal. It opened for signature upon the conclusion of UNEP
negotiations on March 22, 1989 and entered into force, 90 days after
the 20th ratification, on May 5, 1992. As of June 17, 1999 there are
123 parties to the Basel Convention (countries and others that have
ratified, acceded to, approved, or otherwise accepted it). The U.S.
signed the agreement on March 22, 1990, but has not ratified it. The
Basel Convention, therefore, does not apply to the U.S. at the present
time.
The Basel Convention prohibits imports and exports of covered
wastes between parties to it and non-parties; however, Article 11 of
the Convention provides for an exception to this prohibition for those
parties and non-parties that have entered into separate agreements that
are consistent with the environmentally sound management provisions of
the Convention. The member countries of the Organization
[[Page 44723]]
for Economic Cooperation and Development (OECD) 1 entered
into an agreement governing transfrontier movements of wastes destined
for recovery (recycling) operations pursuant to Article 11 paragraph 2
of the Basel Convention (see 61 FR 16290 for a detailed discussion).
This agreement, known as OECD Council Decision C(92)39/FINAL, was
adopted by the OECD Council on March 30, 1992, and is legally binding
on all member countries that have accepted it (presently all but
Hungary and Poland, or 27 of the 29 member countries). It is a pre-
existing agreement pursuant to Article 11 paragraph 2 of the Basel
Convention. The U.S. accepted the agreement and promulgated
implementing regulations under the Resource Conservation and Recovery
Act (RCRA) on April 12, 1996 (40 CFR part 262, subpart H). Nothing in
today's document alters or amends these regulations, which remain in
full force and effect.
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\1\ The member countries of the OECD (also known as the ``OECD
area'') are Australia, Austria, Belgium, Canada, Czech Republic,
Denmark, Finland, France, Germany, Greece, Hungary, Iceland,
Ireland, Italy, Japan, Luxembourg, Mexico, Netherlands, New Zealand,
Norway, Poland, Portugal, S. Korea, Spain, Sweden, Switzerland,
Turkey, United Kingdom, United States.
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B. History of OECD Harmonization Efforts
In April 1997, the Environment Policy Committee (EPOC) of the OECD
directed one of its subsidiary bodies, the Working Group on Waste
Management Policy (WGWMP) (formerly known as the Waste Management
Policy Group or WMPG) to identify areas where it would be feasible and
appropriate to harmonize the procedures and requirements of OECD
Council Decision C(92)39/FINAL (hereafter referred to as C(92)39) with
those of the Basel Convention, to identify areas where duplication
between the two agreements could be eliminated, and to report back to
it in spring 1999.
In fulfillment of this mandate, the WGWMP made the following eight
recommendations to the EPOC:
(1) The OECD Control System and the related Council Acts should be
retained in a streamlined form which would make the OECD Control System
more efficient and effective and enhance harmonization with the Basel
Convention;
(2) Certain procedural elements of the OECD Control System, such as
time limits for the approval process for transfrontier movement, tacit
consent (as well as the possibility for a written consent) and
preauthorization procedures, should be retained. The definitions of
waste and hazardous waste, and the general principles concerning
transfrontier movements of wastes should be retained;
(3) The OECD Control System should be harmonized with the Basel
Convention by: (i) replacing the OECD green, amber, and red lists of
wastes with Annexes VIII and IX of the Basel Convention, (ii) applying
the green procedure to Annex IX wastes and the amber procedure
(including the possibility of written consent) to Annex VIII wastes,
and (iii) eliminating the present OECD Review Mechanism, but retaining
the possibility of applying differing levels of control within the OECD
Control System, in exceptional cases, to Annex VIII and Annex IX
wastes, from those applied under the Basel Convention;
(4) The mandatory OECD data collection on exports and imports of
waste, and periodic or annual review of action taken by Member
countries in pursuance of a number of Council Acts should be
eliminated;
(5) All waste related Council Acts except Council Decision C(92)39
should be consolidated into one Act;
(6) Work towards further harmonization of the different
international control systems for transfrontier movements of wastes
should be continued, with the ultimate goal of achieving a globally
harmonized control system;
(7) The OECD work in the field of waste management should be
reoriented to focus on emerging cross-cutting issues regarding reuse
and recycling of waste such as: (i) adapting the control procedures to
encourage the implementation of end-of-life product take-back programs
and to facilitate closed-loop recycling of materials; and (ii)
developing standards for environmentally sound management of wastes
destined for recovery operations; and,
(8) WGWMP activities should be continued as a Part I program to
facilitate participation of all Member countries in the work.
At its March 24-26, 1999 meeting, the EPOC endorsed these
recommendations. The WGWMP is now exploring options for their
implementation, including streamlining C(92)39 and harmonizing it with
the Basel Convention where appropriate and consolidating the other
legally-binding waste-related Council Acts into one Act. Formal
negotiations between the member countries resulting in consensus
agreement will be required before amendments to these Council Acts can
be forwarded to the OECD Council for adoption and entry into force.
EPA believes the harmonization of C(92)39 with the Basel Convention
will be of interest to US stakeholders, including environmental
interest groups and industry. The Agency calls attention to
recommendation number 3 which is of particular significance because it
would have the greatest impact on the operation of C(92)39. In addition
to potential effects on transboundary movements of regulated hazardous
wastes, this recommendation could affect movements of non-hazardous
wastes, non-wastes, and secondary materials which may be within the
scope of C(92)39.
II. Differences Between the OECD Control System and the Basel
Convention
The overall goal of the Basel Convention is to protect human health
and the environment against the adverse effects from the generation and
management of hazardous wastes and other wastes. The main objectives of
the Basel Convention are to:
--Reduce transboundary movements of Basel wastes to a minimum
consistent with their environmentally sound management;
--Dispose of the wastes as close as possible to their source of
generation;
--Minimize the generation of hazardous wastes in terms of quantity and
hazardousness;
--Ensure strict control on the movement of wastes across borders as
well as the prevention of illegal traffic;
--Prohibit shipments of waste to countries lacking the legal,
administrative and technical capacity to manage and dispose of them in
an environmentally sound manner; and
--Assist developing countries and countries in transition in
environmentally sound management of their own wastes.
The Basel Convention establishes a system for controlling
transboundary movements of hazardous wastes and other wastes for both
final disposal and recycling (note: recycling is considered a type of
disposal under the Convention). It sets out general obligations and
specifies restrictions and prohibitions on imports and exports of such
wastes. Its primary purpose is to protect developing countries from
waste mismanagement.
In September 1995, the third meeting of the Conference of the
Parties (COP III) adopted Decision III/1 containing an amendment to the
Convention adding a new Article 4A prohibiting exports of hazardous
waste for final disposal and
[[Page 44724]]
recycling from parties listed in Annex VII (OECD countries, European
Community and Liechtenstein) to states not listed in Annex VII. This
amendment will enter into force when 3/4 of the parties present and
voting at COP III (i.e., 62 parties) have ratified it. As of June 1999,
14 ratifications were registered with the UN Depository.
OECD Council Decision C(92)39 establishes a control system,
complementary to the Basel Convention, for transfrontier movements of
wastes destined for recovery operations within the OECD area. It
designates three ``tiers'' of wastes according to their potential
overall environmental risk: the green, amber and red tiers which have
corresponding waste lists. C(92)39 requires control of transfrontier
movements of amber and red tier wastes, but requires no control for
green tier wastes destined for recovery operations, other than those
normally applied to commercial transactions. Red list wastes are
subject to a control procedure, which is almost identical to the Basel
Convention. Amber list wastes are subject to somewhat less stringent
control procedures, including allowing the competent authorities to use
``tacit'' (presumed) consent as a means of approval for a notified
movement of waste, and to grant ``pre-consent'' to domestic facilities
to accept amber list wastes under a streamlined set of requirements.
A. Comparison of OECD and Basel Convention Waste Lists
Both the Basel Convention and C(92)39 contain waste lists which
generally define the scope of coverage of each agreement. Annex VIII of
the Basel Convention contains the list of hazardous wastes that are
generally subject to the requirements of the Convention when they are
exported or imported. It is an elaboration of the categories and
constituents of Annex I. Annex IX of the Convention contains the list
of wastes and secondary materials that are generally outside the scope
of the Convention, and thus are not subject to its provisions when
exported or imported.
As mentioned above, C(92)39 contains three waste lists. The green
list contains wastes and secondary materials generally considered to be
non-hazardous in most or all OECD member countries. The amber list
contains wastes generally considered to be hazardous by the member
countries, while the red list consists of wastes considered extremely
hazardous and that warrant full export/import controls.
The OECD lists were developed according to the following
environmental risk-based criteria in Annex 2 of C(92)39. These criteria
reflect both the environmental hazard presented by the waste and the
typical management practice (recycling operation) applied to it:
Properties
(1) Does the waste normally exhibit any of the hazardous
characteristics listed in Table 5 of OECD Council Decision C(88)90?
Furthermore, it is useful to know if the waste is legally defined as or
considered to be a hazardous waste in one or more member countries.
(2) Is the waste typically contaminated?
(3) What is the physical state of the waste?
(4) What is the degree of difficulty of cleanup in the case of
accidental spillage or mismanagement?
(5) What is the economic value of the waste bearing in mind
historical price fluctuations?
Management:
(6) Is there technological capability to recover the waste?
(7) Is there a history of adverse environmental incidents arising
from transfrontier movements of the waste or associated recovery
operations?
(8) Is the waste routinely traded through established channels and
is that evidenced by commercial classification?
(9) Is the waste usually moved internationally under the terms of a
valid contract or chain of contracts?
(10) What is the extent of reuse and recovery of the waste and how
is any portion separated from the waste but not subject to recovery
managed?
(11) What are the overall environmental benefits arising from the
recovery operations?
Another important distinguishing feature of the OECD waste lists is
the inclusion of Customs codes. The OECD WGWMP coordinates closely with
the Nomenclature and Classification Division of the World Customs
Organization in comparing the waste listings with the Harmonized
Commodity Description and Coding System (Harmonized System, or HS) and
assigns HS codes accordingly, where applicable. In addition, the text
of some OECD waste listings identically matches the counterpart text in
the HS, which facilitates transboundary movements through Customs ports
in the OECD member countries.
By contrast, the Basel Convention waste lists in Annexes VIII and
IX of the Convention were developed based on the ``intrinsic hazard''
of the waste (e.g. poisonous, ignitable, corrosive, etc.), and do not
take into account how the waste is typically managed, and other
environmental risk-based factors. The Basel Convention does not
distinguish between disposal and recycling, so its lists contain wastes
that are both recycled and disposed (whereas the OECD lists, for the
most part, contain wastes and secondary materials that are typically
recycled). In addition, the Basel lists do not, at present, contain HS
(Customs) codes.
The remainder of this section describes some of the significant
differences in the waste lists of the two agreements.
1. OECD Green List vs. Basel Convention Annex IX
The following six Basel Convention Annex IX listings do not have
corresponding entries on the OECD green list:
B1010 Thorium scrap
B1030 Refractory metals containing residues
B1050 Mixed, non-ferrous metal, heavy fraction scrap, not containing
Annex I materials in concentrations sufficient to exhibit Annex III
characteristics 2
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\2\ If the OECD member countries agree to replace the OECD lists
with the Basel Convention lists, minor wording changes will be
necessary to correct language unique to the Basel Convention. For
example, in Basel Annex IX listing B1050 above, the term ``Annex I''
could be deleted, while the phrase ``exhibit Annex III
characteristics'' could be changed to ``render it hazardous'' or
similar language conveying the same idea.
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B1100 Wastes of refractory linings, including crucibles, originating
from copper smelting
B3110 Fellmongery wastes not containing hexavalent chromium compounds
or biocides or infectious substances
B3120 Wastes consisting of food dyes
The following 21 entries on the OECD green list do not have
corresponding entries on Basel Annex IX:
GA190 Molybdenum waste and scrap
GA200 Tantalum waste and scrap
GA300 Chromium waste and scrap
GC030 Vessels and other floating structures for breaking up, properly
emptied of any cargo and other materials arising from the operation of
the vessel which may have been classified as a dangerous substance or
waste
GC040 Motor vehicle wrecks, drained of liquids
GC090 Molybdenum
GC100 Tungsten
GC110 Tantalum
GC120 Titanium
GC130 Niobium
GC140 Rhenium
[[Page 44725]]
GE020 Glass fiber wastes
GF010 Ceramic wastes which have been fired after shaping, including
ceramic vessels (before and/or after use)
GG160 Bituminous material (asphalt wastes) from road construction and
maintenance, not containing tar
GH013 Waste, parings, and scrap of plastics of polymers of vinyl
chloride
GJ140 Waste textile floor coverings, carpets
GM140 Waste edible fats and oils of animal or vegetable origin (e.g.
frying oils)
GN010 Waste of pig's, hog's, or boar's bristles and hair or of badger
hair and other brush making hair
GN020 Horsehair waste, whether or not put up as a layer with or
without supporting material
GN030 Wastes of skins and other parts of birds, with their feathers or
down, of feathers and parts of feathers (whether or not with trimmed
edges) and down, not further worked than cleaned, disinfected or
treated for preservation
GO040 Parings and other waste of leather or of composition leather,
not suitable for the manufacture of leather articles, excluding leather
sludges
The following six OECD green listings correspond to four Basel
Annex IX listings, but with different wordings (Table 1).
Table 1.--Differences in Wording Between OECD Green List and Basel Annex
IX
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OECD green listing Basel annex IX listing
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GB030 Aluminum skimmings (excluding B1100 Aluminum skimmings (or
those that are flammable or emit, upon skims) excluding salt slag.
contact with water, flammable gases in
dangerous quantities).
GC020 Electronic scrap (e.g. printed B1110 Waste electrical and
circuit boards, electronic components, electronic assemblies or scrap
wire, etc.) and reclaimed electronic (not including scrap from
components suitable for base and electrical power generation)
precious metal recovery. (including printed circuit
boards) not containing
components such as
accumulators and other
batteries included on Annex
VIII, mercury switches, glass
from cathode ray tubes and
other activated glass and PCB
capacitors, or not
contaminated with Annex I
constituents (e.g. cadmium,
mercury, lead, PCB) or from
which these have been removed,
to an extent they do not
possess any of the
characteristics contained in
Annex III.
B1110 Electrical and
electronic assemblies
(including printed circuit
boards, electronic components
and wires) destined for direct
reuse (reuse can include
repair, refurbishment or
upgrading, but not major
reassembly) and not for
recycling or final disposal
(in some countries these
materials destined for direct
reuse are not considered
wastes).
GC150 Gold............................ B1150 Precious metals and
GC160 Platinum (the expression alloy wastes (gold, silver,
``platinum'' includes platinum, the platinum group, but not
iridium, osmium, palladium, rhodium, mercury) in a dispersible, non-
and ruthenium) liquid form with appropriate
GC170 Other precious metals, e.g. packaging and labeling.
silver.
GH014 Waste, parings, and scrap of B3010 The following
plastics of polymers of fluorinated fluorinated polymer wastes:
ethylene (teflon, PTFE). perfluoroethylene/propylene
(FEP), perfluoroalkoxy alkane
(PFA), perfluoroalkoxy alkane
(MFA), polyvinylfluoride
(PVF), polyvinylidenefluoride
(PVDF).
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EPA is interested in comments regarding the significance of the
differences between the non-hazardous lists of the two agreements and,
in particular, whether the narrower scope of Basel Annex IX could have
any significant bearing on intra-OECD trade in these wastes and
materials.
2. OECD Amber and Red Lists vs. Basel Convention Annex VIII
Of perhaps greater significance are the differences in the lists of
regulated hazardous wastes of the two agreements. A waste is classified
as hazardous under the Basel Convention if it is linked to either a
category or constituent in Annex I, unless it does not exhibit any of
the characteristics of hazardous waste contained in Annex III (Article
1 paragraph 1(a)).3 If these criteria are not satisfied, the
waste or material is not covered by the Convention (and may therefore
either be placed on Annex IX or remain unlisted). The scope of coverage
in C(92)39, however, is not determined by such a combination of
categories/constituents and hazard characteristics; thus, Basel's scope
of coverage is narrower than that of C(92)39.
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\3\ In addition, wastes considered hazardous under a party's
domestic laws and regulations are also subject to control under the
Basel Convention (Article 1 paragraph 1(b)).
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Two amber listings are covered by Annex II of the Basel Convention,
``Categories of Wastes Requiring Special Attention: AB020 (residues
arising from the combustion of municipal/household wastes), and AD160
(municipal/household wastes).
One OECD red listing (RB020, ceramic-based fibers of physico-
chemical characteristics similar to those of asbestos) and the
following 27 OECD amber listings do not directly correspond to entries
on Basel Annex VIII (in most cases there is no linkage to Basel Annex
I; in order to add them to Basel Annex VIII, at a minimum an amendment
of Basel Annex I would be required):
AA010 Dross, scalings and other wastes from the manufacture of iron
and steel
AA050 Aluminum ashes and residues
AA060 Vanadium ashes and residues
AA070 Ashes and residues containing metals or metal compounds not
elsewhere specified or included
AA110 Residues from alumina production not elsewhere specified or
included
AA190 Magnesium waste and scrap that is flammable, pyrophoric or
emits, upon contact with water, flammable gasses in dangerous
quantities
AB010 Slag, ash and residues, not elsewhere specified or included
AB030 Wastes from non-cyanide based systems which arise from surface
treatment of metals
AB070 Sands used in foundry operations
AB120 Inorganic halide compounds, not elsewhere specified or included
AB130 Used blasting grit
[[Page 44726]]
AB150 Unrefined calcium sulfite and calcium sulfate from flue gas
desulfurization (FGD)
AC020 Bituminous materials (asphalt waste) not elsewhere specified or
included
AC060 Hydraulic fluids
AC070 Brake fluids
AC080 Antifreeze fluids
AC140 Triethylamine catalyst for setting foundry sands
AC150 Chlorofluorocarbons
AC160 Halons
AC170 Treated cork and wood wastes
AC250 Surface active agents (surfactants)
AC260 Liquid pig manure; feces
AC270 Sewage sludge
AD090 Wastes from the production, formulation and use of reprographic
and photographic chemicals and materials not elsewhere specified or
included
AD100 Wastes from non-cyanide based systems which arise from surface
treatment of plastics
AD120 Ion exchange resins
AD150 Naturally-occurring organic material used as a filter medium
(such as bio-filters)
The following nine Annex VIII listings do not correspond to any
OECD amber or red listing. There are several possible explanations for
this: (i) these wastes are not typically recycled; (ii) the Basel
parties and OECD member countries disagree as to their hazardousness;
and/or (iii) there are different criteria for listing wastes in Basel
(intrinsic hazard) vs. C(92)39 (risk):
A1040 Wastes having as constituents: metal carbonyls; hexavalent
chromium compounds
A1180 Waste electrical and electronic assemblies or scrap containing
components such as accumulators and other batteries included in Annex
VIII, mercury switches, glass from cathode ray tubes and other
activated glass and PCB capacitors, or contaminated with Annex I
constituents (e.g. cadmium, mercury, lead, PCB) to an extent that they
possess any of the characteristics contained in Annex III (note the
related entry on Annex IX: B1110)
A2060 Coal-fired power plant fly ash containing Annex I substances in
concentrations sufficient to exhibit Annex III characteristics (note
the related entry on Annex IX: B2050)
A3100 Waste parings and other waste of leather or of composition
leather not suitable for the manufacture of leather articles containing
hexavalent chromium compounds or biocides (note the related entry on
Annex IX: B3090)
A3110 Fellmongery wastes containing hexavalent chromium compounds or
biocides or infectious substances (note the related entry on Annex IX:
B3110)
A4020 Clinical and related wastes; that is, waste arising from
medical, nursing, dental, veterinary, or similar practices, and wastes
generated in hospitals or other facilities during the investigation or
treatment of patients, or research projects
A4130 Waste packages and containers containing Annex I substances in
concentrations sufficient to exhibit Annex III hazard characteristics
A4140 Waste consisting of or containing off specification or out-dated
chemicals corresponding to Annex I categories and exhibiting Annex III
hazard characteristics
A4150 Waste chemical substances arising from research and development
or teaching activities which are not identified and/or are new and
whose effects on human health and/or the environment are not known
The following 13 amber listings are broader in scope than their
corresponding Annex VIII listings (Table 2).
Table 2.--Amber Listings Broader in Scope Than Corresponding Annex VIII
Listings.
------------------------------------------------------------------------
Basel convention annex VIII
OECD amber listing listing
------------------------------------------------------------------------
AA020 Zinc ashes and residues......... A1080 Waste zinc residues not
included in Annex IX,
containing lead and cadmium in
concentrations sufficient to
exhibit Annex III
characteristics.
AA040 Copper ashes and residues....... A1090 Ashes from the
incineration of copper wire.
A1100 Dusts and residues from
gas cleaning systems of copper
smelters.
A1110 Spent electrolytic
solutions from copper
electrorefining and
electrowinning operations.
A1120 Waste sludges, excluding
anode slimes, from copper
electrorefining and
electrowinning operations.
A1130 Spent etching solutions
containing dissolved copper.
A1140 Waste cupric chloride
and copper cyanide catalysts.
AA161 Ash from incineration of printed A1150 Precious metal ash from
circuit boards. incineration of printed
circuit boards not included in
Annex IX.
AA180 Used batteries or accumulators, A1170 Unsorted waste batteries
whole or crushed, other than lead-acid excluding mixtures of only
batteries, and waste and scrap arising Annex IX batteries. Waste
from the production of batteries and batteries not specified on
accumulators, not otherwise specified Annex IX containing Annex I
or included. constituents to an extent to
render them hazardous.
AB110 Basic solutions................. A4090 Waste acidic or basic
solutions, other than those
specified in the corresponding
entry on Annex IX (note the
related entry on Annex IX:
B2120).
AB140 Gypsum arising from chemical A2040 Waste gypsum arising from
industry processes. chemical industry processes,
when containing Annex I
constituents to the extent
that it exhibits an Annex III
hazardous characteristic (note
the related entry on Annex IX:
B2080).
AC030 Waste oils unfit for their A3020 Waste mineral oils unfit
originally intended use. for their originally intended
use.
AC090 Waste from production, A3050 Waste from production,
formulation, and use of resins, latex, formulation, and use of
plasticizers, glues and adhesives. resins, latex, plasticizers,
glues/adhesives excluding such
wastes specified on Annex IX
(note the related entry on
Annex IX: B4020).
AC130 Ethers.......................... A3080 Waste ethers not
including those specified on
Annex IX.
AC180 Leather dust, ash, sludges and A3090 Waste leather dust, ash,
flours. sludges and flours when
containing hexavalent chromium
compounds or biocides (note
the related entry on Annex IX:
B3100).
[[Page 44727]]
AD070 Wastes from production, A4070 Wastes from the
formulation and use of inks, dyes, production, formulation and
pigments, paints, lacquers, varnish. use of inks, dyes, pigments,
paints, lacquers, varnish
excluding any such waste
specified on Annex IX (note
the related entry on Annex IX:
B4010).
AD110 Acidic solutions................ A4090 Waste acidic or basic
solutions, other than those
specified in the corresponding
entry on Annex IX (note the
related entry on Annex IX:
B2120).
AD130 Single use cameras with A1180 Waste electronic
batteries. assemblies or scrap containing
components such as
accumulators and other
batteries in Annex VIII.
------------------------------------------------------------------------
The following 18 Annex VIII listings are broader in scope than
their corresponding amber listings (Table 3).
Table 3.--Annex VIII Listings Broader in Scope than Corresponding Amber
and Red Listings.
------------------------------------------------------------------------
Basel convention annex VIII
OECD amber or red listing listing
------------------------------------------------------------------------
AA030 Lead ashes and residues......... A1010 Metal wastes consisting
of alloys of lead, but
excluding such wastes as
specifically listed on Annex
IX.
A1020 Wastes having as
constituents or contaminants,
excluding metal waste in
massive form, lead or lead
components.
AA080 Thallium waste and residues..... A1010 Metal wastes and waste
consisting of alloys of
thallium, but excluding such
wastes specifically listed on
Annex IX.
A1030 Wastes having as
constituents or contaminants
thallium; thallium compounds.
AA090 Arsenic waste and residues...... A1010 Metal wastes and waste
consisting of alloys of
arsenic, but excluding such
wastes specifically listed on
Annex IX.
A1030 Wastes having as
constituents or contaminants
arsenic; arsenic compounds.
AA100 Mercury waste and residues...... A1010 Metal wastes and waste
consisting of alloys of
mercury, but excluding such
wastes specifically listed on
Annex IX.
A1030 Wastes having as
constituents or contaminants
mercury; mercury compounds.
AB080 Waste catalysts not on the green A2030 Waste catalysts but
list. excluding such wastes
specified on Annex IX.
A1140 Waste cupric chloride
and copper cyanide catalysts.
AC010 Waste from the production/ A3010 Waste from the production
processing of petroleum coke and or processing of petroleum
bitumen, excluding anode butts. coke and bitumen.
AC040 Leaded petrol (gasoline) sludges A3030 Wastes that contain,
DRC030 Leaded anti-knock compound consist of or are contaminated
sludges. with leaded anti-knock
compound sludges.
AC120 Polychlorinated naphthalenes.... A3180 Waste, substances and
articles containing,
consisting of or contaminated
with polychlorinated
naphthalene (PCN).
AC190 Fluff light fraction from A3120 Fluff--light fraction
automobile shredding. from shredding.
AD170 Spent activated carbon having A4160 Spent activated carbon
hazardous characteristics and not included in Annex IX (note
resulting from its use in the the related entry on Annex IX:
inorganic chemical, organic chemical B2060).
and pharmaceutical industries, waste
water treatment, gas/air cleaning
processes and similar applications.
RA010 Wastes, substance and articles A3180 Wastes, substances and
containing, consisting of or articles containing,
contaminated with polychlorinated consisting of or contaminated
biphenyl (PCB) and/or polychlorinated with polychlorinated biphenyl
terphenyl (PCT) and/or polybrominated (PCB), polychlorinated
biphenyl (PBB), including any other terphenyl (PCT),
polybrominated analogues of these polychlorinated naphthalene
compounds, at a concentration level of (PCN) or polybrominated
50 mg/kg or more. biphenyl (PBB), or any other
polybrominated analogues of
these compounds at a
concentration level of 50 mg/
kg or more.
RC040 Peroxides other than hydrogen A4120 Wastes that contain,
peroxide. consist of or are contaminated
with peroxides.
------------------------------------------------------------------------
EPA is interested in comments regarding the significance of the
differences between the OECD amber/red lists and Basel Annex VIII for
intra-OECD trade purposes.
3. OECD Green List vs. Basel Annex VIII, OECD Amber List vs. Basel
Annex IX, and ``Mirror Listings''
Finally, there are a number of entries in both C(92)39 and the
Basel Convention that are either partially or entirely covered by
entries on the opposite list in the other agreement. For example, 18
Annex IX listings are at least partially covered by 17 amber listings
(Table 4). This is largely due to the fact that the Basel Convention
lists contain ``mirror listings'' ``listings on both Annexes VIII and
IX that differ either by specifying the particular contaminants or
constituents that distinguish hazardousness from non-hazardousness, or
by simply re-stating the Convention's scope of coverage (which is also
the Annex IX chapeau); namely whether the waste contains Annex I
material in sufficient quantities to cause the waste to exhibit an
Annex III characteristic. These mirror listings can be confusing for
regulators and, in particular, Customs officials at border crossings
who must make decisions about a particular shipment including verifying
shipping documents and assessing tariffs. For example, it could be
quite challenging for a Customs officer to fulfill his/her duties for a
shipment of material coming under the following Basel mirror listing:
``B1160 Precious metal ash from the incineration of printed circuit
boards (note the
[[Page 44728]]
related entry on Annex VIII A1150)''. When the Customs official looks
to the mirror listing on Annex VIII, they would find the following
wording: ``A1150 Precious metal ash from incineration of printed
circuit boards not included on Annex IX.'' Because many of the Basel
mirror listings are not easily distinguishable, it is possible that
transboundary movements within the OECD area could be affected. EPA is
interested in comments on this issue.
While there are some mirror listings on the OECD lists, they are
significantly fewer in number and are typically distinguished more
precisely, usually with one listing quite specific and its mirror
listing board; for example, magnesium waste and scrap is mirror listed
as follows: ``GA210 Magnesium waste and scrap (excluding those listed
in AA190)'' and, ``AA190 Magnesium waste and scrap that is flammable,
pyrophoric or emits, upon contact with water, flammable gasses in
dangerous quantities.'' Table 4 presents the listings on Basel Annex IX
which are at least partially covered by broader OECD amber listings.
Table 4.--Basel Annex IX Listings Partially Covered by OECD Amber
listings
------------------------------------------------------------------------
Basel convention annex IX
OECD amber listing listing
------------------------------------------------------------------------
AA020 Zinc ashes and residues......... B1080 Zinc ash and residues
including zinc alloys residues
in dispersible form unless
containing Annex I
constituents in concentrations
sufficient to exhibit Annex
III characteristics or
exhibiting hazardous
characteristic H4.3.
B1220 Slag from zinc
production, chemically
stabilized, having a high iron
content (above 20%) and
processed according to
industrial specifications
(e.g. DIN 4301) mainly for
construction.
AA040 Copper ashes and residues....... B1070 Waste of copper and
copper alloys in dispersible
form, unless they contain
Annex I constituents to an
extent that they exhibit Annex
III characteristics.
B1240 Copper oxide mill scale.
AA150 Precious metal bearing residues B1140 Precious-metal bearing
in solid form which contain traces of residues in solid form which
inorganic cyanides. contain traces of inorganic
cyanides.
AA161 Ash from incineration of printed B1160 Precious metal ash from
circuit boards. the incineration of printed
circuit boards (note the
related entry on Annex VIII:
A1150).
AA162 Photographic film ash........... B1170 Precious metal ash from
the incineration of
photographic film.
AA180 Used batteries or accumulators, B1090 Waste batteries
whole or crushed, other than lead-acid conforming to a specification,
batteries, and waste and scrap arising excluding those made with
from the production of batteries and lead, cadmium or mercury.
accumulators, not otherwise specified
or included.
AB050 Calcium fluoride sludge......... B2070 Calcium fluoride sludge.
AB090 Waste hydrates of aluminum...... B2100 Waste hydrates of
AB100 Waste alumina aluminum and waste alumina and
residues from alumina
production excluding such
materials used for gas
cleaning, flocculation or
filtration processes.
AB110 Basic solutions................. B2120 Waste acidic or basic
solutions with a pH greater
than 2 and less than 11.5,
which are not corrosive or
otherwise hazardous (note the
related entry on Annex VIII:
A4090).
AB140 Gypsum arising from chemical B2080 Waste gypsum arising
industry processes. from chemical industry
processes not included on
Annex VIII (note the related
entry on Annex VIII: A2040).
AC090 Waste from the production, B4020 Wastes from production,
formulation and use of resins, latex formulation, and use of
plasticizers, glues and adhesives. resins, latex, plasticisers,
glues/adhesives, not listed on
Annex VIII, free of solvents
and other contaminants to an
extent that they do not
exhibit Annex III
characteristics, e.g., water
based, or glues based on
casein starch, dextrin,
cellulose, ethers, polyvinyl
alcohols (note the related
entry on Annex VIII: A3050).
AC130 Ethers.......................... B3130 Waste polymer ethers and
waste non-hazardous monomer
ethers incapable of forming
peroxides.
AC180 Leather dust, ash, sludges and B3090 Leather dust, ash,
flours. sludges, or flours not
containing hexavalent chromium
compounds or biocides (note
the related entry on Annex
VIII: A3090).
AD070 Wastes from production, B4010 Wastes consisting mainly
formulation an use of inks, dyes, of waste-based/latex paints,
pigments, paints, lacquers, varnish. inks and hardened varnishes
not containing organic
solvents, heavy metals, or
biocides to an extent to
render them hazardous (note
the related entry on Annex
VIII: A4070).
AD110 Acidic solutions................ B2120 Waste acidic or basic
solutions with a pH greater
than 2 and less than 11.5,
which are not corrosive or
otherwise hazardous (note the
related entry on Annex VIII:
A4090).
AD130 Single use cameras with B4030 Used single use cameras
batteries. with batteries not included in
Annex VIII.
------------------------------------------------------------------------
In addition, five green listings are potentially covered by
corresponding listings on Annex VIII (Table 5).
[[Page 44729]]
Table 5.--OECD Green Listings at Least Partially Covered by Basel Annex
VIII Listings
------------------------------------------------------------------------
Basel convention annex VIII
OECD green listing listing
------------------------------------------------------------------------
GB020 Zinc-containing drosses: A1080 Waste zinc residues not
GB021 Galvanizing slab zinc top included on Annex IX,
dross (>90% Zn) containing lead and cadmium in
GB022 Galvanizing slab zinc bottom concentrations sufficient to
dross (>92% Zn) exhibit Annex III
GB023 Zinc die casting dross (>85% characteristics.
Zn)
GB024 Hot dip galvanizer slab zinc
dross (batch) (>92% Zn)
GB025 Zinc skimmings
GB040 Slags from precious metals and A1100 Dusts and residues from
copper processing for further refining. gas cleaning systems of copper
smelters.
GC050 Spent Fluid Catalytic Cracking A2030 Waste catalysts but
(FCC) catalysts (e.g. aluminum oxide excluding such wastes as
zeolites). specified on Annex IX.
GG040 Coal fired power plant fly ash.. A2060 Coal fired power plant
fly ash containing Annex I
substances in concentrations
sufficient to exhibit Annex
III characteristics (note the
related entry on Annex IX:
B2050).
GN040 Parings and other waste of A3100 Waste parings and other
leather or of composition leather, not waste of leather or of
suitable for the manufacture of composition leather not
leather articles, excluding leather suitable for the manufacture
sludges. of leather articles containing
hexavalent chromium compounds
or biocides (note the related
entry on Annex IX: B3090).
------------------------------------------------------------------------
Germany, possibly along with other OECD member countries, will
submit applications to the Basel Convention review procedure for each
of the missing 21 green listings seeking to add them to Basel Annex IX.
These applications will be submitted in time to be placed on the agenda
for the next meeting of the Technical Working Group (TWG) (which
performs the review procedure functions within the Basel Convention) in
spring 2000. The purpose of this is to attempt to minimize the
inconsistencies between the lists as quickly as possible, with a view
to the goal of substitution of the Basel lists for the OECD lists in
C(92)39. The 27 missing amber listings will be addressed later,
including whether and how to add them in light of the Annex I/Annex III
scope of coverage. The issue of the different wording between the two
sets of lists for the same or similar wastes and whether to submit
applications to the Basel TWG to modify the Basel Annex VIII listings
had not been discussed to date.
EPA is interested in learning whether members of the U.S. regulated
community or others have an interest in submitting applications to the
Basel TWG. Any such applications require the support of and must be
submitted through at least one government--either a party or a non-
party. Applications submitted through the U.S. government would need
the support of and would be submitted by EPA.
III. Purpose of Today's Document
The purpose of today's document is to bring to the public's
attention recommendation number 3 above and to solicit, on a voluntary
basis, further information on the potential impacts of and issues
associated with harmonization of C(92)39 with the Basel Convention.
Interested parties are welcome to provide information on any of the
other recommendations; however, EPA is most interested in receiving
information on recommendation number 3 at this time. EPA may publish
future Federal Register documents seeking voluntary information
regarding the other recommendations.
In consultations with members of the U.S. regulated community, EPA
has been made aware of a number of general concerns. Most of these
concerns fall into two main categories: (i) the proposed replacement of
the green, amber, and red lists with Basel Annexes VIII and IX; and,
(ii) the proposed replacement of the Review Mechanism with the
adjustment procedure. In order for EPA and other federal agencies to
fully understand the potential impacts of harmonizing OECD Council
Decision C(92)39 with the Basel Convention, today's notice requests
specific information from interested parties.
A. Specific Information Requested by EPA
In addition to other information requested throughout this notice,
EPA is asking the U.S. regulated community and other interested parties
to provide the following specific information. EPA notes that this
request is strictly voluntary in nature; however, the Agency encourages
any and all interested parties to provide the requested information as
it will be helpful to negotiators in identifying potential areas of
concern.
1. Waste Lists
Regarding replacement of the OECD green, amber, and red lists with
Basel Convention Annexes VIII and IX, general concerns have been
expressed that use of the Basel lists could affect the flow of
secondary materials and wastes throughout the OECD area. EPA is
interested in specific, concrete examples of these concerns in addition
to the following information:
a. Statistics and Data. For any and all items listed on the OECD
green, amber, and red lists, and Basel Convention Annexes VIII and IX,
the Agency is interested in any and all reasonably available
information on: (i) established and anticipated future trade patterns
within the OECD area, (ii) economic value of the trade in these wastes
and materials, (iii) volumes of the wastes and materials moving within
the OECD area, and (iv) any other relevant information. Of particular
importance is information on secondary materials which, when recycled
in certain ways, are excluded from the definition of solid waste under
RCRA (e.g. characteristically hazardous sludges which, when reclaimed
(including when exported within the OECD area for reclamation), are not
solid wastes). Because these materials are not solid wastes in the
U.S., but may be considered solid and hazardous waste in other OECD
countries (and could therefore be subject to C(92)39 in those
countries), EPA has no knowledge of the volume and economic value of
this trade, and therefore does not fully understand how substitution of
the Basel lists for the OECD lists could affect transboundary movements
of these materials. EPA is also interested in receiving statistics on
items listed in C(92)39, but that are not listed on Annexes VIII and IX
(e.g. see section I(C)(1) above).
It should be noted that because the U.S. implements the terms of
C(92)39 through RCRA, the current and any future OECD waste lists serve
as guidance for the U.S. regulated
[[Page 44730]]
community as to how other OECD member countries likely regulate a
material or waste under the terms of C(92)39. The scope of coverage for
purposes of U.S. implementation of any harmonized OECD agreement will
remain as it is under RCRA until and unless EPA obtains other statutory
authorities that would allow or require changes to the current scope of
coverage (such as, for example, amendments to RCRA to ratify and
implement the Basel Convention).
b. Potential Effects on Transboundary Movements. The Agency is
interested in any and all information regarding potential problems that
could arise from the use of Basel Annexes VIII and IX to implement
C(92)39 as compared to the green, amber, and red lists. For example,
the OECD waste lists contain Harmonized System (HS), or Customs, codes
where applicable. The Basel lists do not currently contain HS codes.
Another example of how potential problems could arise is in the actual
wording differences between the lists. For example, OECD green listing
number GC020 has the following wording: ``Electronic scrap (e.g.
printed circuit boards, electronic components, wire, etc.) and
reclaimed electronic components suitable for base and precious metal
recovery'', while the corresponding wording in Basel Annex IX listing
number B1110 is: ``Electrical and electronic assemblies (including
printed circuit boards, electronic components and wires) destined for
direct reuse (reuse can include repair, refurbishment or upgrading, but
not major assembly), and not for recycling or final disposal (in some
countries these materials destined for direct reuse are not considered
wastes)''. Another example would be OECD amber listing number AA060
``Vanadium ashes and residues'' which has no corresponding Basel Annex
VIII listing because vanadium does not belong to any category in Annex
I of the Basel Convention, and therefore cannot be included in Annex
VIII (i.e. vanadium is outside the scope of the Basel Convention). In
practice, this could result in uneven control within the OECD area.
2. Waste List Review Procedures
The Agency is interested in comments regarding changing the current
Review Mechanism for adjusting the green, amber, and red lists, to a
new adjustment procedure. Currently, C(92)39 mandates a standing Review
Mechanism to adjust, on a regular basis, the green, amber, and red
lists of wastes in appendices 3, 4, and 5 respectively. Any government,
regulated entity, or other interested party can submit an application
to the Review Mechanism to add, delete, move, or adjust a waste listing
as long as the application is supported by at least one member
government. Although some have indicated an interest in doing so, to
date, no U.S. entity has ever submitted an application to the OECD
Review Mechanism through EPA. This apparent lack of interest could
indicate that the U.S. regulated community is generally satisfied with
the OECD waste lists. Alternatively, it could mean that given the OECD
waste lists serve only as guidance for the U.S. regulated community,
there is not a strong need for waste list adjustments because there is
no direct impact on the regulated community presented by the lists
(although there can be significant indirect impacts if U.S. trading
partners impose OECD controls on wastes or materials not regulated as
hazardous under U.S. laws and regulations).
The future operation of C(92)39, in terms of adjustments to its new
waste lists, would include a body similar to the Review Mechanism to be
called the adjustment procedure. While the actual operation of the
adjustment procedure would be similar to the current Review Mechanism,
there would be some significant differences. Under this new ad-hoc
body, a U.S. entity interested in applying to make changes to the OECD
waste lists (e.g. to modify the wording of a particular listing or to
move a particular listing from one list to the other) would be required
to first submit an application to the Basel Convention review
procedure. For example, and as previously discussed, Germany plans to
submit applications for the 21 OECD green listings not currently in
Basel Annex IX. If the resulting decision by the Basel COP was
considered to be insufficient for purposes of intra-OECD trade, or if
the COP declined to take action at all, the U.S. entity could then,
with the support of EPA, submit an application to the OECD adjustment
procedure seeking relief in the OECD forum. If approved by the OECD
Council, the waste listing would take effect for intra-OECD
transboundary movements. If not approved by the Council, several
options are possible. One option would be that the Basel listing, as
approved by the Basel COP, would apply within the OECD, as would be the
case when no objection to a Basel listing were raised to the OECD
Secretariat by an OECD member country. Another option would be that in
the case where the Basel COP declines action, the unlisted waste or
material would move within the OECD according to the green tier (which
would apply to Basel Annex IX wastes) if non-hazardous or to the amber
tier (which would apply to Basel Annex VIII wastes) if hazardous. This
is very similar to the status quo where unlisted wastes that are non-
hazardous move according to the green tier, and unlisted hazardous
wastes move according to the red tier (note: the European Union member
countries implement this provision differently in that all unlisted
wastes default to red tier controls, regardless of their
hazardousness). Because the red list and the corresponding red tier
control procedure would be eliminated in the harmonized agreement, and
amber tier controls are envisioned to apply to Annex VIII wastes, the
default control procedure for an unlisted hazardous waste would be
amber tier controls. A third option would be that the unlisted waste
would be subject to the national procedures of the concerned OECD
member countries. EPA is specifically interested in comments on these
options.
3. Other Issues
Finally, EPA is interested in public comment on any other aspect of
amending and harmonizing C(92)39 with the Basel Convention, including
but not limited to: the value of the streamlined administrative
procedures (e.g. tacit consent and pre-consent under the amber tier),
the value of the risk-based approach to waste listing (including the
criteria in Annex 2 of C(92)39, and the value of Customs codes in waste
listings.
Dated: August 10, 1999.
Elizabeth Cotsworth,
Acting Director, Office of Solid Waste.
[FR Doc. 99-21311 Filed 8-16-99; 8:45 am]
BILLING CODE 6560-50-P
