the review of annexes to the basel convention

Fifteenth meeting of the Conference of the

Parties to the Basel Convention (COP-15)

Online segment (26-30 July 2021)

Side event – Tuesday 27 July 2020, 4-5pm

The review of Annexes to the Basel Convention: Recommendations for possible amendment proposals

Ms Mari-Liis Ummik (Estonia) and Mr Joost Meijer (Chile)Co-Chairs of the Expert Working Group on the Review of Annexes to the Basel Convention (EWG on RA)

www.brsmeas.org @brsmeas

Objectives of the side event

• Inform COP-15 participants on the progressachieved in the EWG on RA since COP-14 andwhat to expect during the face-to-face segmentof COP-15

• Focus on the recommendations for possibleamendment proposals to Annex IV and to entriesA1180 and B1110 in Annexes VIII and IX to theBasel Convention, and their link to theamendment proposals by the EU and bySwitzerland and Ghana.

• Update on the status of the review of Annexes Iand III


Introduction• Mandate:

• EWG on RA established by COP-13 (decision BC-13/2) and COP-14 anticipated that amendmentproposals to Annex IV , entry A1180 in Annex VIII and entry B1110 in Annex IX are presented anddiscussed at COP-15 (annex to decision BC-14/16).

• Mandate of the EWG on RA also extends to the review of Annexes I and III as well as to reviewingwhether any additional constituents or characteristics in relation to plastic waste should beadded to annex I or III, respectively, to the Convention.

• Main progress achieved since COP-14: • Development of recommendations for possible amendment proposals to Annex IV and to entries

A1180 and B1110 in Annexes VIII and IX to the Basel Convention and of findings on the consequential implications of the review of Annex IV to the Convention

• Submitted to the consideration of OEWG-12 (online segment, 1-3 September 2020), which invited comments from Parties and observers by 15 September 2020

• Revised recommendations and findings prepared for consideration by COP-15 (face to face segment) (document UNEP/CHW.15/INF/18)

• Initiation of the review of Annexes I and III (document UNEP/CHW.15/INF/21)


Review of Annex IV


I. Recommendations for possible

amendment proposals to Annex IV

• Possible amendment proposals to Annex IV should: o Be based on one or more of the objectives of the review

of the annex, as set out in the annex to decision BC-13/2

o Add a general introduction for Annex IV;

o Maintain the two sections of Annex IV (section A and section B), with captions and introductions for each section;

o Include new operations;

o Clearly identify disposal operations that occur prior to submission to any of the operations in section A or B, respectively (interim operations);


I. Recommendations for possible amendment proposals to Annex IV (cont.)

o Take into account that Annex IV relates to defining wastes and that, accordingly, it encompasses: ➢Both environmentally sound and non-environmentally sound operations;

➢Operations irrespective of whether they are legal or illegal;

➢Operations regardless of whether they do not, or only rarely, occur in practice;

➢Operations regardless of whether they are relevant or not in the context of a transboundary movement;

o Ensure consistency in the way operations are described in both sections of the Annex.

• EWG expressed different views as to whether operations not identified as “prior to submission to any of the operations in section A or B” may also be interim operations, and agreed that this matter should be further discussed.

• EWG also recommends that further work on the review of Annex IV be based on the recommended options for possible amendment proposals to Annex IV that it has prepared.

• EWG recommends that explanations or guidance should be developed to further clarify the content of the disposal operations in Annex IV.


II. Recommended options for possible amendments to Annex IV

• Prepared by the EWG during its fourth meeting (5−9 October 2020, 1−3 February 2021)

• Each option that is recommended was supported by at least one member of the EWG

• The EWG agreed that developing rationales in relation to the recommendations would be useful and could be further considered by the group


II. Recommended options for possible amendments to Annex IV (cont.)

• Four parts:• General introduction for Annex IV • Captions and introductory texts for

sections A and B of Annex IV • Options for possible amendment

proposals to Section A of Annex IV• Options for possible amendment

proposals to Section B of Annex IV



1. General IntroductionoConsensus on adding a general introduction for Annex IV

oThere are two categories of disposal operations, namely [final disposal] [non-recovery] operations and recovery operations. Section A encompasses [final disposal] [non-recovery] operations and Section B recovery operations.

oAnnex IV also covers in both sections A and B disposal operations that occur prior to submission to any of the operations in the respective section.

oAnnex IV covers all disposal operations, regardless of their legal status and regardless of whether they are considered to be environmentally sound



2. Captions and introductory texts for sections A and B of Annex IV•A. [FINAL DISPOSAL] [NON RECOVERY] OPERATIONS

[final disposal] [non-recovery] operation is an operation which is not a recovery [or recycling] operation even where the operation has as a secondary consequence the reclamation of substances or energy.

•B. RECOVERY [AND RECYCLING] OPERATIONS

A recovery [or recycling] operation is an operation the principal result of which is waste serving a useful purpose by replacing other materials which would otherwise have been used to fulfil a particular function, or waste being prepared to fulfil that function, in the plant or in the wider economy.



3. Options for possible amendment proposals to Section A of Annex IV: D operations

oConsensus on retaining status quo for 3 D operations: ➢ D6, Release into a water body except seas/oceans➢ D7, Release into seas/oceans including sea-bed insertion ➢ D14, Repackaging prior to submission to any of the operations in Section A

oOne or more options for the remaining 12 existing D operations, considering modification of terminology or examples, or by splitting or merging operations

oConsensus on not retaining status quo for 10 of these 12 D operations



3. Options for possible amendment proposals to Section A of Annex IV: D operations (cont.)

o7 proposed new operations:➢ D16 Release to the atmosphere ➢ D17 Treatment by nanomaterials➢ D18 Open burning➢ D19 Sterilization or disinfection➢ D20 Catch-all operations for other final disposal operations➢ D21 Catch-all operations for other interim final disposal operations➢ D22 Co-processing



4. Options for possible amendment proposals to Section B of Annex IV: R operations

oOne or more options for 13 existing R operations, considering modification of terminology or examples, merging operations or by splitting, introducing mirror operations

oConsensus on not retaining status quo for 4 of those 13 R operations



4. Options for possible amendment proposals to Section B of Annex IV: R operations (cont.)

4 proposed new operations:➢R14 Preparing for re-use (e.g. checking, cleaning, repair, refurbishment)

➢R15 Co-processing (e.g. reducing energy requirements)

➢R16 Repackaging prior to submission to any of the operations in Section B

➢R17 Catch all operations for other recovery operations


III. Findings of the EWG on the consequential implications of the review of Annex IV to the Convention

• The EWG agreed that the review of Annex IV had consequential implications for:

o entry Y48 in Annex II as well as for entries B1110 and B3011 in Annex IX,

o the notification and movement documents, the instructions for completing these as well as for the national reporting format and the manual for completing it, and that any changes to these documents should preferably be considered by the COP concurrently to any proposal to amend Annex IV to the Convention.

• The EWG further agreed that the review of Annex IV may have consequential implications on other documents such as technical guidelines and if appropriate the glossary of terms.


III. Findings of the EWG on the consequential implications of the review of Annex IV to the Convention (cont)

• It was furthermore agreed to:

(a) Reflect in the notification document that, in case an operation that occurs prior to submission to any of the operations in the respective section (interim operation) is provided in block 11, corresponding information is to be provided on any subsequent interim facilities and the related operations and on the subsequent non-interim facilities and the related operations;

(b) Reflect the following in the instructions for completing the notification and movements documents:

(i) Indicate that both sections A and B list disposal operations that occur prior to submission to any of the operations in section A or B (interim operations);

(ii) Indicate in the instructions on block 11 that, in case an interim operation is provided in block 11, corresponding information is to be provided on the subsequent non-interim facilities and the related operations, and on any other subsequent interim facilities and the related operations, if applicable.


I. Include specific operations as subcategories or include examples of specific operations in brackets (cont.)• While adding or modifying examples in brackets does not require adding

new operations, including sub-categories of specific operations could result in amplifying the list of 15 D-operations with about 30 new specific operations and the list of 13 R-operations with about 20.

• The approach of including sub-categories of operations may require the incorporation of a catch-all operation as a sub-category in each of those cases, as at least theoretically it does not seem possible to include all feasible sub-categories of operations for each disposal operation.

• Views are sought on the challenges and benefits of including examples of operations in brackets or subcategories of operations.

Review of entry A1180 in Annex VIII and

entry B1110 in Annex IX


I. Recommendations for possible amendment proposals to entries A1180 and B1110

• Possible amendment proposals should be based on the EWG recommended option for possible amendments to A1180 and B1110

• The EWG recommended option:

(a) The work on entry A1180 was conceptually based on the text of entry A3210, whereby text on components was added taking into account the current text of entry A1180;

(b) The work was based on ensuring consistency between the wording of entries A1180 and B1110, which inter alia resulted in the deletion of the first and third bullets of entry B1110;

(c) In relation to components, two approaches are reflected in square brackets;


I. Recommendations for possible amendment proposals to A1180 and B1110 (cont.)

(d) Text of examples appears in square brackets as further work on them was deemed necessary;

(e) For some terms, e.g. assemblies, further discussion was considered necessary, also in light of the provisional adoption of Harmonized System codes for identifying electrical and electronic waste and scrap in the Harmonized System Nomenclature of the World Customs Organization.

• EWG to hold a session on 13 January 2022 to work further on its recommended option






Amendment proposals for consideration

by COP-15 (face-to-face segment)


Proposal by the EU to amend Annex IV and certain entries in Annexes II and IX• On 3 December 2020, the EU transmitted

to the Secretariat proposals to amend Annex IV and certain entries in Annexes II and IX to the Basel Convention for consideration by COP-15

• On 19 January 2021, six months before COP-15, the Secretariat communicated the proposal to Parties with an invitation to comment by 17 March 2021


Proposal by the EU to amend Annex IV and certain entries in Annexes II and IX (cont.)

• Amendment proposal available in document UNEP/CHW.15/13/Add.1

• Comments received available at: Proposed amendments (basel.int)

• COP-15 (online segment) invited to take note also of the information on the modalities for the continuation of the intersessional work and processes of the Basel Convention, including extending to 1 December 2021 the transmission of comments

• Comments will be made available in document UNEP/ CHW.15/INF/25

http://www.basel.int/TheConvention/Amendments/Proposedamendments/tabid/7906/Default.aspx


Proposal by Ghana and Switzerland to amend Annexes II, VIII and IX

• On 4 December 2020, Ghana and Switzerland transmitted to the Secretariat proposals to amend Annexes II, VIII and IX to the Basel Convention for consideration by COP-15

• On 19 January 2021, six months before COP-15, the Secretariat communicated the proposal to Parties with an invitation to comment by 17 March 2021


Proposal by Ghana and Switzerland to amend Annexes II, VIII and IX (cont.)

• Amendment proposal available in document UNEP/CHW.15/13/Add.12

• Comments received available at: Proposed amendments (basel.int)

• COP-15 (online segment) invited to take note also of the information on the modalities for the continuation of the intersessional work and processes of the Basel Convention, including extending to 1 December 2021 the transmission of comments

• Comments will be made available in document UNEP/ CHW.15/INF/23

http://www.basel.int/TheConvention/Amendments/Proposedamendments/tabid/7906/Default.aspx






Review of Annexes I and III


II. Review of Annex I• Initial work prior to COP-14

• COP-14 anticipated that amendment proposals to Annexes I and III are presented and discussed at COP-16 (annex to decision BC-14/16)

• 17-21 May 2021 sessions of EWG on RA-4 focused on progressing with the review of Annex I

• Outcome: Recommendations by the expert working group on the review of Annexes for possible amendment proposals to Annex I, including whether any additional constituents in relation to plastic waste should be added to Annex I, and findings of the expert working group on the consequential implications of the review of Annex I to the Convention (status 21 May 2021)

• Information will be made available to COP-15 in document UNEP/CHW.15/INF/21


II. Review of Annex III• Initial work prior to COP-14

• COP-14 anticipated that amendment proposals to Annexes I and III are presented and discussed at COP-16 (annex to decision BC-14/16)

• 17-21 May 2021 sessions of EWG on RA-4 focused on progressing with the review of Annex III

• Identification of initial options on general issues pertaining to the review of Annex III

• Information will be made available to COP-15 in document UNEP/CHW.15/INF/21






Way forward


• Next steps for the EWG on RA: • Development of rationales in relation to its recommended

options for possible amendments to Annex IV

• Further review of its recommended options for possible amendments to entries A1180 and B1110

• Review of Annexes I and III

• Next sessions of the EWG on RA-4:• 11-15 October 2021 on continuing the review of Annexes I and

III,

• Thursday 13 January 2022 dedicated to further work on the recommended option for the review of the e-waste entries A1180 and B1110, and

• Possible further set of sessions early 2022 to consider the development of rationales on the recommended options for the review of Annex IV

• COP-15 (face-to-face segment) to consider the way forward with the work of the EWG on RA (document UNEP/CHW.15/13)


Thank you!

For more information on the fourth meeting of the EWG on RA:

http://www.basel.int/Implementation/LegalMatters/LegalClarity/Meetings/4rdRAEWG/tabid/852

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the review of annexes to the basel convention

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