OECD Decision C(2001)107/FINAL on Transboundary Movements of Wastes Destined for Recovery Operations: Controls international shipments of waste destined for recycling and other recovery operations

What’s Required

1. Determine whether the material is legally waste

The Decision defines waste as substances or objects that:

1. Are disposed of or recovered.

2. Are intended for disposal or recovery.

3. Must be disposed of or recovered under national law.

Determining whether a shipment is a product, by-product or waste is therefore fundamental.

2. Ensure the shipment is destined for recovery

The Decision applies specifically to waste destined for recovery operations.

Recovery can include activities such as:

• Recycling.

• Reclamation.

• Regeneration.

• Recovery of metals.

• Recovery of organic substances.

• Certain forms of energy or material recovery where classified accordingly.

3. Use an authorized recovery facility

Waste must be sent to a facility that is:

1. Operating legally under the importing country's law, or

2. Authorized or permitted to receive the waste and conduct the relevant recovery operation.

The recovery must be carried out in an environmentally sound manner.

4. Determine whether Green or Amber controls apply

The OECD system uses a two-tier approach.

• Green Control Procedure

Generally applies to wastes presenting a lower risk to human health and the environment.

These shipments are generally subject to controls similar to ordinary commercial transactions, although applicable national law still applies.

• Amber Control Procedure

Applies to waste streams considered sufficiently risky to justify greater controls.

These shipments generally require:

1. Prior notification.

2. Competent authority involvement.

3. Consent.

4. Movement documents.

5. Contractual arrangements.

5. Classify waste correctly

Waste is listed in the Decision's appendices.

The Green and Amber lists are aligned closely with relevant Basel Convention waste lists.

Incorrect classification can cause:

1. Shipment delays.

2. Rejection.

3. Enforcement.

4. Illegal-traffic implications under national law.

6. Notify competent authorities for Amber shipments

Amber-list waste normally requires prior notification to the competent authorities of relevant countries.

These can include:

• Country of export.

• Country of import.

• Transit countries.

7. Obtain consent where required

The shipment must not proceed until applicable authorization or consent requirements have been satisfied.

The OECD system allows certain streamlined arrangements for pre-consented recovery facilities.

8. Use notification and movement documents

The OECD Decision provides standardized forms for:

1. Notification.

2. Waste movement tracking.

These support consistent controls between participating countries.

9. Maintain contracts

Parties involved in controlled waste movements should establish appropriate contracts or arrangements.

These help determine responsibility where:

1. A shipment cannot be completed.

2. Waste is rejected.

3. Recovery fails.

4. Waste must be returned.

10. Ensure all involved parties have appropriate legal status

Exporters, importers, traders and recovery facilities must have appropriate legal status under applicable domestic legislation.

11. Comply with transport rules

Waste shipments must also comply with applicable international transport agreements.

This can include separate requirements for:

• Hazardous goods.

• Packaging.

• Labeling.

• Vehicle or vessel transport.

12. Comply with non-OECD transit rules

Where waste passes through a non-OECD country, international law and the national laws of that country apply.

Important Dates

1. March 30, 1992: Earlier OECD recovery-waste control Decision C(92)39/FINAL adopted.

2. June 14, 2001: Revised Decision C(2001)107 adopted.

3. February 28, 2002: Addendum covering notification and movement documentation adopted.

4. 2004: Consolidated final version released and corrected.

5. 2004, 2005 and 2008: Important amendments adopted.

6. January 28, 2026: Colombia began participating in the OECD Decision control system.

7. Ongoing: OECD countries continue to implement Green and Amber control procedures through national legislation and competent authorities.

Current Status

Active international OECD legal instrument.

All OECD Member countries are adherents to the Decision, and the OECD continues to maintain databases covering:

1. Competent authorities.

2. Pre-consented recovery facilities.

3. Relevant waste details.

4. Recovery technologies.

5. Shipment information.

Penalties for Non-Compliance

The OECD itself does not impose corporate fines.

Enforcement occurs through national authorities.

Possible consequences include:

1. Shipment refusal.

2. Customs detention.

3. Orders to return waste.

4. Administrative fines.

5. Criminal penalties for illegal waste shipments.

6. Suspension of exporter or waste-management authorization.

7. Environmental remediation liability.

Examples of Known Violations / Failure Modes

1. Shipping Amber waste without notification.

2. Shipping before required consent is obtained.

3. Misclassifying waste as Green.

4. Describing waste as a product to avoid waste controls.

5. Shipping contaminated waste under an inappropriate code.

6. Sending waste to an unauthorized recovery facility.

7. Missing movement documents.

8. Incorrect exporter or importer details.

9. Failure to disclose transit countries.

10. Shipping waste that cannot be recovered as declared.

11. Inadequate contractual arrangements.

12. Failure to return rejected waste.

Resources

• https://legalinstruments.oecd.org/en/instruments/OECD-LEGAL-0266

• https://www.oecd.org/en/data/tools/transboundary-movements-of-waste.html

• https://www.oecd.org/en/publications/guidance-manual-for-the-control-of-transboundary-movements-of-recoverable-wastes_9789264060753-en.html

• https://doi.org/10.1787/9789264060753-en