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BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES

BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES. Introduction.

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BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES

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  1. BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES

  2. Introduction The Basel Convention regulates the trans-boundary movement of hazardous wastes and other wastes. The Convention applies whenever those wastes covered by the Convention cross from one national jurisdiction to another, whether or not the wastes are being shipped as part of a commercial transaction or under a trading relationship.

  3. Unit Objectives • Know the conditions for trans boundary movements including the requirement for Prior Informed Consent • Specify the role of the focal point and competent authority • Define wastes in relation to the Convention • Learn the Basel Control System • Determine the role of customs and border control

  4. Unit Outline • Introduction • Scope of the Basel convention • Conditions for trans-boundary movement • Focal Points and Competent Authority • Definition of Wastes • Basel Control System • Role of Customs and Border control • Conclusion

  5. Scope of Basel Convention The Basel Convention was adopted on 22 March 1989, and it entered into force on 5 May 1992*. There are 170 Parties to the Basel Convention All CARIFORUM countries, except Grenada, are parties to the Convention. http://www.basel.int/Countries/Statusofratifications/PartiesSignatories/tabid/1290/language/en-US/Default.aspx

  6. Scope of Basel Convention The main goal of the Basel Convention is to protect human health and the environment against the adverse effects resulting from the generation and management of hazardous wastes and other wastes

  7. Scope of Basel Convention Basel Convention establishes the legal and procedural framework for the regulation of cross border shipments of hazardous and other wastes. The intention is to ensure that such shipments take place only when the transport and disposal of the wastes are conducted in an environmentally sound manner.

  8. Purpose of BC • To reduce trans-boundary movements of hazardous wastes and other wastes to a minimum consistent with their environmentally sound management • To treat and dispose of hazardous wastes and other wastes as close as possible to their source of generation in an environmentally sound manner • To minimise the generation of hazardous wastes and other wastes in terms of both quantity and potential hazard.

  9. Conditions for Movement • The State of export does not have the technical capacity and the facilities, capacity or suitable disposal sites needed to dispose of the wastes in question in an environmentally sound manner; or • The wastes in question are required as raw material for recycling or recovery industries in the State of import.

  10. Environmentally Sound Management (ESM) is defined as “taking all practicable steps to ensure that the wastes are managed in a manner which will protect human health and the environment against the adverse effects which may result from such wastes” - (Article 2(8))

  11. Prior Informed Consent Basel Convention has established a regulatory system based on the following: • The requirement of Prior Informed Consent of a State of import and States of transit before a waste can be exported and the establishment of a notification Procedure • Restriction on exports to a country that is not a party to the Convention • A duty to re-import when an export has not complied with the provisions of the Convention.

  12. Prohibitions - Import & Exports Parties may prohibit import of wastes Parties must not allow the export of waste prohibited by another party Party must not allow export of waste to a state incapable of ESM A party is prohibited from import /export to a non party state

  13. Focal Points & Competent Authority BC provides for the designation of a focal point and a competent authority by each Party. A focal point is responsible for submitting information to and receiving information from the Secretariat. The Competent Authority is responsible for dealing with notifications of a trans-boundary movement of hazardous wastes or other wastes.

  14. Focal Points & Competent Authority BC relies on an interaction between the national and international levels. State to State contacts are made through the Competent Authority A notification procedure is in place to ensure that a State has the information it needs to make an informed decision about permitting imports, exports or a transit shipment It is imperative for Border Control personnel to know who the Competent Authority is in your country:

  15. Effective Enforcement The Focal Point and the Competent Authority should ensure that all national enforcement agencies, including Customs, are kept appropriately informed. The list of competent authorities can be found on: http://www.basel.int/Countries/CountryContacts/tabid/1342/Default.aspx Customs officers must know about any restrictions or requirements that derive from the Convention or from measures adopted by individual States, when verifying shipments at the border. ( Refer to the following link: http://www.basel.int/Countries/ImportExportRestrictions/tabid/1481/Default.aspx

  16. BCRC-Caribbean The Basel Convention Regional Centre for Training and Technology for the Caribbean Region (BCRC-Caribbean) serves the Parties to the Basel Convention within the Caribbean in their efforts to implement the Convention. Located in Trinidad and Tobago, it was established under Article 14 of the Convention as well as Act Number 2 of 2008 of the Republic of Trinidad and Tobago.

  17. BCRC-Caribbean • The Centre forms an important functional and operational part of the institutional framework of the Basel Convention. • The core functions of the BCRC-Caribbean include training, technology transfer, information dissemination, consulting, and awareness raising.

  18. BCRC-Caribbean The countries served by the Centre are Antigua and Barbuda, Bahamas, Barbados, Belize, Cuba, Dominica, Dominican Republic, Guyana, Jamaica, Trinidad and Tobago, Saint Kitts and Nevis, Saint Lucia, and Saint Vincent and the Grenadines.

  19. Definitions The Convention defines wastes as: “substances or objects which are disposed of, or intended to be disposed of, or are required to be disposed of by the provisions national law” -Article 2, paragraph 1) “Hazardous wastes” listed in Annex I and exhibiting Annex III characteristics, such as explosive, flammable, oxidizing, poisonous or corrosive. Annexes VIII and IX further clarify what is - and what is not - understood by “hazardous wastes”.

  20. Annex 1- Hazardous Wastes Annex I lists waste streams (wastes resulting from activities such as medical care, pharmaceutical industries, photographic industries, etc., coded Y1 – Y18) and wastes having specific components /constituents (e.g. cadmium, lead, arsenic, etc., coded Y19 – Y45). The wastes are given codes to assist identification, and should be used in documents that must accompany each shipment of waste across frontiers.

  21. Annex III – Hazardous Characteristics Annex III lists a number of hazardous characteristics that pose dangers because of the impact that such substance(s) or mixtures of substances may have. Such characteristics are, for example, explosiveness, flammability, production of inflammable or toxic gases, etc. and are coded H1 – H13.

  22. Non Hazardous Wastes Some wastes are regarded as non-hazardous if it can be shown that they do not display one of the hazardous characteristics listed in Annex III and NOT covered by the provisions of the Basel Convention BUT they may still be covered when defined as, or are considered to be, hazardous wastes by the domestic legislation of the Party of export, import or transit

  23. National Definitions of Hazardous Wastes ARTICLE 3.1 - Each Party shall, within six months of becoming a Party to this Convention, inform the Secretariat of the Convention of the wastes, other than those listed in Annexes I and II, considered or defined as hazardous under its national legislation and of any requirements concerning trans-boundary movement procedures applicable to such wastes. For more information on national definitions of waste visit the following link: http://basel.int/Procedures/NationalDefinitions/tabid/1321/Default.asp

  24. Annexes to Basel Convention Annex I - Categories of wastes to be controlled Annex II - Categories of wastes requiring special consideration Annex III- List of hazardous characteristics Annex IV - Disposal operations Annex V A- Information to be provided on notification Annex V B - Information to be provided on the movement document Annex VI – Arbitration Annex VII - Not yet entered into force Annex VIII - List A -Wastes contained in this Annex are characterized as hazardous Annex IX - List B - Wastes contained in the Annex will not be wastes covered by Article 1

  25. Identification and Classification The Secretariat of the Basel Convention co-ordinates with the WCO to continually review and identify the corresponding HS codes for the wastes covered by the Basel Convention. Customs declarations may contain either the codes assigned by the Convention or the Harmonized System codes available on the website of the World Customs Organization.: www.wcoomd.org

  26. Case Study • Discuss the challenges and possible solutions of managing the increasing volumes of e-waste in countries of the Caribbean. Refer to the Position Paper entitled “ The Views of E- Waste Recycling in the Caribbean” published by The Basel Convention Regional Centre for Training and Technology for the Caribbean Region (BCRC-Caribbean) https://www.sugarsync.com/pf/D7142258_4656752_689914

  27. Case Study • Divide the class into 3 groups and allow 15 minutes for discussion. • Each group will appoint a representative to deliver a brief presentation ( 5 minutes)

  28. IllegalTraffic in BC Wastes • Illegal traffic refers to any trans-boundary movement of BC wastes (Art. 9): • (a) Without notification to all States concerned; • (b) Without the consent of a State concerned; • (c) With consent obtained from States concerned through falsification, misrepresentation, or fraud; • (d) That does not conform in a material way with the documents; • (e) That results in deliberate disposal (e.g. dumping) of BC wastes in contravention of the Convention and of general principles of law

  29. IllegalTraffic in BC Wastes • Parties are required to consider illegal traffic as a crime. In cases of illegal traffic which is due to conduct of the exporter or generator, the State of export shall ensure that the wastes in question are: • Taken back by the exporter or the generator or the State of export; or • Are otherwise disposed of in accordance with the provisions of the Convention

  30. Basel Rules from Start to Finish Stage 1: Notification Conclude a contract specifying ESM DISPOSER GENERATOR Inform of proposed movement Refuse to allow export Send Notification Document COUNTRY OF IMPORT COUNTRY OF EXPORT COUNTRY OF TRANSIT

  31. Basel Rules from Start to Finish Stage 2: Consent and Issuance of Movement Document DISPOSER GENERATOR If consent and proof of contract, then issue Movement Document Consent/Deny Movement (written) COUNTRY OF IMPORT COUNTRY OF EXPORT Confirm contract specifying ESM COUNTRY OF TRANSIT

  32. Basel Rules from Start to Finish Stage 3: Transboundary Movement GENERATOR DISPOSER Send copy of Movement Document confirming receipt of shipment COUNTRY OF IMPORT COUNTRY OF EXPORT COUNTRY OF TRANSIT

  33. Basel Rules from Start to Finish Stage 4: Confirmation of disposal GENERATOR DISPOSER Upon completion, send confirmation that disposal taken place May wish to follow up in order to confirm completion If no confirmation received, advise accordingly COUNTRY OF IMPORT COUNTRY OF EXPORT COUNTRY OF TRANSIT

  34. Verification at Customs Illegal activities can occur at any of these four stages:

  35. Border Control Procedures Customs at Country of Export Is there a movement document? Is there an export authorization by the Competent Authority? Do the contents correspond to the movement document? Is the packaging in order? RELEASE SHIPMENT FOR EXPORT

  36. Border Control Procedures Customs – Transit Country (Entry) If no, then return shipment Is there proof of your CA’s consent? Do you agree with observations of Customs of exporting country? Are the contents, quantity and packaging the same as on departure from Country of Export? RELEASE SHIPMENT FOR TRANSIT

  37. Border Control Procedures Customs – Transit Country (Exit) Are the contents, quantity and packaging the same as on entry into Country of Transit? If more, is there adequate documentation to account for surplus? NO RELEASE FOR MOVEMENT TO COUNTRY OF IMPORT

  38. Border Control Procedures Border Control Procedures Customs – Import Country If no, then return shipment Is there proof of your CA’s consent? Do you agree with observations of Customs of exporting country? Are the contents, quantity and packaging the same as on departure from Country of Export? RELEASE SHIPMENT FOR DISPOSAL

  39. Points to Note Shipments should be appropriately packaged and accompanied by all the appropriate documentation, including a hazardous waste movement document, hazardous materials placards and an “Acknowledgement of Consent” from the State of import.

  40. Responding to a suspect shipment • Four essential steps: • Assess the situation; • Identify the hazardous substance; • Secure the scene; • (d) Report the incident to relevant health, safety and regulatory personnel

  41. Cooperation to enforce the Basel Convention • National Level: • Customs officers and enforcement agents; Port Authorities; Focal Points; Competent Authorities; Ministries of Justice; and Prosecution services • Regional Level: • Inter-regional cooperation and exchange of information • International Level: • Basel Convention, WCO, Interpol, Green Customs • Synergies/Cooperation with other conventions

  42. RelevantBaselConvention Reference Materials • Guide to the Control System (Instruction Manual) • http://www.basel.int/pub/instruct.doc • Instructions for Completing the Notification and Movement Documents • http://www.basel.int/techmatters/forms-notif-mov/vCOP8.pdf • Guidance Elements for Detection, Prevention and Control of Illegal Traffic in Hazardous Wastes • http://www.basel.int/legalmatters/illegtraffic/ge_e.doc • Training Manual on Illegal Traffic for Customs Officers and other Enforcement Agencies • http://www.basel.int/legalmatters/illegtraffic/trman-e.pdf

  43. For Further Information Visit the Basel Convention’s Website: www.basel.int Acknowledgement : Adapted from a presentation delivered by Yvonne Ewang, Associate Legal Officer, UNEP Secretariat of the Basel Convention On the Control of Hazardous Wastes and Their Disposal at the Regional Green Customs Workshop for the Caribbean Network conducted by UNEP and held in the Dominican Republic, in November 2009.

  44. Conclusion • Discuss main Points and clarify any doubts • Review Objectives • Link to next lesson or unit

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