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Introduction to The Basel Convention and Obligations of the Member Parties

Introduction to The Basel Convention and Obligations of the Member Parties. Thanavat Junchaya UNEP ROAP. Basel Convention Background. Illicit movements from developed to developing countries of HW HW disposal costs in developed countries were high & regulat ed

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Introduction to The Basel Convention and Obligations of the Member Parties

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  1. Introduction to The Basel Convention and Obligations of the Member Parties Thanavat Junchaya UNEP ROAP

  2. Basel Convention Background • Illicit movements from developed to developing countries of HW • HW disposal costs in developed countries were high & regulated • Disposal costs in developing countries were low, few laws, low standards and weak enforcement • No international framework to control dumping • International outrage led to the Basel Convention

  3. International Law • 1980s Montevideo Program • Guidelines for the ESM of HWadopted by UNEP in 1987 • 1989 Adoption of the Basel Convention on the Control of Transboundary Movements of HW and their Disposal • May 5, 1992 Entry into force of the Basel Convention • 160 Parties (as of May 2004)

  4. Basel Convention Objectives • To reduce transboundary movements of hazardous wastes • To treat and dispose of hazardous wastes as close as possible to the source of generation • To minimize the generation of hazardous wastes • Promotion of ESM of hazardous and other wastes • Assist Developing countries with the implementation of the Convention

  5. Basel Convention Definition of Waste • “substances or objects which are disposed of or are intended to be disposed of or are required to be disposed of by the provisions of national law”

  6. Which hazardous wastes are covered by the Convention ? • Art. 1, para. 1 (a): Wastes that belong to any category in Annex I unless they do not possess any characteristics in Annex III. • Art. 1, para. 1 (b): Wastes defined as hazardous by national legislation. • Art. 1, para. 2: Wastes that belong to any category in Annex II • Annex VIII and IX further defines what is and what is not aHW

  7. Why ULAB is Hazardous Waste • It is used and destined to be disposed of (Article 2 definitions) • Annex I ULAB is classified as a Y31 (lead) and Y34 (acidic) waste • Annex III ULAB include Hazardous characteristics H5.1 to H13. • Annex VIII ULAB classified as A1020 • Priority waste stream identified under the Strategic plan for the Basel Convention to 2010

  8. What movements are controlled by the Convention? Transboundary Movement (TM): Any movement of HW or other wastes from an area under the national jurisdiction of one State to or through an area under the national jurisdiction of another State or to or through an area not under the national jurisdiction of any State, provided at least two States are involved in the movement.

  9. Obligations of the Member Parties • Competent authorities and focal points • General obligations • Country of import • Country of export • Country of transit

  10. Competent Authorities and Focal Points The Parties shall: Designate or establish one or more Competent Authorities: • Government authority responsible for receiving and responding to notifications of TM of HW and one Focal Point: • Entity responsible for receiving and submitting information as provided for in Articles 13 and 16

  11. General Obligations • Parties exercising their right to prohibit import of HW shall inform other Parties. • Each Party shall prevent imports of HW if it believes that wastes will not be managed in an ESM. • A Party shall not permit HW to be imported from a non-Party. • Each Party shall ensure that persons involved in the ESM of HW prevent pollution.

  12. General Obligations • Each Party shall prohibit all persons under its national jurisdiction from transporting or disposing HW unless such persons are authorized or allowed to perform such operations • Each Party shall require all HW be packaged, labeled, and transported in conformity with accepted international rules and standards • The Parties shall require that each person who takes charge of a TM of HW sign the movement document on receipt of wastes in question

  13. The Control System for Transboundary Movements • Procedure of notification of a TM is based on prior informed consent • State of Export obligation to: • Notify through the Competent Authority - One waste stream but multiple shipments • Not to allow the TM before written consent from import (and transit) State and before receiving information on contract between the exporter and the disposer

  14. The Control System for Transboundary Movements • State of Import obligation to: • Respond in writing, consenting with or without conditions, denying permission or asking for additional information • State of Transit may consent, deny permission or request additional information • Movement document • Duty to re-import (Art. 8)

  15. Exporter concludes a contract with the Disposer and arranges necessary guarantees and insurances Notification and Authorization Exporter concludes a contract with the Disposer and arranges necessary guarantees and insurances

  16. Exporter provides a notification to the State of export, and from there, to the State of import and transit Notification and Authorization Exporter concludes a contract with the Disposer and arranges necessary guarantees and insurances Exporter provides a notification to the State of export, and from there, to the State of import and transit

  17. State of transit issues an acknowledgement Notification and Authorization Exporter concludes a contract with the Disposer and arranges necessary guarantees and insurances Exporter provides a notification to the State of export, and from there, to the State of import and transit State of transit issues an acknowledgement

  18. State of transit provides a written tacit consent, or an objection within 60 days Notification and Authorization Exporter concludes a contract with the Disposer and arranges necessary guarantees and insurances Exporter provides a notification to the State of export, and from there, to the State of import and transit State of transit provides a written tacit consent, or an objection within 60 days State of transit issues an acknowledgement

  19. State of import provides consent or an objection to the shipment Notification and Authorization Exporter concludes a contract with the Disposer and arranges necessary guarantees and insurances Exporter provides a notification to the State of export, and from there, to the State of import and transit State of import provides consent or an objection to the shipment State of transit issues an acknowledgement State of transit provides a written tacit consent, or an objection within 60 days

  20. State of export issues a decision with an authorization or objection Notification and Authorization Exporter concludes a contract with the Disposer and arranges necessary guarantees and insurances Exporter provides a notification to the State of export, and from there, to the State of import and transit State of transit issues an acknowledgement State of export issues a decision with an authorization or objection State of import provides consent or an objection to the shipment State of transit provides a written tacit consent, or an objection within 60 days

  21. Authorization: Movement may proceed Notification and Authorization Exporter concludes a contract with the Disposer and arranges necessary guarantees and insurances Exporter provides a notification to the State of export, and from there, to the State of import and transit State of transit issues an acknowledgement State of import provides consent or an objection to the shipment Authorization: Movement may proceed State of transit provides a written tacit consent, or an objection within 60 days State of export issues a decision with an authorization or objection

  22. Notification and Authorization Exporter concludes a contract with the Disposer and arranges necessary guarantees and insurances Exporter provides a notification to the State of export, and from there, to the State of import and transit State of transit issues an acknowledgement State of import provides consent or an objection to the shipment State of transit provides a written tacit consent, or an objection within 60 days Tracking Procedure State of export issues a decision with an authorization or objection Authorization: Movement may proceed Tracking Procedure

  23. Notification and Authorization Exporter concludes a contract with the Disposer and arranges necessary guarantees and insurances Exporter provides a notification to the State of export, and from there, to the State of import and transit State of transit issues an acknowledgement State of import provides consent or an objection to the shipment State of transit provides a written tacit consent, or an objection within 60 days Objection: Movement may not proceed State of export issues a decision with an authorization or objection Authorization: Movement may proceed Objection: Movement may not proceed Tracking Procedure

  24. Exporter concludes a contract with the Disposer and arranges necessary guarantees and insurances Exporter provides a notification to the State of export, and from there, to the State of import and transit State of transit issues an acknowledgement State of import provides consent or an objection to the shipment State of transit provides a written tacit consent, or an objection within 60 days State of export issues a decision with an authorization or objection Authorization: Movement may proceed Objection: Movement may not proceed Tracking Procedure Notification and Authorization

  25. Tracking Procedure Notification and Authorization Procedure Notification and Authorization Procedure

  26. Tracking Procedure Notification and Authorization Procedure Exporter completes the movement document to accompany each consignment Exporter completes the movement document to accompany each consignment

  27. Tracking Procedure Notification and Authorization Procedure Exporter completes the movement document to accompany each consignment Carrier completes the movement document when taking possession of the consignment Carrier completes the movement document when taking possession of the consignment

  28. Tracking Procedure Notification and Authorization Procedure Exporter completes the movement document to accompany each consignment Carrier completes the movement document when taking possession of the consignment Upon receipt of waste, disposer completes the Movement document and sends a signed copy of it to the exporter in the State of export Upon receipt of waste, disposer completes the Movement document and sends a signed copy of it to the exporter in the State of export

  29. Tracking Procedure Notification and Authorization Procedure Upon completion of disposal, the disposer completes the Movement document, retains the original for filing and sends a signed copy of it to the exporter and the State of export Exporter completes the movement document to accompany each consignment Carrier completes the movement document when taking possession of the consignment Upon receipt of waste, disposer completes the Movement document and sends a signed copy of it to the exporter in the State of export Upon completion of disposal, the disposer completes the Movement document, retains the original for filing and sends a signed copy of it to the exporter and the State of export

  30. Tracking Procedure Notification and Authorization Procedure Exporter completes the movement document to accompany each consignment Carrier completes the movement document when taking possession of the consignment Upon receipt of waste, disposer completes the Movement document and sends a signed copy of it to the exporter in the State of export Upon completion of disposal, the disposer completes the Movement document, retains the original for filing and sends a signed copy of it to the exporter and the State of export Financial guarantee may be released by the Competent Authority Financial guarantee may be released by the Competent Authority

  31. Notification and Authorization Procedure Exporter completes the movement document to accompany each consignment Carrier completes the movement document when taking possession of the consignment Upon receipt of waste, disposer completes the Movement document and sends a signed copy of it to the exporter in the State of export Upon completion of disposal, the disposer completes the Movement document, retains the original for filing and sends a signed copy of it to the exporter and the State of export Financial guarantee may be released by the Competent Authority Tracking Procedure

  32. YES YES NO ILMC Responsibilities of Exporters Proceed Is the Movement subject to the Basel Convention? NO Is the Movement subject to the General Restrictions of the Convention or National Legislation? Do not Proceed YES Conclude a Contract with the Disposer Arrange financial guarantees and insurances Provide notification to the State of Export Wait for authorization from the competent authorities concerned Do not Proceed In its written decision, has the State of export authorized the movement? NO Complete and sign movement document and retain a copy Ensure tracking procedure is carried out in accordance with the Convention

  33. YES YES YES NO YES ILMC Responsibilities of Competent Authority of the Export State Check the notification upon receipt Request missing Information Is the Notification completed? NO Issue an objection Are there immediate objections to the movement? YES Transmit the Notification to the States of Import and Transit Has the transit State given written/tacit consent to the movement within 60 days? NO Has the State of Import given written consent to the movement? NO Can the movement be carried out under the Convention and national legislation? NO Issue an authorization with/without conditions Control the tracking..

  34. Transboundary Movements Control System - Prohibitions NO • Movements to non-Parties • Export to States with import prohibition • Export for disposal 60o South • Export to States without ESM

  35. Transboundary Movements Illegal Traffic When there is NO: • Notification to concerned States • No consent of State concerned Also When: • Consent is obtained by fraudfalsification, misrepresentation or movement details do not conform with the documentation • Disposal contravenesthe Convention and international law

  36. Transboundary Movements Illegal Traffic – Remedies Incorporate sanctions &penalties • Return waste to the exporter • Disposed of under ESM • By the exporter • By the importer • By the exporter or importer

  37. Transboundary Movements Illegal Traffic – Action Points • Build up enforcement capacities • Customs Staff Training courses • Promote inter-ministerial cooperation • Developconsistent approach • Use approved TB forms • Bring any cases of illegal traffic to the attention of the SBC

  38. Transboundary Movements Illegal Traffic – Guidance • National Capacity Building and International Cooperation • Prevention - Detection, investigation, management of intercepted cargo • Monitoring and intelligence - Data gathering and analysis • Managing Alleged and Confirmed Cases of illegal trafficking • Use of Electronic Information

  39. Environmentally Sound Management • Central goal of the Basel Convention • ESM means using “integrated life-cycle approach” which involves strong controls from • the generation of a HW to • its storage, transport, treatment, reuse, recycling, recovery and final disposal

  40. ESM of Hazardous & Other Wastes • ESM takes all practicable steps to ensure that HW or other wastes are managed in a manner that protects human health and the environment against the adverse effects which may result from such wastes • Elaboration of technical guidelines for the ESM of specific HW or disposal / recovery • Basel Declaration on ESM and the Strategic Plan provide a strengthened mandate for achieving the the practical implementation of ESM through waste minimization and capacity building.

  41. ESM of Hazardous & Other Wastes Principles of ESM and TM: • Self-sufficient Principle • Proximity Principle • Least TM Principle • Polluter Pays Principle • Principle of Sovereignty • Integrated Life-cycle Principle • Precautionary Principle • Integrated Pollution Control Principle • Standardization Principle

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