Introduction to The Basel Convention and Obligations of the Member Parties

ILMC

Introduction to The Introduction to The Basel Convention Basel Convention

and and Obligations of the Obligations of the Member PartiesMember Parties

Thanavat JunchayaThanavat JunchayaUNEP ROAPUNEP ROAP

ILMC

Basel Convention BackgroundBasel Convention Background

Illicit movements from developed Illicit movements from developed to developing countries of to developing countries of HWHW

HWHW disposal costs in developed disposal costs in developed countries were highcountries were high & & regulat regulateded

Disposal costs in developing Disposal costs in developing countries were low, few countries were low, few lawslaws, low , low standardsstandards and weak enforcement and weak enforcement

No international framework to No international framework to control dumpingcontrol dumping

International outrage led to the International outrage led to the Basel ConventionBasel Convention

ILMC

International LawInternational Law

1919880s Montevideo Program 0s Montevideo Program Guidelines for the Guidelines for the ESM ESM of of HWHW

adopted by adopted by UNEP in 1987 UNEP in 1987 1989 Adoption of the Basel 1989 Adoption of the Basel

Convention on the Control of Convention on the Control of Transboundary Movements of Transboundary Movements of HWHW and their Disposal and their Disposal

May 5, 1992 Entry into force of May 5, 1992 Entry into force of the Basel Convention the Basel Convention

160 Parties (as of May 2004)160 Parties (as of May 2004)

ILMC

Basel Convention ObjectivesBasel Convention Objectives

To reduce transboundary movements To reduce transboundary movements of hazardous wastesof hazardous wastes

To treat and dispose To treat and dispose of of hazardous hazardous wastes as close as possible to the wastes as close as possible to the source of generationsource of generation

To minimize the generation of To minimize the generation of hazardous wastes hazardous wastes

Promotion of Promotion of ESMESM of hazardous and of hazardous and other wastesother wastes

Assist Developing countries with the Assist Developing countries with the implementation of the Conventionimplementation of the Convention

ILMC

Basel Convention Basel Convention Definition of WasteDefinition of Waste

““substances or objects which substances or objects which are disposedare disposed of or of or are are intended to be disposedintended to be disposed of or of or are required to be disposedare required to be disposed of of by the provisions of national by the provisions of national law”law”

ILMC

Which hazardous wastes are Which hazardous wastes are covered by the Convention ?covered by the Convention ?

Art. 1, para. 1 (a): Wastes that Art. 1, para. 1 (a): Wastes that belong to any category in Annex I belong to any category in Annex I unless they do not possess any unless they do not possess any characteristics in Annex III. characteristics in Annex III.

Art. 1, para. 1 (b): Wastes defined Art. 1, para. 1 (b): Wastes defined as hazardous by national as hazardous by national legislation. legislation.

Art. 1, para. 2: Wastes that belong Art. 1, para. 2: Wastes that belong to any category in Annex II to any category in Annex II

Annex VIII and IX further defines Annex VIII and IX further defines what is and what is not what is and what is not aa HWHW

ILMC

Why ULAB Why ULAB isis Hazardous Waste Hazardous Waste It is used and destined to be It is used and destined to be

disposed of (Article 2 definitions)disposed of (Article 2 definitions)

Annex I ULAB is classified as a Y31 Annex I ULAB is classified as a Y31 (lead) and Y34 (acidic) waste(lead) and Y34 (acidic) waste

Annex III ULAB include Hazardous Annex III ULAB include Hazardous characteristics H5.1 to H13. characteristics H5.1 to H13.

Annex VIII Annex VIII ULABULAB classified as A1020 classified as A1020

Priority waste stream identified under Priority waste stream identified under the Strategic plan for the Basel the Strategic plan for the Basel Convention to 2010Convention to 2010

ILMC

What movements are controlled What movements are controlled by the Convention?by the Convention?

Transboundary Movement (TM)Transboundary Movement (TM):: Any movement of HW or other Any movement of HW or other

wastes from an area under the wastes from an area under the national jurisdiction of national jurisdiction of one Stateone State to or through an area under the to or through an area under the national jurisdiction of national jurisdiction of another another StateState or to or through an area not or to or through an area not under the national jurisdiction of under the national jurisdiction of any Stateany State, provided at least two , provided at least two States are involved in the States are involved in the movementmovement..

ILMC

Obligations of the Member PartiesObligations of the Member Parties

Competent authorities and focal Competent authorities and focal

pointspoints

General obligationsGeneral obligations

Country of importCountry of import

Country of exportCountry of export

Country of transitCountry of transit

ILMC

Competent Authorities Competent Authorities andand Focal Points Focal Points

The Parties shallThe Parties shall::DDesignate or establish one or more esignate or establish one or more CCompetent ompetent AAuthorituthoritiesies::• GGovernment authority overnment authority

responsible for receiving and responsible for receiving and responding responding to to notificationnotificationss of TM of TM of HWof HW

and one and one FFocal ocal PPointoint::• EEntity responsible for receiving ntity responsible for receiving

and submitting information as and submitting information as provided for in Articles 13 and 16provided for in Articles 13 and 16

ILMC

General ObligationsGeneral Obligations

Parties exercising their right to Parties exercising their right to prohibit import of HW shall prohibit import of HW shall inform other Partiesinform other Parties. .

Each Party shall prevent importEach Party shall prevent importss of HW if it believeof HW if it believess that wastes that wastes will not be managed in an will not be managed in an ESM. ESM.

A Party shall not permit HW to be A Party shall not permit HW to be imported from a non-Partyimported from a non-Party..

Each Party shall ensure that Each Party shall ensure that persons involved in the persons involved in the ESM ESM of of HW prevent pollutionHW prevent pollution..

ILMC

Each Party shall prohibit all persons Each Party shall prohibit all persons under its national jurisdiction from under its national jurisdiction from transporting or disposing HW unless transporting or disposing HW unless such persons are authorized or such persons are authorized or allowed to perform such operationallowed to perform such operationss

Each Party shall require all HW be Each Party shall require all HW be packaged, labeled, and transported packaged, labeled, and transported in conformity with accepted in conformity with accepted international rules and standardsinternational rules and standards

The Parties shall require that each The Parties shall require that each person who takes charge of a TM of person who takes charge of a TM of HW sign the HW sign the movement documentmovement document on on receipt of wastes in questionreceipt of wastes in question

General ObligationsGeneral Obligations

ILMC

The Control System for The Control System for Transboundary MovementsTransboundary Movements

Procedure of notification of a Procedure of notification of a TM isTM is based on based on prior prior informedinformed consent consent

State of Export obligation toState of Export obligation to::• Notify through the Competent Notify through the Competent

Authority - One waste stream but Authority - One waste stream but multiple shipmentsmultiple shipments

• Not to allow the TM before written Not to allow the TM before written consent from import consent from import (and transit) (and transit) State and before receiving State and before receiving information on contract between information on contract between the exporter and the disposerthe exporter and the disposer

ILMC

State of Import obligation to:State of Import obligation to:• Respond in writing, consenting Respond in writing, consenting

with or without conditions, with or without conditions, denying permission or denying permission or asking asking for for additional informationadditional information

State of Transit State of Transit maymay consent, consent, deny permission or request deny permission or request additional informationadditional information

Movement document Movement document Duty to re-import (Art. 8)Duty to re-import (Art. 8)

The Control System for The Control System for Transboundary MovementsTransboundary Movements

ILMC

Notification and AuthorizationNotification and AuthorizationExporter concludes a contract with the

Disposer and arranges necessary guarantees and insurances

Exporter concludes a contract with the Disposer and arranges necessary

guarantees and insurances

ILMC



Exporter provides a notification to the State of export, and from there, to the

State of import and transitExporter provides a notification to the State of

export, and from there, to the State of import and transit

ILMC




State of import and transit

State of transit issues an acknowledgement


ILMC






State of transit provides a written tacit consent, or an objection within 60 days


ILMC







State of import provides consent or an objection to the shipment

State of import provides consent or an objection to the

shipment

ILMC








State of export issues a decision with an authorization or objection

State of export issues a decision with an authorization

or objection

ILMC









Authorization: Movement may proceed


ILMC










Tracking Procedure

Tracking Procedure

ILMC










Tracking Procedure

Objection: Movement may not proceed


ILMC










Tracking Procedure


ILMC

Tracking ProcedureTracking ProcedureNotification and Authorization Procedure

Notification and Authorization Procedure

ILMC


Exporter completes the movement document to accompany each consignmentExporter completes the

movement document to accompany each

consignment

ILMC


Exporter completes the movement document to accompany each consignment

Carrier completes the movement document when taking possession of the consignmentCarrier completes the

movement document when taking possession of the

consignment

ILMC



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

ILMC





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

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

ILMC







Financial guarantee may be released by the Competent Authority

Financial guarantee may be released by the Competent

Authority

ILMC







Financial guarantee may be released by the Competent Authority

ILMCYES

Ensure tracking procedure is carried out in accordance with the Convention

Complete and sign movement document and retain a copy

In its written decision, has the State of export authorized the movement?

Wait for authorization from the competent authorities concerned

Provide notification to the State of Export

Responsibilities of ExportersResponsibilities of Exporters Is the Movement subject to the Basel Convention? NO Proceed

YES

Is the Movement subject to the General Restrictions of the Convention or National Legislation?

YES Do notProceed

NO

Conclude a Contract with the Disposer

Arrange financial guarantees and insurances

ILMC NO Do notProceed

ILMCYES

YES

Issue an authorization with/without conditions

Can the movement be carried out under the Convention and national legislation?

Has the State of Import given written consent to the movement?

YES

Are there immediate objections to the movement?

Responsibilities Responsibilities of of Competent Competent Authority of Authority of the Export the Export StateState

Check the notification upon receipt

Is the Notification completed? NORequest missing Information

Issue an objectionYES

NO

Transmit the Notification to the States of Import and Transit

Has the transit State given written/tacit consent to the movement within 60 days?

ILMC

NO

NO

YES

NO

Control the tracking..

ILMC

Transboundary Movements Transboundary Movements Control System Control System - Prohibitions- Prohibitions

NONO

MovementsMovements to non-Parties to non-Parties

ExportExport to States with import to States with import prohibitionprohibition

ExportExport for disposal 60 for disposal 60oo South South

ExportExport to States without to States without ESMESM

ILMC

When there is NOWhen there is NO:: NotificationNotification to concerned States to concerned States NNo consent of State concernedo consent of State concerned

Also WhenAlso When:: CConsent onsent is is obtained obtained by by fraudfraud

falsification, misrepresentation or falsification, misrepresentation or movement details do not conform movement details do not conform with the documentwith the documentationation

DDisposal isposal contravenescontravenes the the Convention and international lawConvention and international law

Transboundary Movements Transboundary Movements Illegal TrafficIllegal Traffic

ILMC

Transboundary Movements Transboundary Movements Illegal Traffic – RemediesIllegal Traffic – Remedies

Incorporate sanctionsIncorporate sanctions & & penaltiespenalties

Return waste toReturn waste to the exporter the exporter

Disposed of under ESMDisposed of under ESM

• By the exporterBy the exporter

• By the importerBy the importer

• By the exporter or importerBy the exporter or importer

ILMC

Build up enforcement capacitiesBuild up enforcement capacities Customs Staff TCustoms Staff Training coursesraining courses Promote inter-ministerial Promote inter-ministerial

cooperationcooperation DevelopDevelop consistent approachconsistent approach Use approved Use approved TB TB formformss Bring any cases of illegal traffic Bring any cases of illegal traffic

to the attention of the to the attention of the SBCSBC

Transboundary Movements Transboundary Movements Illegal Traffic – Action PointsIllegal Traffic – Action Points

ILMC

National Capacity Building and National Capacity Building and International CooperationInternational Cooperation

Prevention Prevention - - Detection, Detection, investigation, management of investigation, management of intercepted cargo intercepted cargo

MonitoringMonitoring and intelligence and intelligence - - Data gathering and analysisData gathering and analysis

Managing Alleged and Confirmed Managing Alleged and Confirmed CasesCases of illegal trafficking of illegal trafficking

Use of Electronic InformationUse of Electronic Information

Transboundary Movements Transboundary Movements Illegal Traffic – GuidanceIllegal Traffic – Guidance

ILMC

Environmentally Sound Environmentally Sound ManagementManagement

Central goal of the Basel Central goal of the Basel ConventionConvention

ESM means using “integrated ESM means using “integrated life-cycle approach” which life-cycle approach” which involves strong controls frominvolves strong controls from• the generation of a HW tothe generation of a HW to• its storage, transport, treatment, its storage, transport, treatment,

reuse, recycling, recovery and reuse, recycling, recovery and final disposalfinal disposal

ILMC

ESMESM of Hazardous of Hazardous && Other Wastes Other Wastes ESM takeESM takess all practicable steps to all practicable steps to

ensure that HW or other wastes are ensure that HW or other wastes are managed in a manner managed in a manner thatthat protect protectss human health and the environment human health and the environment against the adverse effects which may against the adverse effects which may result from such wastesresult from such wastes

Elaboration of technical guidelines for Elaboration of technical guidelines for the ESM of specific HWthe ESM of specific HW or disposal / or disposal / recoveryrecovery

Basel Declaration on ESM and the Basel Declaration on ESM and the Strategic Plan provide a strengthened Strategic Plan provide a strengthened mandate for achieving the the mandate for achieving the the practical implementation of ESM practical implementation of ESM through waste minimization through waste minimization and and capacity buildingcapacity building..

ILMC

Principles Principles of of ESM and TM ESM and TM: :

Self-sufficient PrincipleSelf-sufficient Principle Proximity Principle Proximity Principle Least TM PrincipleLeast TM Principle Polluter Pays Principle Polluter Pays Principle Principle of SovereigntyPrinciple of Sovereignty Integrated Life-cycle PrincipleIntegrated Life-cycle Principle PPrecautionary Principlerecautionary Principle Integrated Pollution Control Integrated Pollution Control

PrinciplePrinciple Standardization PrincipleStandardization Principle

ESMESM of Hazardous of Hazardous && Other Wastes Other Wastes

Documents

Introduction to The Basel Convention and Obligations of the Member Parties