Transcript Document

BASEL CONVENTION
ON THE CONTROL OF
TRANSBOUNDARY
MOVEMENTS
OF HAZARDOUS WASTES
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.
Unit Objectives
1.
Know the conditions for trans boundary movements
including the requirement for Prior Informed Consent
2.
Specify the role of the focal point and competent
authority
3.
Define wastes in relation to the Convention
4.
Learn the Basel Control System
5.
Determine the role of customs and border control
Unit Outline
1.
Introduction
2.
Scope of the Basel convention
3.
Conditions for trans-boundary movement
4.
Focal Points and Competent Authority
5.
Definition of Wastes
6.
Basel Control System
7.
Role of Customs and Border control
8.
Conclusion
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/tab
id/1290/language/en-US/Default.aspx
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
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.
Purpose of BC
1.
To reduce trans-boundary movements of hazardous
wastes and other wastes to a minimum consistent
with their environmentally sound management
2.
To treat and dispose of hazardous wastes and other
wastes as close as possible to their source of
generation in an environmentally sound manner
3.
To minimise the generation of hazardous wastes and
other wastes in terms of both quantity and potential
hazard.
Conditions for Movement
1.
2.
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.
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))
Prior Informed Consent
Basel Convention has established a regulatory system
based on the following:
1. 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
2.
Restriction on exports to a country that is not a
party to the Convention
3.
A duty to re-import when an export has not
complied with the provisions of the Convention.
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
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.
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:
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/tabi
d/1481/Default.aspx
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.
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.
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.
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”.
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.
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.
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
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
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
Identification and Classification
The Secretariat of the Basel Convention coordinates 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
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 (BCRCCaribbean)
https://www.sugarsync.com/pf/D7142258_4656752_689914
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)
Illegal Traffic 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
Illegal Traffic 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
Basel Rules from Start to Finish
Stage 1: Notification
GENERATOR
Inform of
proposed
movement
Conclude a contract specifying ESM
DISPOSER
Refuse to
allow
export
COUNTRY OF
EXPORT
Send Notification Document
COUNTRY OF
TRANSIT
COUNTRY OF
IMPORT
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
EXPORT
Confirm contract specifying ESM
COUNTRY OF
TRANSIT
COUNTRY OF
IMPORT
Basel Rules from Start to Finish
Stage 3: Transboundary Movement
GENERATOR
Send copy of
Movement
Document
confirming receipt
of shipment
DISPOSER
COUNTRY OF
IMPORT
COUNTRY OF
EXPORT
COUNTRY OF
TRANSIT
Basel Rules from Start to Finish
Stage 4: Confirmation of disposal
GENERATOR
COUNTRY OF
EXPORT
Upon completion,
send confirmation
that disposal taken
place
If no confirmation received, advise
accordingly
COUNTRY OF
TRANSIT
DISPOSER
May wish to follow
up in order to
confirm completion
COUNTRY OF
IMPORT
Verification at Customs
Illegal activities can occur at any of these four stages:
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
Border Control Procedures
Customs – Transit Country (Entry)
Is there proof of your CA’s consent?
If no, then
return
shipment
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
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?
RELEASE FOR MOVEMENT TO COUNTRY OF IMPORT
NO
Border Control Procedures
Customs – Import Country
Is there proof of your CA’s consent?
If no, then
return
shipment
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
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.
Responding to a suspect shipment
Four essential steps:
(a) Assess the situation;
(b) Identify the hazardous
substance;
(c) Secure the scene;
(d) Report the incident to
relevant health, safety
and regulatory
personnel
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
Relevant Basel Convention 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
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.
Conclusion

Discuss main Points and clarify any doubts

Review Objectives

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