Introduction to The Basel Convention and Obligations of the Member Parties

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Thanavat Junchaya UNEP ROAP

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

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International Law
1980s Montevideo Program Guidelines for the ESM of HW adopted 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)

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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

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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

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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 a HW

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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

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

What movements are controlled by the Convention?

Transboundary Movement (TM):

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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.

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

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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

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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.

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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

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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

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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)

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Notification and Authorization

Exporter 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

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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

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

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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 transit issues an acknowledgement

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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

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

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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 import provides consent or an objection to the shipment State of transit provides a written tacit consent, or an objection within 60 days

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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

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State of export issues a decision with an authorization or objection

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

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 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

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Authorization: Movement may proceed

State of export issues a decision with an authorization or objection

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 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

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Tracking Procedure
Authorization: Movement may proceed

Tracking Procedure

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

State of export issues a decision with an authorization or objection

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Objection: Movement may not proceed

Authorization: Movement may proceed

Objection: Movement may not proceed

Tracking Procedure

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

State of export issues a decision with an authorization or objection

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Authorization: Movement may proceed

Objection: Movement may not proceed Tracking Procedure

Tracking Procedure

Notification and Authorization Procedure

Notification and Authorization Procedure

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

Exporter completes the movement document to accompany each consignment

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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

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Carrier completes the movement document when taking possession of the consignment

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

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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

Tracking Procedure
Notification and Authorization Procedure

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

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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

Exporter completes the movement document to accompany each consignment

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

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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

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

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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

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

Proceed

Is the Movement subject to the General Restrictions of the Convention or National Legislation?
NO

YES

Do not Proceed

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

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

NO

Do not Proceed

Complete and sign movement document and retain a copy

Ensure tracking procedure is carried out in accordance with the Convention

Responsibilities of Competent Authority of the Export State

Check the notification upon receipt Is the Notification completed?
YES NO

Request missing Information Issue an objection

Are there immediate objections to the movement?

NO

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?
YES NO

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

YES

NO

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

NO

Issue an authorization with/without conditions

Control the tracking..

Transboundary Movements Control System - Prohibitions

NO Movements to non-Parties Export to States with import prohibition Export for disposal 60o South

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Export to States without ESM

Transboundary Movements Illegal Traffic

When there is NO: Notification to concerned States No consent of State concerned Also When: Consent is obtained by fraud falsification, misrepresentation or movement details do not conform with the documentation Disposal contravenes the Convention and international law

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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

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Transboundary Movements Illegal Traffic Action Points

Build up enforcement capacities Customs Staff Training courses Promote inter-ministerial cooperation Develop consistent approach Use approved TB forms Bring any cases of illegal traffic to the attention of the SBC

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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

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Environmentally Sound Management

Central goal of the Basel Convention ESM means using integrated life-cycle approach which involves strong controls from

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the generation of a HW to its storage, transport, treatment, reuse, recycling, recovery and final disposal

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.

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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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