BASEL CONVENTION

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

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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

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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

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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/Statusofratificatio
  ns/PartiesSignatories/tabid/1290/language/en-US/De
  fault.aspx

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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
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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.

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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.

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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.

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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))

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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.

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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

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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.

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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

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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/tab
  id/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/ImportExportRestric
  tions/tabid/1481/Default.aspx

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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.

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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.

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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.

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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.
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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.

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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.

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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

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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/t
abid/1321/Default.asp
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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

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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

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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_6899
  14

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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)

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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

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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

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Basel Rules from Start to Finish Stage 1
Notification
Conclude a contract specifying ESM
GENERATOR
DISPOSER
Inform of proposed movement
Refuse to allow export
Send Notification Document
COUNTRY OF IMPORT
COUNTRY OF EXPORT
COUNTRY OF TRANSIT
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Basel Rules from Start to Finish Stage 2 Consent
and Issuance of Movement Document
GENERATOR
DISPOSER
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
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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
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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
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Verification at Customs
Illegal activities can occur at any of these four
stages
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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
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Border Control Procedures Customs Transit
Country (Entry)
If no, then return shipment
Is there proof of your CAs 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
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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
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Border Control Procedures
Border Control Procedures Customs Import
Country
If no, then return shipment
Is there proof of your CAs 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
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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.

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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

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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

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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/v
  COP8.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/trm
  an-e.pdf

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For Further Information
Visit the Basel Conventions 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.
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Conclusion

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