Workshop on Illegal Traffic Overview of the Basel Convention and its Procedures

United Nations Environment Programme (UNEP)Secretariat of the Basel Convention (SBC)

Workshop on Illegal Traffic

Overview of the Basel Convention and its Procedures

Laura Thompson Legal Expert

Basel Convention Secretariat

Bratislava, 3 to 5 October 2006


Adopted on 22 March 1989

Entered into force on 5 May 1992

168 Parties

The goal of the Convention is “to protect, by strict control, human health and the environment against the adverse effects which may result from the generation and management of hazardous wastes and other wastes”

The Basel Convention at a glance


Institutional Structure of the Convention

International Level

National Level

Secretariat

Conference of the Parties (Governing

Body)

Subsidiary Bodies-Open-ended Working Group-Expanded Bureau-Compliance Committee

Directions

Recommendations

Directions

Competent Authority

Focal Point

Enforcement Officers

Exchange of Information


Control System Established by the Convention

The Basel Convention establishes a regulatory system for the monitoring and control of the transboundary movement and disposal of hazardous and other wastes, aiming at the

reduction of the transboundary movement of such wastes and at the reduction of the

quantity of wastes to a minimum

A Party shall not permit hazardous wastes or other wastes to be exported to a non-Party or

to be imported from a non-Party, unless an agreement is concluded which establishes

standards which are no less environmentally sound than those provided under the

Convention


When Does a Commodity Become a Waste?

Wastes are those substances or objects disposed of, intended to be disposed of, or required to be disposed of under provisions of national law.

Because the Convention covers wastes being transported for resources recovery, recycling, reclamation, direct re-use or alternative uses, constituents of such wastes may cease to be wastes and become products after completion of the disposal process.


Hazardous Wastes Controlled by the Basel Convention

“Hazardous wastes” and “other wastes” are covered by the Convention.

“Hazardous wastes” are those wastes listed in Annexes I, VII and IX, which exhibit one of the hazardous characteristics listed in Annex III of the Conventions.

“Other wastes” are those wastes listed in Annex II

Examples include: obsolete stocks of pesticides, biomedical/healthcare wastes, used oils, used lead acid batteries, POPs wastes, electronic waste (“e-waste”).

Wastes considered hazardous under the national legislation of a Party, as notified to the Secretariat under Article 3. (http://www.basel.int/natdef/frsetmain.php)


Annexes I and II

Wastes listed in Annexes I and II of the Convention are ascribed Y codes, identifying waste streams or constituents of wastes that are considered hazardous.

Hazardous characteristics are ascribed H codes. Such characteristics include, for example, explosive, flammable, oxidising, poisonous and corrosive characteristics.

Annex VIII and IX provide further clarification of the wastes covered by Annex I.

The Exporter/Competent Authority of the State of Export will ascribe the Y code. The Y code applied will be based upon the Exporter’s / Competent Authority’s knowledge of the origin and processes from which the waste was generated.

It is not uncommon to ascribe more than one Y number to a waste. For example, Y2 Wastes from the production and preparation of pharmaceutical products, could easily contain Y3, Y4 and Y42 wastes.


HS Code 2710.91 – Waste oils containing polychlorinated biphenyls (PCBs), polychlorinated terphenyls (PCTs) or polybrominated biphenyls (PBBs).

Basel Code Y10: Waste substances and articles containing or contaminated with polychlorinated biphenyls (PCBs) and/or polychlorinated terphenyls (PCTs) and/or polybrominated biphenyls (PBBs); Y9 Waste oils/water, hydrocarbons/water mixtures, emulsions.

Y Codes and HS Codes (1)

A significant number of hazardous wastes listed in the Convention can already be recognised in the World Customs Organisation’s Harmonised Commodity Description and Coding System (HS) and therefore can be ascribed HS Codes. For example,


BUT some Basel Convention wastes are not identified in detail in HS

Decision VII/38 requested the Secretariat to strengthen cooperation and synergies on the identification of wastes in the World Customs Organisation’s Harmonised Commodity Description and Coding System, with the secretariat, the Harmonised System Committee and Subcommittee and the Scientific Sub-Committee of the World Customs Organisation.

Y Codes and HS Codes (2)


Basel Rules From Start to Finish

Definitions to Be Acquainted With

Competent Authority

Focal Point

Country of Export

Country of Import

Country of Transit

Generator

Disposer


Basel Rules From Start to Finish Stage 1: Notification

Generator Disposer

Country of Export

Country of Import

Country of Transit

1. Conclude a contract specifying ESM

2. Inform of

proposed movement

3(A).Refuse to allow export 3(B). Send

Notification

3(B). Send Notification

international border international border


Basel Rules From Start to Finish Stage 2: Consent and Issuance of Movement Document

Generator Disposer

Country of Export

Country of Import

Country of Transit

6. If consent and proof of contract then issue Movement

Document 4. Consent / Deny Movement (written form)


5. Confirm existence of contract specifying ESM

4. Consent / Deny Movement (written

form)


Basel Rules From Start to Finish Stage 3: Transboundary Movement of Hazardous Wastes

Generator Disposer

Country of Export

Country of Import

Country of Transit


Transboundary movement of hazardous waste, which is always accompanied by a Movement Document

7. Send signed copy of Movement

Document confirming receipt of shipment

7.


Basel Rules From Start to Finish Stage 4: Confirmation of Disposal

Generator Disposer

Country of Export

Country of Import

Country of Transit


10. May wish to follow up in order to confirm completion

8. Upon completion, send confirmation that disposal has

taken place.

8.

9. If no confirmation has been received, advise accordingly.


The transboundary movement shall be accompanied by a movement document from the point at which a transboundary movement commences to the point of disposal. (Art. 4(7)(c))

Movement Document (1)

Each person who takes charge of a transboundary movement of hazardous wastes should sign the movement document either upon delivery or receipt of the wastes in question. (Art. 6(9))

Inspections of the movement documents by customs officers of the States of Export, Import and Transit are integral to ensuring that the relevant prior informed consent has been secured.


Upon inspection of the movement document,

if doubt arises as to the validity of the information contained in the movement document, the

customs officer is advised to take precautionary measures, by, for example, contacting the relevant competent authorities for the purposes of verifying the authenticity of the information on the movement document.



The Parties shall transmit to the COP before the end of each calendar year a report with the following, inter alia:

National Reporting

Designated competent authorities and focal points Information regarding transboundary movements of hazardous wastes or other wastes in which they have been involved, including:

The amount of wastes exported, their category, characteristics, destination, any transit country and disposal method The amount of wastes imported, their category, characteristics, origin, and disposal methods.

Available qualified statistics on effects on human health and the environment of generation, transportation and disposal Information on bilateral, multilateral and regional agreements and arrangements concluded pursuant to Article 11 Information on accidents occurring during the transboundary movement and disposal


Under Article 4(7)(b), Parties shall require that hazardous wastes and other wastes are packaged, labelled, and transported in conformity with generally accepted and recognised international rules in the field of packaging, labelling, and transport, and that due account is taken of relevant internationally recognised practices.

Customs should verify that the placards and labels correspond to the substances being shipped.

Packaging

UNECE Committee of Exports on the Transport of Dangerous Goods and on the Globally Harmonised System of Classification and Labelling of Chemicals:

http://www.unece.org/trans/danger/danger.htm


Article 8 provides that when a transboundary movement of hazardous wastes, to which consent has been given, cannot be completed in accordance with the terms of the contract, the State of export shall ensure the wastes are taken back into the State of export.

Accordingly, the State of export and any Party of transit shall not oppose, hinder or prevent the return of those wastes to the State of export.

Customs should be mindful of the need to facilitate the re-import of such wastes in these situations.

Duty to Re-import


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 hazardous wastes in contravention of the Convention and of general principles of law

Combating Illegal Traffic (1)

Illegal traffic refers to any transboundary movement of hazardous wastes (Art. 9):


• Each Party is required to introduce appropriate national/domestic legislation to prevent and punish illegal traffic (Art. 9(5))

• In the case of illegal traffic as the result of conduct on the part of the exporter or generator, the State of Export shall ensure that the wastes in question are:

a) taken back by the exporter or the generator or, if necessary, by itself into the State of export, or, if impracticable (Art. 9(2)(a))

b) are otherwise disposed of in accordance with the provisions of the Convention (Art. 9(2)(b))

Combating Illegal Traffic (2)

Sanctions for Illegal Trafficking


The Ban Amendment to the Basel Convention


The Ban Amendment to the Basel Convention

Decision III/1 proposed the a new Article 4 A:

Each Party listed in Annex VII (Parties and other States which are members of OECD, EC and Liechtenstein) shall prohibit all transboundary movements of hazardous wastes which are destined for final disposal operations to States not listed in Annex VII

Adoption in 1996

62 Parties have ratified

Not yet in force


Protocol on Liability and Compensation

To provide for a comprehensive regime for liability and adequate and prompt compensation for damage resulting from the transboundary movement of hazardous wastes and other wastes and their disposal including illegal traffic in those wastes (Art.1)

Adopted in 1999

13 Signatories

7 State Parties

Not yet in force


For further information, please consult the Secretariat‘s website:

www.basel.int

Workshop on Illegal Traffic Overview of the Basel Convention and its Procedures

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Transcript of Workshop on Illegal Traffic Overview of the Basel Convention and its Procedures