BASEL CONVENTION ON THE CONTROL OF

TRANSBOUNDARY MOVEMENTS

OF HAZARDOUS WASTES

IntroductionIntroduction

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 ObjectivesUnit Objectives1. 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 OutlineUnit Outline1. 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

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/tabid/1290/language/en-US/Default.aspx

Scope of Basel ConventionScope 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 ConventionScope of Basel Convention

Basel Convention establishes the legal andprocedural 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.

Scope of Basel ConventionScope of Basel Convention

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.

Purpose of BCPurpose of BC

Conditions for MovementConditions for Movement1. 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

2. The wastes in question are required as raw material for recycling or recovery industries in the State of import.

Environmentally Sound Environmentally Sound ManagementManagement

(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 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 & Prohibitions - Import & Exports 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 Focal Points & Competent AuthorityAuthority

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.

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:

Focal Points & Competent Focal Points & Competent AuthorityAuthority

Effective Enforcement 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/tabid/1481/Default.aspx

BCRC-CaribbeanBCRC-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-CaribbeanBCRC-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.

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.

BCRC-CaribbeanBCRC-Caribbean

DefinitionsDefinitionsThe 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 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 1- Hazardous WastesAnnex 1- Hazardous Wastes

Annex III – Hazardous Annex III – Hazardous CharacteristicsCharacteristics

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 WastesNon 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 National Definitions of Hazardous WastesWastes

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.

http://basel.int/Procedures/NationalDefinitions/tabid/1321/Default.asp

For more information on national definitions of waste visit the following link:

Annexes to Basel Annexes to Basel ConventionConvention

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 Identification and ClassificationClassification

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

Case StudyCase StudyDiscuss 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_689914

Case StudyCase 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 DISPOSER

COUNTRY OF EXPORT

COUNTRY OF IMPORT

Conclude a contract specifying ESM

Inform of proposed movemen

t

Refuse to allow export

COUNTRY OF TRANSIT

Send Notification Document

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

Consent/Deny Movement (written)

Confirm contract specifying ESM

If consent and proof of

contract, then issue

Movement Document

Basel Rules from Start to Finish

Stage 3: Transboundary Movement

GENERATOR DISPOSER

COUNTRY OF EXPORT

COUNTRY OF IMPORT

COUNTRY OF TRANSIT

Send copy of Movement Document confirming receipt of shipment

Basel Rules from Start to Finish

Stage 4: Confirmation of disposal

GENERATOR DISPOSER

COUNTRY OF EXPORT

COUNTRY OF IMPORT

COUNTRY OF TRANSIT

Upon completion, send

confirmation that disposal taken

place

If no confirmation received, advise accordingly

May wish to follow up in order

to confirm completion

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?

Do you agree with observations of Customs of exporting country?

If no, then return shipment

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?

RELEASE FOR MOVEMENT TO COUNTRY OF IMPORT

NO

If more, is there adequate

documentation to account for

surplus?

Border Control ProceduresBorder Control Procedures

Customs – Import Country

Is there proof of your CA’s consent?

Do you agree with observations of Customs of exporting country?

If no, then return shipment

Are the contents, quantity and packaging the same as on departure from Country of Export?

RELEASE SHIPMENT FOR DISPOSAL

Points to NotePoints 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 Relevant Basel Convention Reference MaterialsMaterials

•Guide to the Control System (Instruction Manual)http://www.basel.int/pub/instruct.doc

•Instructions for Completing the Notification and Movement Documentshttp://www.basel.int/techmatters/forms-notif-mov/vCOP8.pdf

•Guidance Elements for Detection, Prevention and Control of Illegal Traffic in Hazardous Wasteshttp://www.basel.int/legalmatters/illegtraffic/ge_e.doc

• Training Manual on Illegal Traffic for Customs Officers and other Enforcement Agencieshttp://www.basel.int/legalmatters/illegtraffic/trman-e.pdf

For Further InformationFor Further Information

Visit the Basel Convention’s Website:

www.basel.int

Acknowledgement : Adapted from a presentation delivered by Yvonne Ewang, Associate Legal Officer, UNEPSecretariat 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 Conclusion

Discuss main Points and clarify

any doubts

Review Objectives

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