intro to basel convention

8/13/2019 Intro to Basel Convention

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Introduction to TheBasel Convention

and

Obligations of theMember Parties

Thanavat Junchaya

UNEP ROAP


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Basel Convention Background

Illicit movements from developedto developing countries of HW

HW disposal costs in developed

countries were high & regulated Disposal costs in developing

countries were low, few laws, lowstandards and weak enforcement

No international framework tocontrol 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 BaselConvention on the Control ofTransboundary Movements ofHW and their Disposal

May 5, 1992 Entry into force ofthe Basel Convention

160 Parties (as of May 2004)


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Basel Convention Objectives

To reduce transboundary movementsof 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 andother wastes

Assist Developing countries with the

implementation of the Convention


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Basel Convention

Definition of Waste

substances or objects which

are dispo sedof or are

intended to be disposedof orare requ ired to be disposedof

by the provisions of national

law


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Which hazardous wastes are

covered by the Convention ?

Art. 1, para. 1 (a): Wastes thatbelong to any category in Annex Iunless they do not possess any

characteristics in Annex III. Art. 1, para. 1 (b): Wastes defined

as hazardous by nationallegislation.

Art. 1, para. 2: Wastes that belongto 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 bedisposed 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 Priority waste stream identified under

the Strategic plan for the Basel

Convention to 2010


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What movements are controlled

by the Convention?

Transboundary Movement (TM):

Any movement of HW or otherwastes from an area under thenational jurisdiction of one Stateto or through an area under thenational jurisdiction of another

Stateor to or through an area notunder the national jurisdiction ofany State, provided at least twoStates are involved in the

movement.


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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 moreCompetent Authorities:

Government authorityresponsible for receiving andresponding to notifications of TMof HW

and one Focal Point:

Entity responsible for receivingand submitting information as

provided for in Articles 13 and 16


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General Obligations

Parties exercising their right toprohibit import of HW shallinform other Parties.

Each Party shall prevent importsof HW if it believes that wasteswill 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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Each Party shall prohibit all personsunder its national jurisdiction fromtransporting or disposing HW unlesssuch persons are authorized or

allowed to perform such operations Each Party shall require all HW be

packaged, labeled, and transportedin conformity with accepted

international rules and standards The Parties shall require that each

person who takes charge of a TM ofHW sign the movement document

on receipt of wastes in question

General Obligations


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The Control System for

Transboundary Movements

Procedure of notification of a TM isbased on prior informed consent

State of Export obligation to:

Notify through the CompetentAuthority - One waste stream butmultiple shipments

Not to allow the TM before writtenconsent from import (and transit)State and before receivinginformation on contract betweenthe exporter and the disposer


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State of Import obligation to:

Respond in writing, consentingwith or without conditions,

denying permission or askingfor additional information

State of Transit mayconsent,

deny permission or requestadditional information

Movement document

Duty to re-import (Art. 8)

The Control System for



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Notification and AuthorizationExporter concludes a contract with the

Disposer and arranges necessary

guarantees and insurances

Exporter concludes a contract

with the Disposer andarranges necessary



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Exporter provides a notification to the

State of export, and from there, to the

State of import and transitExporter provides a

notification to the State ofexport, and from there, to the

State of import and transit


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State of transit issues an

acknowledgement

State of transit issues anacknowledgement


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acknowledgement

State of transit provides a written tacit

consent, or an objection within 60 days

State of transit provides a

written tacit consent, or anobjection within 60 days


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acknowledgement



State of import provides consent or an

objection to the shipment

State of import provides

consent or an objection to theshipment


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acknowledgementState of import provides consent or an




State of export issues a decision with an

authorization or objection

State of export issues a

decision with an authorization

or objection


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Authorization: Movement may proceed

Authorization: Movement may

proceed


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Tracking Procedure

Tracking Procedure


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acknowledgement








Tracking Procedure

Objection: Movement may not proceed

Objection: Movement may not

proceed


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acknowledgement








Tracking Procedure

Objection: Movement may not proceed


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Tracking ProcedureNotification and Authorization Procedure

Notification andAuthorization Procedure


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Exporter completes the movement document to accompany each

consignmentExporter completes the

movement document to

accompany each

consignment


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consignment

Carrier completes the movement document when taking possession of

the consignmentCarrier completes themovement document when

taking possession of the

consignment


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consignment


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

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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consignment


the consignment



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 Movementdocument, retains the

original for filing and sendsa signed copy of it to the

exporter and the State of

export


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consignment


the consignment






Financial guarantee may be released by the Competent Authority

Financial guarantee may be

released by the Competent

Authority


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consignment


the consignment






Financial guarantee may be released by the Competent Authority


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Ensure tracking procedure is carried out in accordance with the Convention

Complete and sign movement document and retain a copy

In its written decision, has the State of export

authorized the movement?

Wait for authorization from the competent authorities concerned

Provide notification to the State of Export

Responsibilities of ExportersIs the Movement subject to the Basel Convention? NO Proceed

YES

Is the Movement subject to the General Restrictions

of the Convention or National Legislation?YES

Do not

Proceed

NO

Conclude a Contract with the Disposer

Arrange financial guarantees and insurances

ILMCNO

Do not

Proceed


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YES

YES

Issue an authorization with/without conditions

Can the movement be carried out under

the Convention and national legislation?

Has the State of Import given written

consent to the movement?

YES

Are there immediate objections to the

movement?

Responsibilities of Competent

Authority of the Export StateCheck the notification upon receipt

Is the Notification completed? NORequest missing

Information

Issue an

objectionYES

NO

Transmit the Notification to the States of Import and Transit

Has the transit State given written/tacit

consent to the movement within 60 days?

ILMC

NO

NO

YES

NO

Control the tracking..


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Control System - Prohibitions

NO

Movements to non-Parties

Export to States with import

prohibition

Export for disposal 60oSouth Export to States without ESM


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When there is NO:

Notification to concerned States

No consent of State concerned

Also When:

Consent is obtained by fraudfalsification, misrepresentation ormovement details do not conformwith the documentation

Disposal contravenes theConvention and international law


Illegal Traffic


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Illegal TrafficRemedies

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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Build up enforcement capacities

Customs Staff Training courses

Promote inter-ministerialcooperation

Develop consistent approach

Use approved TB forms Bring any cases of illegal traffic

to the attention of the SBC


Illegal TrafficAction Points


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National Capacity Building andInternational Cooperation

Prevention - Detection,

investigation, management ofintercepted cargo

Monitoring and intelligence -Data gathering and analysis

Managing Alleged and ConfirmedCases of illegal trafficking

Use of Electronic Information


Illegal TrafficGuidance


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Environmentally Sound

Management

Central goal of the BaselConvention

ESM means using integratedlife-cycle approach whichinvolves strong controls from

the generation of a HW to

its storage, transport, treatment,reuse, recycling, recovery andfinal disposal


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ESM of Hazardous & Other Wastes

ESM takes all practicable steps toensure that HW or other wastes aremanaged in a manner that protectshuman health and the environmentagainst 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 theStrategic Plan provide a strengthenedmandate for achieving the thepractical implementation of ESMthrough waste minimization and

capacity building.


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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

ESM of Hazardous & Other Wastes

intro to basel convention

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