ILMC Introduction to The Basel Convention and Obligations of the Member Parties Thanavat Junchaya...
-
Upload
johnathan-matthews -
Category
Documents
-
view
218 -
download
1
Transcript of ILMC Introduction to The Basel Convention and Obligations of the Member Parties Thanavat Junchaya...
ILMC
Introduction to The Introduction to The Basel Convention Basel Convention
and and Obligations of the Obligations of the Member PartiesMember Parties
Thanavat JunchayaThanavat JunchayaUNEP ROAPUNEP ROAP
ILMC
Basel Convention BackgroundBasel Convention Background
Illicit movements from developed Illicit movements from developed to developing countries of to developing countries of HWHW
HWHW disposal costs in developed disposal costs in developed countries were highcountries were high & & regulat regulateded
Disposal costs in developing Disposal costs in developing countries were low, few countries were low, few lawslaws, low , low standardsstandards and weak enforcement and weak enforcement
No international framework to No international framework to control dumpingcontrol dumping
International outrage led to the International outrage led to the Basel ConventionBasel Convention
ILMC
International LawInternational Law
1919880s Montevideo Program 0s Montevideo Program Guidelines for the Guidelines for the ESM ESM of of HWHW
adopted by adopted by UNEP in 1987 UNEP in 1987 1989 Adoption of the Basel 1989 Adoption of the Basel
Convention on the Control of Convention on the Control of Transboundary Movements of Transboundary Movements of HWHW and their Disposal and their Disposal
May 5, 1992 Entry into force of May 5, 1992 Entry into force of the Basel Convention the Basel Convention
160 Parties (as of May 2004)160 Parties (as of May 2004)
ILMC
Basel Convention ObjectivesBasel Convention Objectives
To reduce transboundary movements To reduce transboundary movements of hazardous wastesof hazardous wastes
To treat and dispose To treat and dispose of of hazardous hazardous wastes as close as possible to the wastes as close as possible to the source of generationsource of generation
To minimize the generation of To minimize the generation of hazardous wastes hazardous wastes
Promotion of Promotion of ESMESM of hazardous and of hazardous and other wastesother wastes
Assist Developing countries with the Assist Developing countries with the implementation of the Conventionimplementation of the Convention
ILMC
Basel Convention Basel Convention Definition of WasteDefinition of Waste
““substances or objects which substances or objects which are disposedare disposed of or of or are are intended to be disposedintended to be disposed of or of or are required to be disposedare required to be disposed of of by the provisions of national by the provisions of national law”law”
ILMC
Which hazardous wastes are Which hazardous wastes are covered by the Convention ?covered by the Convention ?
Art. 1, para. 1 (a): Wastes that Art. 1, para. 1 (a): Wastes that belong to any category in Annex I belong to any category in Annex I unless they do not possess any unless they do not possess any characteristics in Annex III. characteristics in Annex III.
Art. 1, para. 1 (b): Wastes defined Art. 1, para. 1 (b): Wastes defined as hazardous by national as hazardous by national legislation. legislation.
Art. 1, para. 2: Wastes that belong Art. 1, para. 2: Wastes that belong to any category in Annex II to any category in Annex II
Annex VIII and IX further defines Annex VIII and IX further defines what is and what is not what is and what is not aa HWHW
ILMC
Why ULAB Why ULAB isis Hazardous Waste Hazardous Waste It is used and destined to be It is used and destined to be
disposed of (Article 2 definitions)disposed of (Article 2 definitions)
Annex I ULAB is classified as a Y31 Annex I ULAB is classified as a Y31 (lead) and Y34 (acidic) waste(lead) and Y34 (acidic) waste
Annex III ULAB include Hazardous Annex III ULAB include Hazardous characteristics H5.1 to H13. characteristics H5.1 to H13.
Annex VIII Annex VIII ULABULAB classified as A1020 classified as A1020
Priority waste stream identified under Priority waste stream identified under the Strategic plan for the Basel the Strategic plan for the Basel Convention to 2010Convention to 2010
ILMC
What movements are controlled What movements are controlled by the Convention?by the Convention?
Transboundary Movement (TM)Transboundary Movement (TM):: Any movement of HW or other Any movement of HW or other
wastes from an area under the wastes from an area under the national jurisdiction of national jurisdiction of one Stateone State to or through an area under the to or through an area under the national jurisdiction of national jurisdiction of another another StateState or to or through an area not or to or through an area not under the national jurisdiction of under the national jurisdiction of any Stateany State, provided at least two , provided at least two States are involved in the States are involved in the movementmovement..
ILMC
Obligations of the Member PartiesObligations of the Member Parties
Competent authorities and focal Competent authorities and focal
pointspoints
General obligationsGeneral obligations
Country of importCountry of import
Country of exportCountry of export
Country of transitCountry of transit
ILMC
Competent Authorities Competent Authorities andand Focal Points Focal Points
The Parties shallThe Parties shall::DDesignate or establish one or more esignate or establish one or more CCompetent ompetent AAuthorituthoritiesies::• GGovernment authority overnment authority
responsible for receiving and responsible for receiving and responding responding to to notificationnotificationss of TM of TM of HWof HW
and one and one FFocal ocal PPointoint::• EEntity responsible for receiving ntity responsible for receiving
and submitting information as and submitting information as provided for in Articles 13 and 16provided for in Articles 13 and 16
ILMC
General ObligationsGeneral Obligations
Parties exercising their right to Parties exercising their right to prohibit import of HW shall prohibit import of HW shall inform other Partiesinform other Parties. .
Each Party shall prevent importEach Party shall prevent importss of HW if it believeof HW if it believess that wastes that wastes will not be managed in an will not be managed in an ESM. ESM.
A Party shall not permit HW to be A Party shall not permit HW to be imported from a non-Partyimported from a non-Party..
Each Party shall ensure that Each Party shall ensure that persons involved in the persons involved in the ESM ESM of of HW prevent pollutionHW prevent pollution..
ILMC
Each Party shall prohibit all persons Each Party shall prohibit all persons under its national jurisdiction from under its national jurisdiction from transporting or disposing HW unless transporting or disposing HW unless such persons are authorized or such persons are authorized or allowed to perform such operationallowed to perform such operationss
Each Party shall require all HW be Each Party shall require all HW be packaged, labeled, and transported packaged, labeled, and transported in conformity with accepted in conformity with accepted international rules and standardsinternational rules and standards
The Parties shall require that each The Parties shall require that each person who takes charge of a TM of person who takes charge of a TM of HW sign the HW sign the movement documentmovement document on on receipt of wastes in questionreceipt of wastes in question
General ObligationsGeneral Obligations
ILMC
The Control System for The Control System for Transboundary MovementsTransboundary Movements
Procedure of notification of a Procedure of notification of a TM isTM is based on based on prior prior informedinformed consent consent
State of Export obligation toState of Export obligation to::• Notify through the Competent Notify through the Competent
Authority - One waste stream but Authority - One waste stream but multiple shipmentsmultiple shipments
• Not to allow the TM before written Not to allow the TM before written consent from import consent from import (and transit) (and transit) State and before receiving State and before receiving information on contract between information on contract between the exporter and the disposerthe exporter and the disposer
ILMC
State of Import obligation to:State of Import obligation to:• Respond in writing, consenting Respond in writing, consenting
with or without conditions, with or without conditions, denying permission or denying permission or asking asking for for additional informationadditional information
State of Transit State of Transit maymay consent, consent, deny permission or request deny permission or request additional informationadditional information
Movement document Movement document Duty to re-import (Art. 8)Duty to re-import (Art. 8)
The Control System for The Control System for Transboundary MovementsTransboundary Movements
ILMC
Notification and AuthorizationNotification and AuthorizationExporter 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
ILMC
Notification and AuthorizationNotification and AuthorizationExporter 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 transitExporter provides a notification to the State of
export, and from there, to the State of import and transit
ILMC
Notification and AuthorizationNotification and AuthorizationExporter 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
ILMC
Notification and AuthorizationNotification and AuthorizationExporter 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 provides a written tacit consent, or an objection within 60 days
State of transit provides a written tacit consent, or an objection within 60 days
ILMC
Notification and AuthorizationNotification and AuthorizationExporter 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 provides a written tacit consent, or an objection within 60 days
State of import provides consent or an objection to the shipment
State of import provides consent or an objection to the
shipment
ILMC
Notification and AuthorizationNotification and AuthorizationExporter 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
State of export issues a decision with an authorization
or objection
ILMC
Notification and AuthorizationNotification and AuthorizationExporter 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
Authorization: Movement may proceed
Authorization: Movement may proceed
ILMC
Notification and AuthorizationNotification and AuthorizationExporter 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
Authorization: Movement may proceed
Tracking Procedure
Tracking Procedure
ILMC
Notification and AuthorizationNotification and AuthorizationExporter 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
Authorization: Movement may proceed
Tracking Procedure
Objection: Movement may not proceed
Objection: Movement may not proceed
ILMC
Notification and AuthorizationNotification and AuthorizationExporter 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
Authorization: Movement may proceed
Tracking Procedure
Objection: Movement may not proceed
ILMC
Tracking ProcedureTracking ProcedureNotification and Authorization Procedure
Notification and Authorization Procedure
ILMC
Tracking ProcedureTracking ProcedureNotification and Authorization Procedure
Exporter completes the movement document to accompany each consignmentExporter completes the
movement document to accompany each
consignment
ILMC
Tracking ProcedureTracking ProcedureNotification and Authorization Procedure
Exporter completes the movement document to accompany each consignment
Carrier completes the movement document when taking possession of the consignmentCarrier completes the
movement document when taking possession of the
consignment
ILMC
Tracking ProcedureTracking ProcedureNotification 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
Upon receipt of waste, disposer completes the
Movement document and sends a signed copy of it to the exporter in the State of
export
ILMC
Tracking ProcedureTracking ProcedureNotification 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
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
ILMC
Tracking ProcedureTracking ProcedureNotification 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
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
ILMC
Tracking ProcedureTracking ProcedureNotification 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
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
ILMCYES
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 ExportersResponsibilities of Exporters Is 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 notProceed
NO
Conclude a Contract with the Disposer
Arrange financial guarantees and insurances
ILMC NO Do notProceed
ILMCYES
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 Responsibilities of of Competent Competent Authority of Authority of the Export the Export StateState
Check 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..
ILMC
Transboundary Movements Transboundary Movements Control System Control System - Prohibitions- Prohibitions
NONO
MovementsMovements to non-Parties to non-Parties
ExportExport to States with import to States with import prohibitionprohibition
ExportExport for disposal 60 for disposal 60oo South South
ExportExport to States without to States without ESMESM
ILMC
When there is NOWhen there is NO:: NotificationNotification to concerned States to concerned States NNo consent of State concernedo consent of State concerned
Also WhenAlso When:: CConsent onsent is is obtained obtained by by fraudfraud
falsification, misrepresentation or falsification, misrepresentation or movement details do not conform movement details do not conform with the documentwith the documentationation
DDisposal isposal contravenescontravenes the the Convention and international lawConvention and international law
Transboundary Movements Transboundary Movements Illegal TrafficIllegal Traffic
ILMC
Transboundary Movements Transboundary Movements Illegal Traffic – RemediesIllegal Traffic – Remedies
Incorporate sanctionsIncorporate sanctions & & penaltiespenalties
Return waste toReturn waste to the exporter the exporter
Disposed of under ESMDisposed of under ESM
• By the exporterBy the exporter
• By the importerBy the importer
• By the exporter or importerBy the exporter or importer
ILMC
Build up enforcement capacitiesBuild up enforcement capacities Customs Staff TCustoms Staff Training coursesraining courses Promote inter-ministerial Promote inter-ministerial
cooperationcooperation DevelopDevelop consistent approachconsistent approach Use approved Use approved TB TB formformss Bring any cases of illegal traffic Bring any cases of illegal traffic
to the attention of the to the attention of the SBCSBC
Transboundary Movements Transboundary Movements Illegal Traffic – Action PointsIllegal Traffic – Action Points
ILMC
National Capacity Building and National Capacity Building and International CooperationInternational Cooperation
Prevention Prevention - - Detection, Detection, investigation, management of investigation, management of intercepted cargo intercepted cargo
MonitoringMonitoring and intelligence and intelligence - - Data gathering and analysisData gathering and analysis
Managing Alleged and Confirmed Managing Alleged and Confirmed CasesCases of illegal trafficking of illegal trafficking
Use of Electronic InformationUse of Electronic Information
Transboundary Movements Transboundary Movements Illegal Traffic – GuidanceIllegal Traffic – Guidance
ILMC
Environmentally Sound Environmentally Sound ManagementManagement
Central goal of the Basel Central goal of the Basel ConventionConvention
ESM means using “integrated ESM means using “integrated life-cycle approach” which life-cycle approach” which involves strong controls frominvolves strong controls from• the generation of a HW tothe generation of a HW to• its storage, transport, treatment, its storage, transport, treatment,
reuse, recycling, recovery and reuse, recycling, recovery and final disposalfinal disposal
ILMC
ESMESM of Hazardous of Hazardous && Other Wastes Other Wastes ESM takeESM takess all practicable steps to all practicable steps to
ensure that HW or other wastes are ensure that HW or other wastes are managed in a manner managed in a manner thatthat protect protectss human health and the environment human health and the environment against the adverse effects which may against the adverse effects which may result from such wastesresult from such wastes
Elaboration of technical guidelines for Elaboration of technical guidelines for the ESM of specific HWthe ESM of specific HW or disposal / or disposal / recoveryrecovery
Basel Declaration on ESM and the Basel Declaration on ESM and the Strategic Plan provide a strengthened Strategic Plan provide a strengthened mandate for achieving the the mandate for achieving the the practical implementation of ESM practical implementation of ESM through waste minimization through waste minimization and and capacity buildingcapacity building..
ILMC
Principles Principles of of ESM and TM ESM and TM: :
Self-sufficient PrincipleSelf-sufficient Principle Proximity Principle Proximity Principle Least TM PrincipleLeast TM Principle Polluter Pays Principle Polluter Pays Principle Principle of SovereigntyPrinciple of Sovereignty Integrated Life-cycle PrincipleIntegrated Life-cycle Principle PPrecautionary Principlerecautionary Principle Integrated Pollution Control Integrated Pollution Control
PrinciplePrinciple Standardization PrincipleStandardization Principle
ESMESM of Hazardous of Hazardous && Other Wastes Other Wastes