L ECTURE 1 – I NSPECTION OF E NVIRONMENTALLY R EGULATED M ATERIALS T RAINING WORKSHOP ON ENVIRONMENTALLY REGULATED SUBSTANCES

7 P ILLARS OF A N ATIONAL E NFORCEMENT P ROGRAM TO C OMBAT I LLEGAL T RADE 1. Lay the foundation for effective enforcement 2. Build capacity at the frontlines 3. Collaborate across national borders 4. Use networks/international information exchange 5. Conduct monitoring, risk assessment, inspection and enforcement activities at ports 6. Prosecute crimes and publicize results 7. Work with industry, NGOs, and other stakeholders 2 Priorities for Frontline Authorities

P REPARING FOR INSPECTION : I NFORMATION S OURCES FOR P ROFILING Intelligence-based determination At-random inspections Regular/scheduled inspections Manual review of declarations or manifests Specific warning from exporting/transit country General information from international partnerships and information sharing History/results from previous inspections 3

P REPARING FOR INSPECTION : P OSSIBLE C RITERIA FOR T ARGETING S HIPMENTS Knowledge of previous illegal activities by the entities involved in the shipment Suspicious address Post office box number but no street address Commodity descriptions that have been known to misrepresent contents of shipments in the past Unusual shipping route Unusual container weight based on declared contents Broken container seal Knowledge that the receiving facility is not capable of handling shipment 4

What is intelligence-led enforcement? Future-oriented Information-driven Risk-based approach Intelligence-led policing is an effective means for law enforcement to move beyond the traditional reactive method of policing towards a more proactive approach focused on serious offenders. Interpol,

What is intelligence? Relevant information that has been processed and analyzed Information + Analysis = Intelligence The identification of and provision of insight into the relationship between crime data and other potentially relevant data with a view to police and judicial practice (Interpol, 2010) 6

N UMEROUS S OURCES OF I NFORMATION 7 National Sources International Sources International Sources Customs Interpol WCO Env. Agency Inspection Bodies Other Agencies International Counterparts International Counterparts UNEP Basel Information Systems UNODC

Collect information on trading players, transactions, international shipping traffic, trends in illegal activity Analyze information to generate intelligence Disseminate information to port enforcement team Sharing intelligence results in more complete picture of illegal waste activity Improve targeting and interdiction of illegal shipments based on intelligence Re-evaluate based on experience ILE IN THE S EAPORTS C ONTEXT

B E F AMILIAR WITH E ACH A CTOR A CROSS THE W ASTE S HIPMENT C HAIN What company or individual produced the waste? Who is the agent or dealer of the materials? What company was contracted as the hauler/shipper of the waste? If intermediary processing occurred, who was responsible? Are the materials labeled as being re-usable? If so, who is the re-user? Is the material being shipped for final disposal? If so, what company is responsible for legal and safe disposal of the waste? 9

S USTAINABILITY OF I NTELLIGENCE - LED ENFORCEMENT EFFORTS Intel-led enforcement needs time to mature Quality and quantity of exchanged information will increase with time Partnerships will bear more fruit with time Global understanding of illegal trade will grow allowing more opportunities to detect, disrupt and prosecute 10

C HALLENGES TO I NTELLIGENCE -L ED E NFORCEMENT International coordination Lack of contacts in sending and receiving countries Different regulatory frameworks National coordination Cost of inspections, testing to collect data Need to use secure networks (e.g., WCO CENCOMM) Requires time, software and analytical resources, and commitment 11

F URTHER D OCUMENTATION C HECKS What documentation is necessary to determine if the shipment is legal or illegal? Shipping documents Manifests Bill of lading movement documents Also refer to: national guidance legal documents 12

E XTERNAL A SSESSMENT OF C ONTAINER X-ray scan Other types of radiographic scans (e.g., gamma ray scans) 13

S USPICIOUS C ONTAINER F LOWCHART Review documents for risk indicatorsBlock container for physical inspectionConduct physical inspection Notify relevant authoritiesCollect, document, & preserve evidence 14 After containers are offloaded…

P HYSICAL I NSPECTION Visual inspection Materials sampling Testing for functionality 15

I F C ONTENTS OF C ONTAINER ARE S USPECTED TO BE I LLEGAL Carefully document and preserve evidence Submit for further testing if needed (e.g., at environmental lab) Contact relevant national authorities Contact Basel Competent Authority if hazardous or electronic waste Contact National Ozone Unit (NOU) if ozone depleting substance 16

F OLLOW - UP Determination on waste takeback Determination on waste disposal or storage Determination on ODS safe management Enforcement follow-up Fines, penalties, and sanctions Criminal prosecution 17

E NFORCEMENT Enforcement is backbone of any compliance program Credible threat of enforcement is necessary for successful implementation of laws Enforcement enables a level playing field for business. Effective enforcement deters illegal conduct by creating negative consequences for offender Effective deterrence needs 1. High likelihood that violation will be detected 2. Swift and predictable responses to violations 3. Responses that include appropriate sanctions 4. Perception among violators that # 1, 2 and 3 will happen 18

“Law without enforcement is only good advice” Abraham Lincoln, th U.S. President 19