1. ILMC Introduction to The Basel Convention and Obligations of the Member Parties Thanavat Junchaya UNEP ROAP

2. ILMC Basel Convention Background  Illicit movements from developed to developing countries of HW  HW disposal costs in developed countries were high & regulated  Disposal costs in developing countries were low, few laws, low standards and weak enforcement  No international framework to control dumping  International outrage led to the Basel Convention

3. ILMC International Law  1980s Montevideo Program  Guidelines for the ESM of HW adopted by UNEP in 1987  1989 Adoption of the Basel Convention on the Control of Transboundary Movements of HW and their Disposal  May 5, 1992 Entry into force of the Basel Convention  160 Parties (as of May 2004)

4. ILMC Basel Convention Objectives  To reduce transboundary movements of 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 and other wastes  Assist Developing countries with the implementation of the Convention

5. ILMC Basel Convention Definition of Waste  “substances or objects which are disposed of or are intended to be disposed of or are required to be disposed of by the provisions of national law”

6. ILMC Which hazardous wastes are covered by the Convention ?  Art. 1, para. 1 (a): Wastes that belong to any category in Annex I unless they do not possess any characteristics in Annex III.  Art. 1, para. 1 (b): Wastes defined as hazardous by national legislation.  Art. 1, para. 2: Wastes that belong to any category in Annex II  Annex VIII and IX further defines what is and what is not a HW

7. ILMC Why ULAB is Hazardous Waste  It is used and destined to be disposed 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

8. ILMC What movements are controlled by the Convention? Transboundary Movement (TM): Transboundary Movement (TM): Any movement of HW or other wastes from an area under the national jurisdiction of one State to or through an area under the national jurisdiction of another State or to or through an area not under the national jurisdiction of any State, provided at least two States are involved in the movement. Any movement of HW or other wastes from an area under the national jurisdiction of one State to or through an area under the national jurisdiction of another State or to or through an area not under the national jurisdiction of any State, provided at least two States are involved in the movement.

9. ILMC Obligations of the Member Parties  Competent authorities and focal points  General obligations  Country of import  Country of export  Country of transit

10. ILMC Competent Authorities and Focal Points The Parties shall: Designate or establish one or more Competent Authorities: Government authority responsible for receiving and responding to notifications of TM of HWGovernment authority responsible for receiving and responding to notifications of TM of HW and one Focal Point: Entity responsible for receiving and submitting information as provided for in Articles 13 and 16Entity responsible for receiving and submitting information as provided for in Articles 13 and 16

11. ILMC General Obligations  Parties exercising their right to prohibit import of HW shall inform other Parties.  Each Party shall prevent imports of HW if it believes that wastes will 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.

12. ILMC  Each Party shall prohibit all persons under its national jurisdiction from transporting or disposing HW unless such persons are authorized or allowed to perform such operations  Each Party shall require all HW be packaged, labeled, and transported in conformity with accepted international rules and standards  The Parties shall require that each person who takes charge of a TM of HW sign the movement document on receipt of wastes in question General Obligations

13. ILMC The Control System for Transboundary Movements  Procedure of notification of a TM is based on prior informed consent  State of Export obligation to: Notify through the Competent Authority - One waste stream but multiple shipmentsNotify through the Competent Authority - One waste stream but multiple shipments Not to allow the TM before written consent from import (and transit) State and before receiving information on contract between the exporter and the disposerNot to allow the TM before written consent from import (and transit) State and before receiving information on contract between the exporter and the disposer

14. ILMC  State of Import obligation to: Respond in writing, consenting with or without conditions, denying permission or asking for additional informationRespond in writing, consenting with or without conditions, denying permission or asking for additional information  State of Transit may consent, deny permission or request additional information  Movement document  Duty to re-import (Art. 8) The Control System for Transboundary Movements

15. ILMC Notification and Authorization Exporter 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

16. ILMC Notification and Authorization Exporter concludes a contract with the Disposer and arranges necessary guarantees and insurances

17. ILMC Notification and Authorization Exporter 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

18. ILMC Notification and Authorization Exporter 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

19. ILMC Notification and Authorization Exporter 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

20. ILMC Notification and Authorization Exporter 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

21. ILMC Notification and Authorization Exporter 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

22. ILMC Notification and Authorization Exporter 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

23. ILMC Notification and Authorization Exporter 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

24. ILMC Notification and Authorization Exporter 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

25. ILMC Notification and Authorization Exporter 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

26. ILMC Tracking Procedure Notification 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

27. ILMC Tracking Procedure Notification and Authorization Procedure

28. ILMC Tracking Procedure Notification and Authorization Procedure Exporter completes the movement document to accompany each consignment

29. ILMC Tracking Procedure Notification and Authorization Procedure Exporter completes the movement document to accompany each consignment Carrier completes the movement document when taking possession of the consignment

30. ILMC Tracking Procedure Notification 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

31. ILMC Tracking Procedure Notification 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

32. ILMC Tracking Procedure Notification 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

33. ILMC Tracking Procedure Notification 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

34. ILMC YES 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 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 not Proceed NO Conclude a Contract with the Disposer Arrange financial guarantees and insurances ILMC NO Do not Proceed

35. ILMC YES 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 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 not Proceed NO Conclude a Contract with the Disposer Arrange financial guarantees and insurances ILMC NO Do not Proceed

36. ILMC 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 State Check the notification upon receipt Is the Notification completed? NO Request missing Information Issue an objection YES 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 YES NO Control the tracking..

37. ILMC 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 State Check the notification upon receipt Is the Notification completed? NO Request missing Information Issue an objection YES 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 YES NO Control the tracking..

38. ILMC Transboundary Movements Control System - Prohibitions NO  Movements to non-Parties  Export to States with import prohibition  Export for disposal 60 o South  Export to States without ESM

39. ILMC When there is NO:  Notification to concerned States  No consent of State concerned Also When:  Consent is obtained by fraud falsification, misrepresentation or movement details do not conform with the documentation  Disposal contravenes the Convention and international law Transboundary Movements Illegal Traffic

40. ILMC Transboundary Movements Illegal Traffic – Remedies Incorporate sanctions & penalties  Return waste to the exporter  Disposed of under ESM By the exporterBy the exporter By the importerBy the importer By the exporter or importerBy the exporter or importer

41. ILMC  Build up enforcement capacities  Customs Staff Training courses  Promote inter-ministerial cooperation  Develop consistent approach  Use approved TB forms  Bring any cases of illegal traffic to the attention of the SBC Transboundary Movements Illegal Traffic – Action Points

42. ILMC  National Capacity Building and International Cooperation  Prevention - Detection, investigation, management of intercepted cargo  Monitoring and intelligence - Data gathering and analysis  Managing Alleged and Confirmed Cases of illegal trafficking  Use of Electronic Information Transboundary Movements Illegal Traffic – Guidance

43. ILMC Environmentally Sound Management  Central goal of the Basel Convention  ESM means using “integrated life-cycle approach” which involves strong controls from the generation of a HW tothe generation of a HW to its storage, transport, treatment, reuse, recycling, recovery and final disposalits storage, transport, treatment, reuse, recycling, recovery and final disposal

44. ILMC ESM of Hazardous & Other Wastes  ESM takes all practicable steps to ensure that HW or other wastes are managed in a manner that protects human health and the environment against 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 the Strategic Plan provide a strengthened mandate for achieving the the practical implementation of ESM through waste minimization and capacity building.

45. ILMC 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

46. ILMC The BAN Amendment (1)  DEC. II/12: immediate prohibition of TM of HW from OECD to non-OECD States  DEC. III/1: Bans the movement of HW from Annex VII countries (not yet fully defined) to non- Annex VII states by including paragraph 7bis in the Preamble and Article 4A (Annex VII = OECD, EC, Liechtenstein)  Annex VIII (wastes characterized as hazardous by the BC) and Annex IX (wastes not characterized as hazardous by the BC)= adopted as part of the Convention

47. ILMC The BAN Amendment (2)  Ban Amendment = prohibition of TM for final disposal or recycling from States listed in Annex VII to States not listed  It does not include: TM from non-Annex VII States to Annex StatesTM from non-Annex VII States to Annex States TM among non-Annex VII StatesTM among non-Annex VII States TM among Annex VII StatesTM among Annex VII States  Annex VII studies  Not yet in force (44 ratifications whilst it requires 62 ratifications)