The Basel Convention on the Control of Transboundary Movements of
Hazardous Wastes and their Disposal
Salient Points (Insert Topic/s):
PERSON 1-A
1) General Overview of Basel Convention
a. Brief History (adopted in response to a public outcry following the discovery in
Africa and other parts of the developing world of deposits of toxic wastes imported
from abroad).
b. Objective (to protect human health and the environment against the adverse effects
of hazardous wastes)
c. Scope (covers a wide range of wastes defined as “hazardous wastes” based on their
origin and/or composition and their characteristics, as well as two types of wastes
defined as “other wastes” - household waste and incinerator ash)
d. Principal Aims ([1] the reduction of hazardous waste generation and the promotion
of environmentally sound management of hazardous wastes, wherever the place of
disposal; [2] the restriction of transboundary movements of hazardous wastes
except where it is perceived to be in accordance with the principles of
environmentally sound management; and [3] a regulatory system applying to cases
where transboundary movements are permissible.
e. Signatories a.k.a Parties to the Basel Convention (if necessary)
2) Wastes (including National Definition) | Management | Transboundary Movement |
Disposal | Environmentally Sound Management of HW/OW
3) Entities Involved (to simplify, we may use State-Importer, State-Exporter and State of
Transit – in layman’s term; different from the definition provided in the Convention) or
you may use the definition provided in the Convention for:
a. State of Import
b. State of Export
c. State of Transit
d. Carrier
e. Generator
PERSON 1-B
4) General Obligation
On HA&OW Origin: Signatories/Parties ensure
1. That the generation of HW&OW is reduced to a minimum (by taking into account
Social, Technological and Economic Aspect)
2. The availability of disposal facilities (for the ESM of HW&OW) which shall be
located within it
- Where are adequate disposal facilities for HW&OW
3. To prevent pollution due to HW&OW (if pollution occurs, to minimize its
consequences for HH&E)
On Transboundary Movement:
General Rule: Signatories or Parties may permit transboundary movement of HW&OW
from Party of Export to Party of Import, provided that
1. the TM is compatible with ESM of HW&OW in order to protect HH&E.
2. the person (under its National Jurisdiction) transporting or disposing the HW&OW
are authorized or allowed to perform the transportation/disposal.
3. the HW&OW are packaged, labelled and transported in conformity with generally
accepted and recognized international rules and standards
4. proper documentation takes place from point of origin to point of destination.
5. the Party of Export does not have the capacity, facility or disposal site of the wastes in
an environmentally sound and efficient manner
6. the Wastes are used as raw materials for recycling or recovery industries in the Party of
Import
EXCEPTIONS:
1. Signatories/Parties who notify their decision that they prohibit import of HW/OW
(meaning Other Parties are prohibited to export HW/OW to such Parties which have
prohibited the import)
2. Export of HW&OW to a Non-Party or Import of HW&OW from a Non-Party
3. Export of HW&OW for disposal within the area of south of 60◦ South latitude
(this area pertains to the vast area of Antarctica).
4. All TM of wastes characterized as Hazardous are prohibited from State-Members of
OECD1, EC and Liechtenstein to States not members of said group.
You may insert here countries which prohibit TM of HW&OW
1
Organisation for Economic Co-operation and Development
PERSON 2-A
5) Another important thing in this Convention is the Designation or Establishment of One
or More Competent Authorities and One Focal Point in case of State of Transit (you may
define these terminologies again).
Competent Authorities are responsible for receiving notification of a TM between Parties
and any other information related thereto. (Competent Authorities are ALSO responsible
for RESPONDING to such notification).
Note that:
1. All notification must be made in writing.
From State of Export (Notifier) to State of Import. Notice contains the declarations and
information as required by the provisions of the Convention (entities involved –
exporter, generator, disposer, carrier; commencement date of the TM, means of
transport, general description of the wastes, among others).
From State of Import to Notifier. Notice contains consent2 or denying permission for the
movement3.
From State of Transit to Notifier. Notice contains consent or denying permission for the
movement.
2. No commencement of TM until the State of Export received the written confirmation
both from State of Import and State of Transit.
3. The process of TM as discussed shall apply mutatis mutandis to transboundary
movement of hazardous wastes or other wastes from a Party through a State or States
which are not Parties.
4. When TM cannot be completed and no alternative arrangement can be made to dispose
such wastes in ESM, the State of Export shall ensure that the wastes in question are
taken back within 90 days from the date of such notice.
With or without conditions (such as a requirement that Any transboundary movement of hazardous wastes or other wastes shall be
covered by insurance, bond or other guarantee
3 Or requesting additional information
2
PERSON 2-B
6) The Convention also discussed about ILLEGAL TRAFFIC.
Illegal traffic is any TM of HW&OW
i. Without notice
ii. Without consent
iii. With consent but acquired through falsification, misrepresentation or fraud
iv. That does not conform in material way with the documents
v. That results in DELIBERATE DISPOSAL (e.g. dumping) of HW&OW in
contravention of the Convention and of the general principles of International
Law
Note
a. In case of illegal traffic, responsible party (whether exporter, importer, State of
Import, State of Export) shall take back the wastes and ensure that such wastes
are disposed in an ESM within 30 days from the time the Illegal Traffic has come
to the attention of the Party in good faith.
PERSON 3
7) Liability and Compensation for Damage (tuloy ko bukas)
a. TM are not always without accident. And in cases of accident which likely to present
risks/danger to HH&E in other States, these States are immediately informed.
b. To date, we have the Protocol on Liability and Compensation for Damage
Resulting from Transboundary Movements of Hazardous Wastes and Their
Disposal.
i. This protocol provides for a comprehensive regime for liability and for
adequate and prompt compensation for damage resulting from the TM of
HW&OW and their disposal including illegal traffic in those wastes.
ii. When we talk about damage for the purpose of this Convention, we talk
about anything related to the TM of HW&OW from [1] injury to loss of life;
[2] loss of property held other than the person liable; [3] loss of income
because of the impairment of the environment; [4] cost to reinstate the
impaired environment; (AGAIN, any damage resulting from the TM of
HW&OW)
iii. Under the protocol, the Disposer (means any person to whom HW&OW
are shipped and who carries out the disposal of such wastes) is liable the
moment he has control over (or possesses) the wastes. Otherwise, liability
falls to the State of Import, State of Export, exporter or importer as the case
may be.
As a rule, then, the Entity who has control over the HW&OW is liable to
pay for the compensation for damage resulting from such TM of HW&OW.
1. State of Import is liable the moment the HW&OW are within the
control (or in the possession of the Disposer).
2. State of Export is liable before the HW&OW are within the control
of the Disposer.
iv. Liability is only up to the extent of the damage is caused by the HW&OW
covered by this Convention. (Then, no liability if the damage is caused by
wastes not covered by the Convention; However, this is without prejudice
to some other international law covering such wastes).
v. However, no liability shall attach to the accountable person if he proves that
the damage was
1. The result of force majeure4 or act of God5 or
2. The result of wrongful intentional conduct of a third person
3. The result of compliance with a compulsory measure of a public
authority of the State where the damage occurred
Note that: the Compensation may be reduced or disallowed when the
entity who suffered the damage contributed to the damage.
vi. The liable person has a right of recourse against any other person liable
under the Protocol and the contractual arrangement. This is in accordance
with the rules of procedure of the competent court.
vii. The provision of any bilateral, multilateral or regional arrangement entered
into by concerned parties relevant to liability and compensation for damage
resulting from TM of HW&OW is preferred over the Protocol.
viii. Claims for compensation must be brought within 5 years from the date of
knowledge of the incident but within 10 years from the date of the incident.
Otherwise, not admissible.
4
5
both naturally occurring events and events due to human intervention.
only natural occurring events
8) Other Matters
a. The Secretariat (from the word itself – it is equivalent to a Secretary) who
[1] arranges meetings; [2] prepares and transmits reportorial matters between or
among Parties, as well as; [3] coordinates with relevant international bodies; has the
information (or the masterlists) of all AUTHORIZED sites and facilities (of
parties) (for the disposal of HW&OW).
b. Settlement of the dispute between Parties as to the interpretation or application of,
or compliance with, this Convention or any protocol thereto is through negotiation
or any other peaceful means of their own choice (otherwise, it shall be submitted
to the International Court of Justice or to arbitration)
c. Co-operation among Parties are encouraged to improve and achieve ESM of
HW&OW.
d. The Convention does not in any way affect the Sovereignty of States over their
territorial sea, their exclusive economic zones and their continental shelves in
accordance with international law.
e. The Convention does not prohibit Bilateral, Multilateral or Regional Arrangements
regarding TM of HW&OW among Parties and Non-Parties. (Provided, the
arrangements are not contrary to the provision of the Convention)
i. Having said that… Parties may also propose amendment/s to the
Convention including the Protocol. Of course, this should be backed up by
relevant scientific and technical support. (consensus, otherwise, 3/4)
f. Who are the agencies involved in the TM of HW&OW
Copied from
http://www.basel.int/TheConvention/Overview/tabid/1271/Default.aspx
The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes
and their Disposal was adopted on 22 March 1989 by the Conference of Plenipotentiaries in
Basel, Switzerland, in response to a public outcry following the discovery, in the 1980s, in
Africa and other parts of the developing world of deposits of toxic wastes imported from
abroad.
The Convention entered into force in 1992.
Objective:
To protect human health and the environment against the adverse effects of hazardous wastes.
− What are these hazardous wastes?
Scope of Application:
covers a wide range of wastes defined as “hazardous wastes” based on their origin and/or
composition and their characteristics, as well as two types of wastes defined as “other wastes”
- household waste and incinerator ash.
Principal Aims:
▪ the reduction of hazardous waste generation and the promotion of environmentally sound
management of hazardous wastes, wherever the place of disposal;
− requiring States to observe the fundamental principles of environmentally sound waste
management (article 4)
▪ the restriction of transboundary movements of hazardous wastes except where it is
perceived to be in accordance with the principles of environmentally sound management;
and
− hazardous wastes may not be exported
i. to Antarctica
ii. to a State not party to the Basel Convention, or
iii. to a party having banned the import of hazardous wastes (article 4)
− Parties may, however, enter into bilateral or multilateral agreements on hazardous
waste management with other parties or with non-parties, provided that such
agreements are “no less environmentally sound” than the Basel Convention (article 11).
− In all cases where transboundary movement is not, in principle, prohibited, it may take
place only if it represents an environmentally sound solution, if the principles of
environmentally sound management and non-discrimination are observed and if it is
carried out in accordance with the Convention’s regulatory system.
▪ a regulatory system applying to cases where transboundary movements are permissible.
− Based on the concept of prior informed consent, it requires that, before an export may
take place, the authorities of the State of export notify the authorities of the prospective
States of import and transit, providing them with detailed information on the intended
movement.
− The movement may only proceed if and when all States concerned have given their
written consent (articles 6 and 7).
− The Basel Convention also provides for cooperation between parties, ranging from
exchange of information on issues relevant to the implementation of the Convention
to technical assistance, particularly to developing countries (articles 10 and 13).
− The Secretariat is required to facilitate and support this cooperation, acting as a
clearing-house (article 16).
− In the event of a transboundary movement of hazardous wastes having been carried
out illegally, i.e. in contravention of the provisions of articles 6 and 7, or cannot be
completed as foreseen, the Convention attributes responsibility to one or more of the
States involved, and imposes the duty to ensure safe disposal, either by re-import into
the State of generation or otherwise (articles 8 and 9).
− The Convention also provides for the establishment of regional or sub-regional centres
for training and technology transfers regarding the management of hazardous wastes
and other wastes and the minimization of their generation to cater to the specific needs
of different regions and subregions (article 14).
SUMMARY (taken from CONVENTION’s PREAMBLE):
When we talked about the Basel Convention, we are dealing with HAZARDOUS WASTES
and OTHER WASTES, as well as their TRANSBOUNDERY MOVEMENT and their
DISPOSAL.
Of course, these wastes pose risk of damage to human health and the environment. In fact,
transboundary movement and disposal of such waste are GROWING INTERNATIONAL
CONCERN. As such, there is a NEED for STRINGENT CONTROL.
And the most effective way of protecting (our health and the environment) from the dangers
posed by such wastes is THE REDUCTION of their GENERATION to a MINIMUM in
terms of QUANTITY and/or HAZARD POTENTIAL.
E.g. development and implementation of environmentally sound low-waste
technologies, recycling options, good house-keeping and management systems
MANAGING these WASTES is CONSISTENT with the PROTECTION of HUMAN
HEALTH and the ENVIRONMENT.
WHO has the primary responsibility to manage such wastes? The STATE who has the
SOVEREIGN RIGHT to ban the entry or disposal of FOREIGN HAZARDOUS WASTES
and OTHER WASTES in its TERRITORY.
CONSISTENT with such BAN, STATES are convinced that such WASTES be disposed of
in the STATE where they were generated. Of course, the disposal is compatible with
ENVIRONMENTALLY SOUND and EFFICIENT MANAGEMENT.
When TRANSBOUNDARY MOVEMENT is UNAVOIDABLE from STATE-Origin to
any other State, such Transboundary Movement is permitted ONLY when conducted under
CONDITIONS which do not endanger human health and the environment.
And on such Transboundary Movement, the STATES, having CONTROL, should take
measures for the proper EXCHANGE OF INFORMATION.
OUTLINE
Basel Convention on the Control of Transboundary Movements of Hazardous Wastes
and Their Disposal
Preamble
Article 1. Scope of the Convention
Article 2. Definitions
Article 3. National Definitions of Hazardous Wastes
Article 4. General Obligations
Article 4A. General Obligations
Article 5. Designation of Competent Authorities and Focal Point
Article 6. Transboundary Movement between Parties
Article 7. Transboundary Movement from a Party through States which are not Parties
Article 8. Duty to Re-import
Article 9. Illegal Traffic
Article 10. International Co-Operation
Article 11. Bilateral, Multilateral and Regional Agreement
Article 12. Consultations on Liability
Article 13. Transmission of Information
Article 14. Financial Aspect
Article 15. Conference of the Parties
Article 16. Secretariat
Article 17. Amendment of the Convention
Article 18. Adoption and Amendment of Annexes
Article 19. Verification
Article 20. Settlement of Dispute
Article 21. Signature
Article 22. Ratification, Acceptance, Formal Confirmation or Approval
Article 23. Accession
Article 24. Right to Vote
Article 25. Entry into Force
Article 26. Reservations and Declarations
Article 27. Withdrawal
Article 28. Depository
Article 29. Authentic Texts
Annex I. Categories of Wastes to be Controlled
Waste Streams
Waste having as constituents
Annex II. Categories of Wastes Requiring Special Consideration
Annex III. List of Hazardous Characteristics
UN Class Code Characteristics
Test
Annex IV. Disposal Operations
A. Operations which do not lead to the possibility of resource recovery, recycling,
reclamation, direct re-use or alternative uses
B. Operations which may lead to resource recovery, recycling, reclamation, direct reuse or alternative uses
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. Parties and other States which are members of OECD, EC, Liechtenstein
Annex VIII [List A - Wastes contained in this Annex are characterized as hazardous
under Article 1, paragraph (a) of this Convention, and their Designation on this
Annex does not preclude the use of Annex III to demonstrate that a waste is not
hazardous]
Annex IX. [List B – Wastes contained in the Annex will not be wastes covered by
Article 1, paragraph 1 (a), of this Convention unless they contain Annex I material to
an extent causing them to exhibit an Annex III characteristic]
Protocol on Liability and Compensation for Damage Resulting From
Transboundary Movements of Hazardous Wastes and Their Disposal
The Parties to the Protocol
Article 1. Objective
Article 2. Definitions
Article 3. Scope of Application
Article 4. Strict Liability
Article 5. Fault-Based Liability
Article 6. Preventive Measures
Article 7. Combined Cause of the Damage
Article 8. Right of Recourse
Article 9. Contributory Fault
Article 10. Implementation
Article 11. Conflicts with Other Liability and Compensation Agreements
Article 12. Financial Limits.
Article 13. Time Limit of Liability
Article 14. Insurance and Other Financial Guarantees
Article 15. Financial Mechanism
Article 16. State Responsibility
Article 17. Competent Courts
Article 18. Related Actions.
Article 19. Applicable Law
Article 20. Relation between the Protocol and the Law of the Competent court
Article 21. Mutual Recognition and Enforcement of Judgments
Article 22. Relationship of the Protocol with the Basel Convention
Article 23. Amendment of Annex B
Article 24. Meeting of the Parties
Article 25. Secretariat
Article 26. Signature
Article 27. Ratification, Acceptance, Formal Confirmation or Approval
Article 28. Accession
Article 29. Entry into Force
Article 30. Reservations and Declarations
Article 31. Withdrawal
Article 32. Depositary
Article 33. Authentic Texts
Annex A. List of States of Transit as referred in Article 3, subparagraph 3 (d)
Annex B. Financial Limits