Introduction to The
Basel Convention
and
Obligations of the
Member Parties
ILMC
Thanavat Junchaya
UNEP ROAP
Basel Convention Background
ILMC
 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
International Law
ILMC
 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)
Basel Convention Objectives
ILMC
 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
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”
ILMC
Which hazardous wastes are
covered by the Convention ?
ILMC
 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
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
ILMC
 Priority waste stream identified under
the Strategic plan for the Basel
Convention to 2010
What movements are controlled
by the Convention?
Transboundary Movement (TM):
ILMC
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.
Obligations of the Member Parties
 Competent authorities and focal
points
 General obligations
 Country of import
ILMC
 Country of export
 Country of transit
Competent Authorities
and Focal Points
ILMC
The Parties shall:
Designate or establish one or more
Competent Authorities:
• Government 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 16
General Obligations
ILMC
 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.
General Obligations
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
The Control System for
Transboundary Movements
 Procedure of notification of a TM is
based on prior informed consent
ILMC
 State of Export obligation to:
• Notify 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 disposer
The Control System for
Transboundary Movements
ILMC
 State of Import obligation to:
• Respond 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)
Notification and Authorization
Exporter 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 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
Exporter provides a
notification to the State of
export, and from there, to the
State of import and transit
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 issues an
acknowledgement
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 provides a
written tacit consent, or an
objection within 60 days
State of transit issues an
acknowledgement
State of transit provides a written tacit
consent, or an objection within 60 days
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 import provides
consent or an objection to the
shipment
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
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 export issues a
decision with an authorization
or objection
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
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
Authorization: Movement may
proceed
State of export issues a decision with an
authorization or objection
ILMC
Authorization: Movement may proceed
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
ILMC
Tracking Procedure
Authorization: Movement may proceed
Tracking Procedure
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
ILMC
Objection: Movement may not
proceed
Authorization: Movement may proceed
Objection: Movement may not proceed
Tracking Procedure
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
ILMC
Authorization: Movement may proceed
Objection: Movement may not proceed
Tracking Procedure
Tracking Procedure
Notification and Authorization Procedure
Notification and
Authorization Procedure
ILMC
Tracking Procedure
Notification and Authorization Procedure
Exporter completes the movement document to accompany each
consignment
Exporter completes the
movement document to
accompany each
consignment
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
ILMC
Carrier completes the
movement document when
taking possession of the
consignment
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 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 Procedure
Notification and Authorization Procedure
Exporter completes the movement document to accompany each
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
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
ILMC
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
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
ILMC
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
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
ILMC
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
Responsibilities of Exporters
Is the Movement subject to the Basel Convention?
NO
Proceed
YES
Do not
Proceed
YES
Is the Movement subject to the General Restrictions
of the Convention or National Legislation?
NO
Conclude a Contract with the Disposer
Arrange financial guarantees and insurances
Provide notification to the State of Export
Wait for authorization from the competent authorities concerned
ILMC
In its written decision, has the State of export
authorized the movement?
NO
Do not
Proceed
YES
Complete and sign movement document and retain a copy
Ensure tracking procedure is carried out in accordance with the Convention
Responsibilities of Competent
Authority of the Export State
Check the notification upon receipt
Is the Notification completed?
Request missing
Information
NO
YES
Are there immediate objections to the
movement?
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?
NO
YES
ILMC
Has the State of Import given written
consent to the movement?
NO
YES
Can the movement be carried out under
the Convention and national legislation?
NO
YES
Issue an authorization with/without conditions
Control the tracking..
Transboundary Movements
Control System - Prohibitions
NO
 Movements to non-Parties
 Export to States with import
prohibition
 Export for disposal 60o South
ILMC
 Export to States without ESM
Transboundary Movements
Illegal Traffic
When there is NO:
 Notification to concerned States
 No consent of State concerned
ILMC
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 – Remedies
Incorporate sanctions & penalties
 Return waste to the exporter
 Disposed of under ESM
ILMC
• By the exporter
• By the importer
• By the exporter or importer
Transboundary Movements
Illegal Traffic – Action Points
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 – Guidance
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
Environmentally Sound
Management
 Central goal of the Basel
Convention
 ESM means using “integrated
life-cycle approach” which
involves strong controls from
ILMC
• the generation of a HW to
• its storage, transport, treatment,
reuse, recycling, recovery and
final disposal
ESM of Hazardous & Other Wastes
ILMC
 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.
ESM of Hazardous & Other Wastes
ILMC
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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