Model Legislation Implementing the Basel Convention, Prohibiting the Import and Transit of Hazardous Wastes, and Controlling Their Export

Article I -- Aim and Scope

1. The aim of this law is to implement the Basel Convention and to prohibit the import and/or transit of hazardous wastes into, or through the territory of [country name], and to control the exports of hazardous wastes from [country name].

2. The following substances or objects shall be "hazardous wastes" for the purposes of this law:

a) Wastes that belong to any category contained in Appendix I.

b) Wastes which possess any of the characteristics contained in Appendix II.

c) Wastes that are not covered under paragraphs (a) and (b) above but are defined as, or are considered to be, hazardous wastes by the domestic legislation of [country name, cite law] or other States concerned.

d) Substances or objects which have been banned, canceled or refused registration by government regulatory action, or voluntarily withdrawn from registration in the country of export or manufacture, for human health or environmental reasons.

3. Wastes which as a result of being radioactive, are subject to any international control systems, including international instruments, applying specifically to radioactive materials, are included in the scope of this law.

4. Wastes which derive from the normal operations of a ship, excluding the disposal of the vessel itself, and for which the discharge of such wastes is covered by another international instrument, shall not fall within the scope of this law.

Article II - Definitions

1. "Wastes" are 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;

2. "Hazardous Wastes" means wastes, substances or objects as specified in Article I;

3. "Management" means the prevention, reduction, collection, transport, storage, treatment, and disposal, of hazardous wastes including after-care of disposal sites;

4. "Transboundary Movement" means any movement of hazardous wastes from an area under the national jurisdiction of any 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 another State, provided at least two States are involved in the movement;

5. "Disposal" means any operations specified in Appendix III;

6. "Environmentally Sound Management of Hazardous Wastes" means taking all practicable steps to first prevent, then reduce or otherwise ensure that hazardous wastes are managed in a manner which will protect human health and the environment against any adverse effects which may result from such hazardous wastes;

7. "Environmentally Sound Manner" means in a manner which will protect human health and the environment from any adverse effects which may result from hazardous wastes;

8. "Approved site or facility" means a site or facility for the management of hazardous wastes which is authorized or permitted to operate for this purpose by the Regulatory Authority;

9. "Regulatory Authority" is the Ministry of [name of ministry];

10. "Competent Authority" is the authority responsible for receiving the notification of a transboundary movement, and any information related to it, and for responding to such a notification as provided for in this law. It is responsible for the control of transboundary movements of hazardous waste and for communication with the Basel Convention Secretariat as required by the Basel Convention;

11. "The Basel Convention" means the "Basel Convention on the Control of the Transboundary Movement of Hazardous Wastes and Their Disposal" and all of its subsequent amendments whether or not they are in force;

12. "Area under the national jurisdiction of a State" means any land, marine area or air space within which this State exercises administrative and regulatory responsibility, in regard to the protection of human health and/or the environment;

13. "State of export" means a State from which a transboundary movement of hazardous wastes is planned to be initiated or is initiated;

14. "State of import" means a State to which a transboundary movement is planned or takes place for the purpose of disposal therein or for the purpose of loading prior to disposal in an area not under the national jurisdiction of any State;

15. "State of transit" means any State, other than the State of import or export, through which a movement of hazardous wastes is planned or takes place;

16. "States concerned" means States of export, import or transit states.

17. "Person" means any natural or legal person.

18. "Exporter" means any person under the jurisdiction of the State of export who arranges for hazardous wastes to be exported.

19. "Importer" means any person under the jurisdiction of the State of import who arranges for hazardous wastes to be imported;

20. "Carrier" means any person who carries out the transport of hazardous wastes.

21. "Generator" means any person whose activity produces hazardous wastes, or, if that person is not known, the person who is in possession and/or control of those wastes;

22. "Disposer" means any person to whom hazardous wastes are shipped and who carries out the disposal of such wastes;

23. "Illegal traffic" means any transboundary movement of hazardous wastes described in Article VII of this law.

Article III -- Regulatory Authority and Implementation of Legislation

1. The Regulatory Authority is hereby, also established as the Competent Authority of [country name].

2. The Regulatory Authority shall, in consultation with [other possible government agency or department], formulate and adopt rules, regulations, schemes and guidelines in order to implement this law.

3. The Regulatory Authority shall maintain a record or database on matters related to the law and report as necessary to [other possible government agency or authority] and the Basel Convention Secretariat.

4. The Regulatory Authority shall have the power to conduct, or authorize other relevant authorities to conduct, both regular and random inspections of sites, facilities and cargo.

Article IV -- Prohibition on Hazardous Waste Import

1. The import of hazardous wastes into the territory of [country name], for any reason, shall be prohibited.

2. The Competent Authority shall notify the Basel Convention Secretariat of this hazardous waste import prohibition.

Article V -- Control on the Export of Hazardous Wastes

1. The export of hazardous waste is prohibited except in the following circumstances:

a) If [country name] does not possess the technical, infra structural or other capacity, or suitable waste management sites and facilities to manage the hazardous wastes in question in an environmentally sound manner.

b) If the export is accomplished in order to fulfill the repatriation of hazardous wastes deemed to be illegal traffic as stipulated in Article VII of this law.

2. Transboundary Movements are prohibited:

a) To any point south of 60 degrees South latitude;

b) To any State which has imposed a ban on the import of such wastes;

c) To any State for which there is any reason to believe that it will not be handled in an environmentally sound manner.

d) To any State that is not a Party to the Basel Convention.

3. Where export is allowed under paragraph 1, and is not prohibited under paragraph 2, the Competent Authority may permit the exportation of hazardous wastes only after satisfying itself that the following conditions have been fulfilled;

a) The exporter has formally applied for the transboundary movement of such wastes and has provided the Competent Authority with the information requested in the notification form attached as Appendix IV.

b) An adequate contract exists between the exporter and the disposer specifying environmentally sound management of the waste in question.

c) Packaging, labeling and transportation are in conformity with the recognized international rules, standards and practices

d) The written consent of the competent authorities of the other States concerned have been received by the exporter in accordance with Paragraph 3 of this Article.

e) In the case of a transit-State which has either no policy of granting written consent in such cases, or has waived the requirement of written consent, "tacit consent" shall be presumed after 60 days of acknowledged receipt (by the transit-State) of the request from the Competent Authority or the Generator (for consent) - so long as no other conditions are imposed or objections raised by the transit-State in question during this sixty-day period.

4. Transboundary movements are subject to the following conditions:

a) A movement document signed by the person in charge of the transboundary movement shall accompany the hazardous wastes in question. (The movement document is attached as Appendix V)

b) Any transboundary movement of hazardous wastes shall be covered by insurance, bond or other guarantee.

5. The Competent Authority shall notify, in writing, the competent authorities of the States concerned, in a language acceptable to them, of the proposed transboundary movement. Such notification shall contain detailed information as required by Appendix IV.

6. If a transboundary movement of hazardous wastes, to which consent of the States concerned has been given, subject to the provisions of this article of this law, cannot be completed in accordance with the terms of the contract, the Competent Authority shall require the exporter to take the hazardous wastes back into [country name], if alternative export arrangements cannot be made for their management in a manner in conformity with this article, within 90 days from the time that the Competent Authority of the State of import informed the Competent Authority of [country name] of the failure, or it is otherwise made known.

7. A permit for the multiple export of hazardous wastes can be granted, subject to the written consent of the States concerned, for a maximum period of one year, if:

a) they have the same physical and chemical characteristics, and

b) they are shipped regularly to the same disposer via the same customs office and via the same entry customs office of the importing country, and

c) in the case of transit, via the same customs office of entry and exit of the State or States of transit, and

d) the States concerned agree to grant a similar permit.

Article VI -- Prohibition on the Transit of Hazardous Wastes

1. The transit of hazardous wastes through the territory of [country name] for any reason is prohibited.

2. The Competent Authority shall notify the Basel Convention Secretariat of this hazardous waste transit prohibition.

Article VII -- Illegal Traffic

1. Any transboundary movement of hazardous wastes shall be deemed illegal traffic, if carried out:

a) in violation of the import and transit prohibitions pursuant to Articles IV and VI of this Law;

b) Without the export obligations, notification and consent required under Article V of this Law;

c) With consent which has been obtained through falsification, misrepresentation or fraud;

d) In a manner not in conformity in a material way with the documentation specified under this Law and/or rules and regulations formulated by the Regulatory Authority.

e) In a manner that results in the transboundary movement and/or disposal of hazardous wastes in contravention to the provisions of this Law.

2. A person commits a crime under this Law if:

a) He/she carries out a transboundary movement of hazardous wastes in a manner described in paragraph 1.

b) He/she aids, abets or conspires with any other person to carry out a transboundary movement of hazardous wastes in a manner described in paragraph 1.

c) He/she attempts to carry out a transboundary movement of hazardous wastes in a manner described in paragraph 1.

3. The Regulatory Authority shall have the power to seize, or authorize the other relevant authorities to seize, the shipments of hazardous wastes that are the object of illegal traffic.

4. The person found guilty of a crime described in paragraph 2 shall be punished according to [authority and/or type of punishment].

5. In the case of an illegal transboundary movement to another country from [country name], as a result of conduct on the part of the exporter or generator, he/she shall ensure that the wastes are taken back, or the Regulatory Authority shall ensure that they are returned at the expense of the exporter or generator.

6. In the case of an illegal transboundary movement to [country name] as a result of conduct on the part of the importer or of the disposer he/she shall ensure that the wastes are re-exported to their country of origin at the expense of the importer.

Appendix I

CATEGORIES OF WASTES WHICH ARE HAZARDOUS WASTES

Waste Streams:

Y0 All wastes containing or contaminated by radionuclides, the concentration or properties of which result from human activity

Y1 Clinical wastes from medical care in hospitals, medical centers and clinics

Y2 Wastes from the production and preparation of pharmaceutical products

Y3 Waste pharmaceuticals, drugs and medicines

Y4 Wastes from the production, formulation and use of biocides and phytopharmaceuticals

Y5 Wastes from the manufacture, formulation and use of wood preserving chemicals

Y6 Wastes from the production, formulation and use of organic solvents

Y7 Wastes from heat treatment and tempering operations containing cyanides

Y8 Waste mineral oils unfit for their originally intended use

Y9 Waste oils/water, hydrocarbons/water mixtures, emulsions

Y10 Waste substances and articles containing or contaminated with polychlorinated biphenyls (PCBs) and/or polychlorinated terphenyls (PCTs) and/or polybrominated biphenyls (PBBs)

Y11 Waste tarry residues arising from refining, distillation and any pyrolytic treatment

Y12 Wastes from production, formulation and use of inks, dyes, pigments, paints, lacquers, varnish

Y13 Wastes from production, formulation and use latex, plasticizers, glues/adhesives

Y14 Waste chemical substances arising from research and development or teaching activities which are not identified and/or are new and whose effects on man and/or the environment are not known

Y15 Wastes of an explosive nature not subject to other legislation

Y16 Wastes from production, formulation and use of photographic chemicals and processing materials

Y17 Wastes resulting from surface treatment of metals and plastics residues arising from industrial waste disposal operations

Y18 Wastes arising from industrial waste disposal operations

Y46 Wastes collected from households, including sewage and sewage sludges

Y47 Residues arising from the incineration of household wastes

Y48 Used pneumatic tires

Y49 Mixed post-consumer plastic wastes

Wastes having as constituents:

Y19 Metal carbonyls

Y20 Beryllium; beryllium compounds

Y21 Hexavalent chromium compounds

Y22 Copper compounds

Y23 Zinc compounds

Y24 Arsenic; arsenic compounds

Y25 Selenium; selenium compounds

Y26 Cadmium; cadmium compounds

Y27 Antimony; antimony compounds

Y28 Tellurium; tellurium compounds

Y29 Mercury; mercury compounds

Y30 Thallium; thallium compounds

Y31 Lead; lead compounds

Y32 Inorganic fluorine compounds excluding calcium fluoride

Y33 Inorganic cyanides

Y34 Acidic solutions or acids in solid form

Y35 Basic solutions or bases in solid form

Y36 Asbestos (dust and fibres)

Y37 Organic phosphorous compounds

Y38 Organic cyanides

Y39 Phenols; phenol compounds including chlorophenols

Y40 Ethers

Y41 Halogenated organic solvents

Y42 Organic solvents excluding halogenated solvents

Y43 Any congener of polychlorinated dibenzo-furan

Y44 Any congener of polychlorinated dibenzo-p-dioxin

Y45 Organohalogen compounds other than substances referred to in this Annex (e.g., Y39, Y41, Y42, Y43, Y44), including polyvinyl chloride and vinyl chloride.

Appendix II

LIST OF HAZARDOUS CHARACTERISTICS

The first number corresponds to the hazardous classification system included in the United Nations Recommendations on the transport of Dangerous Goods (ST/SG/AC.10/1/Rev.5, United Nations, New York, 1988). The Second number is the Basel Convention hazardous characteristic number.

1 H1 Explosive

An explosive substance or waste is a solid or liquid substance or waste (or mixture of substances or wastes) which is in itself capable by chemical reaction or producing gas at such a temperature and pressure and at such a speed as to cause damage to the surroundings.

3 H3 Flammable liquids

The word "flammable" has the same meaning as "inflammable". Flammable liquids are liquids, or mixtures of liquids, or liquids containing solids in solution or suspension (for example paints, varnishes, lacquers, etc., but not including substances or wastes otherwise classified on account of their dangerous characteristics) which give off a flammable vapor at temperatures of not more than 60.5 degrees C, closed-cup test, or not more than 65.6 degrees C, open-cup test. (Since the results of open-cup tests and of closed-cup tests are not strictly comparable and even individual results by the same test are often variable, regulations varying from the above figures to make allowance for such difference would be within the spirit of this definition).

4.1 H4.1 Flammable solids

Solids, or waste solids, other than those classed as explosives, which under conditions encountered in transport are readily combustible, or may cause or contribute to fire through friction.

4.2 H4.2 Substances or wastes liable to spontaneous combustion

Substances or wastes which are liable to spontaneous heating under normal conditions encountered in transport, or to heating up on contact with air, and being then liable to catch fire.

4.3 H4.3 Substances or wastes which, in contact with water emit flammable gases

Substances or wastes which, by interaction with water, are liable to become spontaneously flammable or to give off flammable gases in dangerous quantities.

5.1 H5.1 Oxidizing

Substances or wastes which, while in themselves not necessarily combustible, may, generally by yielding oxygen, cause or contribute to the combustion of other materials.

5.2 H5.2 Organic peroxides

Organic substances or wastes which contain the bivalent-O-O-structure are thermally unstable substances which may undergo exothermic self accelerating decomposition.

6.1 H6.1 Poisonous (Acute)

Substances or wastes liable either to cause death or serious injury or to harm human health if swallowed or inhaled or by skin contact.

6.2 H6.2 Infectious substances

Substances or wastes containing viable micro organisms or their toxins which are known or suspected to cause disease in animals or humans.

8 H8 Corrosives

Substances or wastes which, by chemical action, will cause severe damage when in contact with living tissue, or in the case of leakage, will materially damage, or even destroy, other goods or the means of transport; they may also cause other hazards.

9 H10 Liberation of toxic gases in contact with air or water

Substances or wastes which, by interaction with air or water, are liable to give off toxic gases in dangerous quantities.

 9 H11 Toxic (Delayed or chronic)

Substances or wastes which, if they are inhaled or ingested or if they penetrate the skin, may involve delayed or chronic effects, including carcinogenicity.

9 H12 Ecotoxic

Substances or wastes which if released present or may present immediate or delayed adverse impacts to the environment by means of bioaccumulation and/or toxic effects upon biotic systems.

9 H13 Capable, by any means, after disposal, of yielding another material, e.g.,
leachate, or dioxins, which possesses any of the characteristics listed above.

Appendix III

DISPOSAL OPERATIONS

D1 Deposit into or onto land, (e.g., landfill, etc.)

D2 Land treatment, (e.g., biodegradation of liquid or sludgy discards in soils, etc.)

D3 Deep injection, (e.g., injection of pumpable discards into wells, salt domes or naturally occurring repositories, etc.)

D4 Surface impoundment, (e.g., placement of liquid or sludge discards into pits, ponds, or lagoons, etc.)

D5 Specially engineered landfill, (e.g., placement into lined discrete cells which are capped and isolated from one another and the environment, etc.)

D6 Release into a water body except seas/oceans 

D7 Release into seas/oceans including sea-bed insertion

D8 Biological treatment not specified elsewhere in this Annex which results in final compounds or mixtures which are discarded by means of any of the operations in Annex III

D9 Physico-chemical treatment not specified elsewhere in this Annex which results in final compounds or mixtures which are discarded by means of any of the operations in Annex III, (e.g., evaporation, drying, calcination, neutralisation, precipitation, etc.)

D10 Incineration on land

D11 Incineration at sea

D12 Permanent storage, (e.g., emplacement of containers in a mine, etc.)

D13 Blending or mixing prior to submission to any of the operations in Annex III

D14 Repackaging prior to submission to any of the operations in Annex III

D15 Storage pending any of the operations in Annex III

D16 Use as a fuel (other than in direct incineration) or other means to generate energy

D17 Solvent reclamation/regeneration

D18 Recycling/reclamation of organic substances which are not used as solvents

D19 Recycling/reclamation of metals and metal compounds

D20 Recycling/reclamation of other inorganic materials

D21 Regeneration of acids and bases

D22 Recovery of components used for pollution abatement

D23 Recovery of components from catalysts

D24 Used oil re-refining or other reuses of previously used oil

D25 Land treatment resulting in benefit to agriculture or ecological improvement

D26 Uses of residual materials obtained from any of the operations numbered D1-D25

D27 Exchange of wastes for submission to any of the operations numbered D1-D26

D28 Accumulation of material intended for any operation in Annex III

Appendix IV

INFORMATION TO BE PROVIDED ON NOTIFICATION

1. Reason for waste export

2. Exporter of the waste (1)

3. Generator(s) of the waste and site of generation (1)

4. Importer and Disposer of the waste and actual site of disposal (1)

5. Intended carrier(s) of the waste or their agents, if known (1)

6. Country of export of the waste Competent authority (2)

7. Countries of transit Competent authority (2)

8. Country of import of the waste Competent authority (2)

9. Projected date of shipment and period of time over which waste is to be exported and proposed itinerary (including point of entry and exit)

10. Means of transport envisaged (road, rail, sea, air, inland waters)

11. Information relating to insurance (3)

12. Designation and physical description of the waste including Y number and UN number and its composition (4) / and information on any special handling requirements including emergency provisions in case of accidents.

13. Type of packaging envisaged (e.g., bulk, drummer, tanker)

14. Estimated quantity in weight/volume

15. Process by which the waste is generated (5)

16. Waste classifications from Annex II of this Convention: Hazardous characteristics, H number, and UN class.

17. Method of disposal as per Annex III of this Convention.

18. Declaration by the generator and exporter that the information is correct.

19. Information transmitted (including technical description of the plant) to the exporter or generator from the disposer of the waste upon which the latter has based his assessment that there was no reason to believe that the wastes will not be managed in an environmentally sound manner in accordance with the laws and regulations of the country of import.

20. Information concerning the contract between the exporter and disposer.

Notes:

(1) Full name and address, telephone, telex or telefax number and the name, address, telephone, telex, or telefax number of the person to be contacted.

(2) Full name and address, telephone, telex or telefax number.

(3) Information to be provided on relevant insurance requirements and how they are met by exporter, carrier, and disposer.

(4) The nature and the concentration of the most hazardous components, in terms of toxicity and other dangers presented by the waste both in handling and in relation to the proposed disposal method.

(5) Insofar as this is necessary to assess the hazard and determine the appropriateness of the proposed disposal operation.

Appendix V

INFORMATION TO BE PROVIDED ON THE MOVEMENT DOCUMENT

1. Exporter of the waste (1)

2. Generator(s) of the waste and site of generation (1)

3. Disposer of the waste and actual site of disposal (1)

4. Carrier(s) of the waste 1/ or his agent(s)

5. The date the transboundary movement started and date(s) and signature on receipt by each person who takes charge of the waste

6. Means of transport (road, rail, inland waterway, sea, air) including countries of export, transit and import, also point of entry and exit where these have been designated

7. General description of the waste (physical state, proper UN shipping name and class, UN number, r number and H number as applicable)

8. Information on special handling requirements including emergency provisions in case of accidents

9. Type and number of packages

10. Quantity in weight/volume

11. Declaration by the generator or exporter that the information

12. Declaration by the generator or exporter indicating no objection from the competent authorities of all States concerned  

13. Certification by disposer of receipt at designated disposal facility and indication of method of disposal and of the appropriate date of disposal.

Notes:

The information required on the movement document shall where possible be integrated into one document with that required under transport rules. Where this is not possible, the information should complement rather than duplicate that required under the transport rules. The movement document shall carry instructions as to who is to provide information and fill out any form.

(1) Full name and address, telephone, telex or telefax number and the name, address, telephone, telex or telefax number of the person to be contacted in case of emergency.

END