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LECTURE 4B – HAZARDOUS WASTE POST-DETECTION
TRAINING WORKSHOPON ENVIRONMENTALLY REGULATED SUBSTANCES
LECTURE 4B: POST-DETECTIONOVERVIEW
Documenting and reporting results of inspection
Evidence collection
Return of illegal waste shipments
Prosecution
2
DOCUMENTING INSPECTION RESULTS Document! Document! Document!
Record and photograph (if possible) Original seal Opening of container Unloading container Contents of container Reloading container New container seal
Record names and contact information for responsible staff
3
EVIDENCE
If you plan to pursue any legal actions relating to a shipment, good evidence collection and management is critical for success.
Good evidence can answer: Who What Where When Why How
4
TYPES OF EVIDENCE
Testimonial
Documentary
Demonstrative
Real
5
TESTIMONIAL EVIDENCE
Reported sense impressions and opinions “I smelled”, “I saw”, “I heard”
Interview “The importer said…”
Witness testimony
6
J. Braun
DOCUMENTARY EVIDENCE
Field notes
Documents Shipping papers Consent notices Manuals/Procedures/Protocols Inspection reports Sample results
Obtained by field instrumentation Obtained by laboratory analysis
7
NEMA-EANECE
DEMONSTRATIVE EVIDENCE
Other evidence to clarify or explain:
Photographs
Maps
Flow charts
Diagrams
etc.8
REAL EVIDENCE
9
Samples Container or label Object or item
Profepa
CompressorsCathode-ray tubes
Ozone-depleting substance
PROPER HANDLING OF EVIDENCE Need to maintain and document
chain of custody of evidence
Evidence is “in custody” when: it is in actual possession and control
of officer; it is in officer’s view; or it is in storage place where only officer
and identified others have access.
Be able to show who handled and had access to evidence (documentation)
Make good evidence handling a habit Always follow established protocols or procedures (or
explain why not)
10
FORMS What forms should you use to document hazardous
waste detection?
11
EVIDENCE CHECKLIST Copies of relevant documents:
Customs documents Bill of lading Invoices Contract Packing list Safety data sheets Test certificates
Photos of the load
Analyses
Terms for delivery
Reports of interviews with involved actors 12
WHAT IS WASTE TAKEBACK?
Exporter or state of export responsible for taking back shipments of waste determined to be illegal
Authority for takeback given under Basel Convention
13
Detect illegal waste
Detain the waste
Move to secure & safe storage/inspection area
Gather evidence
Determine where the waste was exported from & who is responsible for the illegal
transboundary movement
Inform your CA and/or Basel Focal Point
Exporter/generator or uncertain Importer/disposer
CA of import sends written takeback request to CA of export, with evidence
CA of export agrees with takeback and sends written response to CA of import
CA of import informs CA of export (and of transit) about the details of the return shipment
CA of export ensures that waste is indeed sent back and disposed of in an environmentally sound manner
CA of import arranges for disposal or recovery of the waste in an environmentally sound manner
Determine possible sanction
Communicate outcome to involved parties
Decision Tree Overview
14
STEPS IN THE DECISION TREE #1
Detect, detail, inspect shipment and record evidence
Determine where waste was exported from & who is responsible for illegal transboundary movement
Inform your Competent Authority and/or Basel Focal Point
If importer or disposer is responsible, Competent Authority of import arranges for disposal or recovery of waste in an environmentally sound manner
15
STEPS IN THE DECISION TREE #2
If Exporter/Generator is responsible or if responsibility is uncertain, Competent Authority of import sends written take
back request to Competent Authority of export, including evidence
Competent Authority of export agrees with take back and sends written response to Competent Authority of import (see next slide)
Competent Authority of import informs Competent Authority of export (and of transit) about details of return shipment
Competent Authority of export ensures that waste is indeed sent back and disposed of in an environmentally sound manner 16
STEPS IN THE DECISION TREE #3 If Competent Authority of export does not
agree with the take back, then Competent Authority of import can: Pursue communication at different levels
(operational and political). Contact Secretariat of the Basel Convention.
Article 20 of Convention provides procedure for settlement of disputes if no agreement can be reached.
Alternately, CA can bring case to the attention of Implementation and Compliance Committee under the Basel Convention, which can assist Parties in complying with their obligations under the Convention.
17
STEPS IN THE DECISION TREE #4
Determine possible sanction (e.g. warning letter, penalty or prosecution)
Communicate outcome to involved parties
18
PROSECUTION AND PENALTIES
Relevant national legislation gives guidance on penalty options Civil or administrative means Criminal prosecution
Enforcement response options: Warning Fine Prosecution
Penalty should be proportional to scale of crime or misdemeanor Quantity of waste, relative risk of hazard, deliberate or
accidental mislabeling, frequency of violation 19