Overview of the Basel Convention and Basel Protocol: History and

Goals

Ms. Donata Rugarabamu Senior Legal Officer

Secretariat of the Basel Convention

Regional Workshop Aimed at Promoting Ratification of the Basel Protocol on Liability and Compensation for Damage resulting from Transboundary

Movements of Hazardous Wastes and their Disposal

Addis Ababa, Ethiopia, 30 August to 2 September 2004

United Nations Environment Programme (UNEP)Secretariat of the Basel Convention (SBC)

The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal

The Basel Convention

• Adopted in 1989

• Entered into force on 5 May 1992

• 162 Parties to the Convention (as at 20 August 2004)

• 53 Parties are Members States of the African Union

Main Goal of the Convention

To protect, by strict control, human health and the environment against the adverse effects which may result from the generation and management of hazardous wastes and other wastes

Mechanisms for Achieving this Goal

• The control of the transboundary movement of hazardous wastes and other wastes

• Environmentally sound management (ESM) of hazardous wastes and other wastes

Control of Transboundary Movements 1

• The State of Export must notify the State of intended disposal (“State of Import”) and any States through which the shipment is intended to pass (“State of Transit”) (Art. 6 (1)).

• The notification must contain detailed information regarding the proposed shipment (Annex V A).

Control of Transboundary Movements 2

The shipment can only commence:– upon receipt of the written consent of the

State of Import and upon confirmation of the existence of a contract with a disposer specifying ESM of the wastes (Arts. 4(1)(c), 6(3)).

– States of Transit also must have consented (Art. 6(4)).

Control of Transboundary Movements 3

• The shipment must at all times be accompanied by a Movement Document, giving detailed information on the shipment (Arts 4(7)(c), Annex V B).

• This document must be signed by each person who takes charge of the wastes (Art. 6(9)).

Control of Transboundary Movements 4

• The disposer must confirm receipt of the wastes, and the completion of disposal in accordance with the information contained in the notification (Art. 6(9))

Control of Transboundary Movements 5

• Shipments made without following the procedures (e.g. without consent) are illegal (Art. 9)

• Illegal traffic is criminal (Art. 4(3))

Environmentally sound management 1

ESM means taking all practicable steps to ensure that wastes are managed in a manner which will protect human health and the environment against the adverse effects which may result from such wastes

Environmentally sound management 2Parties must, inter alia:• Ensure that the transboundary movement of hazardous

wastes and other wastes is reduced to the minimum consistent with the environmentally sound and efficient management of such wastes .

• Prevent the import of hazardous wastes and other wastes if it has reason to believe that the wastes in question will not be managed in an environmentally sound manner

• Not allow the export if the State of export does not have the technical capacity and the necessary facilities, capacity or suitable disposal sites to dispose of the wastes in question in an environmentally sound and efficient manner

The Basel Protocol on Liability and Compensation for Damage resulting from Transboundary

Movements of Hazardous Wastes and Their Disposal

The Basel Protocol on Liability

• Responding to the concerns of developing countries regarding limited financial and technical capacity to respond to and address cases of illegal dumping or accidental spills of hazardous wastes

Article 12 of the Basel Convention

Article 12 of the Basel Convention provides:

The Parties shall co-operate with a view to adopting, as soon as practicable, a protocol setting out appropriate rules and procedures in the field of liability and compensation for damage resulting from the transboundary movement and disposal of hazardous wastes and other wastes

Main Goal of the Protocol

To provide for a comprehensive regime for liability and for adequate and prompt compensation for damage resulting from the transboundary movement of hazardous wastes and other wastes and their disposal including illegal traffic in those wastes.

Mechanism for Achieving this Goal

The provision of third party liability and environmental liability in order to ensure that adequate and prompt compensation is available for damage resulting from the transboundary movement and disposal of hazardous wastes and other wastes

History of the Protocol 1

• March 1989 Conference of Plenipotentiaries (which adopted the Convention) adopted Resolution 3 which established a working group to develop elements which might be included in a Protocol on Liability and Compensation.

History of the Protocol 2• December 1992 COP 1 (Decision I/5): The elements

developed by the Working Group established pursuant to Resolution 3 were presented to COP 1. COP 1 decided to establish an ad hoc working group to consider and develop a draft Protocol on Liability.

• September 1993 – The Ad-hoc Working Group of Legal and Technical Experts to Consider and Develop a Draft Protocol on Liability and Compensation began meeting, pursuant to Decision I/5. The Ad hoc Working Group held 10 meetings.

• March 1994 COP 2 (Decision II/1), September 1995 COP 3 (Decision III/2), February 1998 COP 4 (Decision IV/19) – Extended the mandate of the working group

• 10 December 1999 COP 5 – Adopted the Protocol on Liability and Compensation

The Basel Protocol Today• As at 25 August 2004, 13 signatories and 3

ratifications (Ethiopia, Botswana and Togo)• 20 ratifications required for entry into

force• Decision VI/15 adopted by COP 6, called

on Parties to expedite the process of ratification, acceptance or approval of or accession to the Basel Protocol, to enable the Protocol to enter into force with a view to allowing the first meeting of the Parties to the Basel Protocol to be convened in conjunction with COP 7

• COP 7 will be held in Geneva from 25-29 October 2004

For Further Information

Visit the Basel Convention’s Website:

www.basel.int