Unep/Pops/Poprc.8/Inf/2

UNEP/POPS/POPRC.8/INF/2

UNITED
NATIONS / / BC
UNEP/CHW/CLI_EWG.2/INF/5
/ Distr.: General
16 May 2014
English only

Expert Working Group on Environmentally Sound Management

Second meeting

Jakarta, Indonesia, 2931 May 2014

Item 3 (b) of the provisional agenda

Consideration and further development of work commenced

during the intersessional period: development of practical manuals

Draft practical manual: Principles / General Rules and Model Legislation

Note by the Secretariat

1.The terms of reference for the expert working group on the framework for the environmentally sound management (ESM) of hazardous wastes and other wastes contained in annex II to decision BC-11/1 requested the expert working group to, among other things, collect available information on national and other ESM standards and practices and to develop generic guidance on how to establish ESM. At its first meeting, the expert working group decided to work intersessionally to develop practical manuals on key topical areas of environmentally sound management. The group agreed to develop manuals on the following topics:

(a)Terminology;

(b)Principles / General Rules and Model Legislation;

(c) Licenses / Permits;

(d)Safety and Insurance / Liability;

(e)Certification Schemes;

(f)Prevention.

2. The annex to the present note contains the draft practical manual developed by the small group on principles / general rules and model legislation. This information has not been formally edited by the Secretariat and is presented as received.

UNEP/CHW/CLI_EWG.2/INF/5

Annex

General Rules and Legislation[1]

I.Introduction

1.Background

[The Basel Convention defines Environmentally Sound Management (ESM) as “taking all practicable steps to ensure that hazardous wastes or other wastes are managed in a manner which will protect human health and the environment against the adverse effects which may result”. To foster ESM, the Parties to the Basel Convention established a framework to control transboundary movements of hazardous wastes and other wastes including a control system based upon prior written notice and consent for exports, transits, and imports of such wastes. The Parties also developed criteria for “environmentally sound management” that is guided by a number of principles that are expressed in a variety of Basel ESM technical guidelines, as well as model legislation.

Despite this significant body of historical work undertaken by the Basel Parties to promote ESM, and ultimately to prevent adverse effects to human health and the environment due to the mismanagement of hazardous and other wastes, a number of instances still occur where hazardous wastes and other wastes are not managed in an environmentally sound manner, with resulting adverse effects to human health and the environment[y1].]

2.Purpose

For the most part, this manual focuses on measures and legislative provisions aimed at fostering the environmentally sound management of hazardous wastes and other wastes through the control system.

This manual seeks to enhance and build upon existing information related to general rules and model legislation[2], with a view towards practically defining and outlining what needs to be in place to ensure a Party has the information and tools necessary to implement the Basel Convention and ensure ESM at a national levelthat a Competent Authority of a Party applying the requirements of the Basel control system, has the information and tools necessary to ensure that a prior written consent for transboundary movement will result in ESM, as well as the mechanisms to promote compliance with the Convention and enforcement in situations where ESM does not occur.

3.Target Audience

This manual is geared towards policy makers; legislators; focal points and competent authorities.

4.Instructions

To be completed as needed.

SECTION ON PRINCIPLES RELATED TO ESM (TO BE ADDED)
II.Definitions

Please consult the Terminology Manual [as it corresponds to the following relevant terms:

Environmentally sound management (ESM); Annex VIII and IX; competent authority; focal point; collection; importer; exporter; transit; transport; final disposal; waste; hazardous wastes; other wastes; product; generator; importer; exporter; approved site or facility; recycling; treatment; storage; final disposal; hazardous wastes management; after-care of disposal site].

III.Establishment of a Legal Framework for ESM (Legal and Policy)

The importance of establishing a comprehensive legal framework has been highlighted on numerous occasions in relation to the Basel Convention[3].

Legal Framework:

As part of its obligations under the Convention and in establishing a legal framework to implement the Convention, each Party designates one Focal Point and one or more Competent Authorities[4]. The role of the Competent Authority could be described as that of a Regulatory Authority to implement the Convention. The Competent Authority or (depending on national circumstances) other relevant national legislative-making bodies in consultation with other national authorities have the option of formulating and adopting rules, regulations, schemes and guidelines in order to implement the Convention.

Each Party should provide sufficient resources and a sufficient mandate to enable the Focal Point and Competent Authority to fulfil their responsibilities under the Convention. This could be provided for in national legislation, for example. In particular, the Authority should (1) ensure the monitoring of the effects on human health and the environment; (2) encourage the adoption of new environmentally sound technologies geared towards minimizing hazardous wastes or other wastes generation; (3) ensure to the extent possible, that adequate recovery and disposal facilities are located as close as possible to the sites of hazardous wastes and other wastes generation; (4) establish a funding arrangement for assistance in emergency situations at both the national and local levels; (5) should facilitate preventative measures and (6) implement and enforce controls related to the transboundary movement of hazardous waste.

For the most part, this manual focuses on legislation and other measures aimed at fostering the environmentally sound management (ESM) of hazardous wastes and other wastes through a number of controls.

A national survey should be undertaken by the Authority to determine what regulatory infrastructure and enforcement framework already exists, as well as a review of the country’s capacity to manage hazardous wastes and recyclables in terms of what arrangements are necessary to support the implementation of the Convention.

Identify and engage key stakeholders

Consult citizens (who bring knowledge) and technical advisory groups (that bring expertise) to support the development and implementation of national legislation.

[PLACEHOLDER FOR SYNERGIES LANGUAGE]

IV.Covered wastes

1.Hazardous wastes

Article 1 of the Convention establishes the scope of the Convention, which is further articulated in a number of annexes that determine whether a material or waste is classified as hazardous or non-hazardous. In particular, Annexes I, II, III, VIII, and IX play some role in defining whether a wastes is “hazardous” and thereby covered by the Convention and subject to transboundary movement controls. Covered wastes include:

 Waste that belongs to any category contained in Annex I, unless they do not possess any of the hazard characteristics defined in Annex III;

 Hazardous waste that is expressly listed in Annex VIII;

 Waste expressly listed in Annex IX, if it exhibits a hazardous characteristic defined in Annex III;

 Wastes that are not defined as hazardous under the Convention, but are defined as, or are considered to be hazardous wastes by the domestic legislation of the Party of export, import or transit.

2.Other wastes

 Waste that belongs to any category contained in Annex II (“other wastes”) that are subject to transboundary movement

[Paragraphs 3 and 4 of Article 1 of the Convention do contain certain exclusion clauses as to the scope of the Convention regarding radioactive wastes and wastes which derive from the normal operations of a ship. Wastes which, as a result of being radioactive, are subject to other international control systems, including international instruments, applying specifically to radioactive materials, are excluded from the scope of the Convention. Wastes which are derived from the normal operations of a ship, the discharge of which is covered by another international instrument, are excluded from the scope of this Convention. ]

IV.Practical Institutional Arrangements for Implementing Convention

Institutions:

In order to implement the Convention, a number of institutional arrangements must be in place within each country including:

Administrative mechanisms/bodies to: (i) liaise with relevant stakeholders such as customs officials; (ii) collect data; and (iii) coordinate with the Basel Secretariat and other Basel Parties with regards to transmission of information e.g. national definitions and reporting.
Scientific and technical mechanisms/bodies to: (i) provide technical assistance to stakeholders; (ii) interpret the Convention with regards to waste terms, lists, and definitions outlined above in Section III on covered wastes; (iii) administer permits, licenses, and authorizations noted below and outlined in the Permits and Licenses manual; and (iv) trained to undertake periodic inspections of waste storage and treatment facilities pursuant to permitting and licensing.
Legal mechanism/body to promote compliance and to enforce the provisions of the Convention.

The country may also wish to establish a mechanism to ensure coordination and cooperation between the relevant bodies involved in the implementation and enforcement of the Convention.

Infrastructure:

[Language about necessary practical infrastructure on the ground]

VI. Transboundary Movement Control System

The Basel Convention establishes a control system that governs imports, exports, and transit of hazardous waste to ensure environmentally sound management of wastes under the scope of the Convention. Please see the Guide to the Control System for further informationIt is likely to be more effective and legally certain for Parties to implement the Convention by specifically designed legislation. In some instances, Parties also have a specific obligation to implement the Convention through national legislation.

Prior Informed Consent

Prior Informed Consent (“PIC”) is the major instrument for implementing the Basel control system. In order to implement the PIC, implementing legislation must include provisions governing this process, which includes:

The country of export should provide for written notifications containing all information specified in Annex VA of the Basel Convention.

The Competent Authority of the exporting country shall forward a copy of the notification to the government of the importing and any transit (where applicable) country (s). It is at the discretion of the Competent Authority to transmit the notification, if the importing country prohibits the import of the relevant waste.

The Competent Authority of the importing country shall forward consent, objection, or other communication to the Competent Authority of the exporting country.

Wastes covered under the scope of the Convention must not be exported until the Competent Authority of the exporting country has received written consent of the governments(s) of the importing and transit (where applicable) countries.

VII.National Level [y2]Elements for Control of the Management ESM of Hazardous Wastes and Other Wastes

To implement the requirements of the Convention, national legislation, regulations or other measures should be in place to ensure ESM for the whole waste management chain for the wastes in question. This should include collection, transport, interim storage, recycling, reuse, treatment and final disposal of hazardous wastes and other wastes specific to covered waste streams. Below are a number of elements that should be in place through legislation and other measures to ensure proper management ESMand measures to employ if pollution occurs from mismanagement, to minimize and mitigate impacts to human health and the environment.[y3]

1.National Level Elements

Waste prevention and minimization plans

The Competent Authority Party should ensure that a national program is in place to promote waste prevention and minimization. This could be contained within its waste management plan. Please reference the Prevention Manual.

Waste management plans

The relevant stakeholder, e.g. Competent Authority, Party should establish a national/domestic waste management plan(s) that is(are) consistent with the Convention and should include the elements necessary to implement ESM. This plan should be reviewed periodically to keep pace with advances in environmentally sound technologies and management practices.

C.Identify and engage key stakeholders

Consult citizens (who bring knowledge) and technical advisory groups (that bring expertise) to support the development and implementation of national legislation.

Permits or Licenses to Operate

Permits, or licenses to operate, provide legal authority for those who engage in collection, transport or disposal of hazardous waste and detail how the facility must comply with the relevant regulations and consequently ensure ESM. Permits and licenses are an important tool for controlling the management of hazardous wastes and other wastes. Compliance with a permit ensures that hazardous waste is handled in a controlled manner that is protective of human health and the environment. Permits also serve as an implementation mechanism, and as a mechanism for the Authority to track waste management at facilities that choose to manage hazardous waste.

Legislation should provide for a general permit program, to be administered by the Authority, for any person who wants to collect, transport or dispose of hazardous wastes or other wastes.

As part of the permitting process, the Competent Authority must collect sufficient information to determine, in an informed manner, whether the proposed collection, transport, recycling or disposal of hazardous wastes or other wastes, will be conducted in an environmentally sound manner.

For more detailed information on permits, please reference the Permits and Licenses Manual.

Public awareness Initiativesaccess to information

Parties should provide Reasonable public access to government records on waste and recyclables treatment, storage,and transport and disposal facilities and movements within and between countries.

[Awareness raising and education language]

2.1.Insurance/Liability

For more detailed information on insurance and liability, please reference the Insurance and Liability Manual. The Convention requires generator, collector, storer, transporter and disposer shall maintain adequate insurance cover. This is because insurance or other financial instruments may be needed to ensure availability of sufficient funds to finance a clean-up or to discharge liability in the event of an accident, either on-site or off-site and to take-back illegal or mismanaged waste shipments. The legislation should provide for such insurance or other financial instruments.

1.Hazardous Waste Generators

To be completed.

1.2.Hazardous Waste Collectors

To be completed.

2.3. Hazardous Waste Transporters and Shippers

To be completed.

[PLACEHOLDER TO DEVELOP STRATEGY FOR FORMALISING THE INFORMAL SECTOR]

3.4.Hazardous waste recyclers recovery and disposalers

To complement and enhance the permit process, legislation should provide requirements to ensure waste management facilities possess plans to provide a holistic system to ensure that wastes are recycled recovered or disposed in a safe and ESM.

The following elements should be considered in developing legislation, regulations and other measures:

Capacity

Waste Management Facilities should demonstrate through the permitting program outlined above, that they possess the technical ability and capacity to treat the following waste streams identified as “covered wastes” by the Basel Convention in an environmentally sound manner. The facility should follow the best available technologies. Key control features include effluent treatment to contain, monitor and treat any water that leaves the recycling facility; and appropriate emission control devices.

Health and safety plans

Programs should be in place for defining the responsibilities of staff and ensuring that staff are trained to perform their tasks; are knowledgeable about good housekeeping practices to minimize losses and prevent fugitive emissions; and are aware of requirements. This includes the provision of appropriate training of workers for the safe and environmentally sound operation of waste management facilities and the provision of personal protection equipment.

Emergency Action plans

Programs should be in place to ensure emergency preparedness and response plans should an emergency occur on-site at the facility or offsite during transportation.

An action plan should be developed to respond to emergencies or accidents. This includes employee training of proper use of personal protection equipment and guidance for the response to and remediation of a spill. The plan should locate and provide emergency equipment at pre-designated spots in the plant. This equipment should include fire extinguishers and personal protection equipment (e.g., special clothing, face masks and respirators, spill absorbents, shovels) as required by the process and materials at the plant.

The plan should ensure prompt reduction of any environmental impact of an accident if one should occur. Training exercises should be carried out to ensure readiness. Special handling requirements for the wastes on-site should be included.

The plan should include a procedure for public outreach and for notification of unusual occurrences (e.g., emergencies, spills, leaks that are released to the environment).

Monitoring

The Convention specifically requires the generator to annually inform the Competent Authority of the quantity and characteristics of hazardous wastes or other wastes it generated in the previous year. Further, the generator is required to annually provide the CA with information on measures adopted. Finally, the Convention requires the generator to provide the CA with information on accidents which have occurred during or as a result of the generation of hazardous wastes or other wastes.

Monitoring provides a picture of a facility’s environmental performance and indicates processing problems. A system should be in place to monitor the performance of the waste management operations, for both record-keeping purposes and to detect discharges, releases, or accidents and to take appropriate action if performance does not comply with targets. Monitoring should be analyzed and reviewed at regular intervals to provide information for decisions needed to improve the process and reduce potential impacts on environmental and human health.