COMBATING THE ILLEGAL MOVEMENT OF HAZARDOUS SUBSTANCES AND WASTE IN SOUTH-EASTERN EUROPE MANUAL
The Organization for Security and Co-operation in Europe (OSCE) is a pan-Eu- ropean security body whose 57 participating States span the geographical area from Vancouver to Vladivostok. Recognized as a regional arrangement under Chapter VIII of the United Nations Charter, the OSCE is a primary instru- ment for early warning, conflict prevention, crisis management and post-con- flict rehabilitation in its area. Its approach to security is unique in being both comprehensive and co-operative: comprehensive in that it deals with three dimensions of security – the human, the politico-military and the economic/ environmental. It therefore addresses a wide range of security-related con- cerns, including human rights, arms control, confidence- and security-build- ing measures, national minorities, democratization, policing strategies, coun- ter-terrorism and economic and environmental activities. PARTICIPATING STATES: Albania | Andorra | Armenia | Austria | Azerbaijan | Belarus | Belgium | Bosnia and Herzegovina | Bulgaria | Canada | Croatia | Cyprus | Czech Republic | Denmark | Estonia | Finland | France | Georgia | Germany | Greece | Holy See | Hungary | Iceland | Ireland | Italy | Kazakhstan | Kyrgyzstan | Latvia | Liechtenstein | Lithuania | Luxembourg | North Macedonia | Malta | Moldova | Monaco | Mongolia | Montenegro | Netherlands | Norway | Poland | Portugal | Romania | Russian Federation | San Marino | Serbia | Slova- kia | Slovenia | Spain | Sweden | Switzerland | Tajikistan | Turkey | Turkmenistan | Ukraine | United Kingdom | United States of America | Uzbekistan ASIAN PARTNERS FOR CO-OPERATION: Afghanistan | Australia | Japan | Republic of Korea | Thailand MEDITERRANEAN PARTNERS FOR CO-OPERATION: Algeria | Egypt | Israel | Jordan | Morocco | Tunisia The materials in this publication are for general information purposes only, provided on an “as is” basis, without warranties of any kind, including fitness for any particular purpose. The OSCE, specifically, does not make any war- ranties with respect to the accuracy or completeness of the information in this publication. The views, findings, interpretations and conclusions expressed herein are those of the author(s) and do not necessarily represent the official position of the OSCE and/or its participating States. To the extent permitted by law, the OSCE does not accept any liability for any loss, damage, liability or expense incurred or suffered, which may arise as a result of, or in connection with, the use of information contained in this publication. Disclaimer The views, findings, interpretations and conclusions expressed in the publi- cation are those of the authors and contributors and do not necessarily re- flect the views or any official position of the OSCE decision-making bodies and its participating States. The designations employed and the choice and presentation of material in this publication do not constitute or imply the ex- pression of any opinion on the part of the OSCE concerning the legal status of any country, territory, city, or area, of any authority therein, or concerning the delineation of any frontiers and/or boundaries. The OSCE does not accept any liability for any damage or loss which may arise out of the reliance on information contained in this publication.
MANUAL COMBATING THE ILLEGAL MOVEMENT OF HAZARDOUS SUBSTANCES AND WASTE IN SOUTH-EASTERN EUROPE June 2026
Acknowledgements OSCE team: André Confiado, Saule Ospanova, Elton Qendro, Gala Rak A uthor: Nancy Isarin C ontributing Authors: Fraser Allen, Olsi Coku, Gordana Petkovic Layout and editing: MaxNova Creative W e would like to thank the Secretariat of the Basel, Rotterdam, and S tockholm Conventions, UNODC, the OSCE Presence in Albania, and t he participants of the Training of Trainers on “Strengthening the Capacity o f National Authorities in Addressing the Challenges of trafficking in h azardous waste in Eastern and South-Eastern Europe” organized by t he Office of the Co-ordinator of OSCE Economic and Environmental A ctivities, which took place in October 2023 in Tirana, Albania, for their support and contribution to the development of this report. S ources of information: materials developed by the Basel, Rotterdam and Stockholm Conventions Secretariat and the EU Network for t he Implementation and Enforcement of Environmental Law (IMPEL) focusing on the enforcement of the relevant Conventions and related EU l egislation, addressing illegal trade in waste and chemicals. Cover page photo: Shutterstock.com © OSCE 2026 Published by the Organization for Security and Co-operation in Europe ISBN: 978-92-9234-198-5
BAT Best Available Technique BEP Best Environmental Practices CEAP Circular Economy Action Plan COP Conference of Parties DGD Decision Guidance Document DNA Designated National Authorities EC European Commission EPR Extended Producer Responsibility ESM Environmentally Sound Management GHG Greenhouse Gas GWP Global Warming Potential HFCs Hydrofluorocarbons HCFCs Hydrochlorofluorocarbons IGEC Inter-institutional Group against Environmental Crime LoW List of Waste NEA National Environment Agency Abbreviations ODS Ozone Depleting Substances OECD Organisation for Economic Co-ordination and Development OSCE Organization for Security and Co- operation in Europe PCBs Polychlorinated biphenyls PiA OSCE Presence in Albania (PiA) PIC Prior Informed Consent POPs Persistent Organic Pollutants SEE South Eastern Europe TBM Transboundary movement UNEA United National Environmental Assembly UNEP United Nations Environment Programme UNODC United Nations Office on Drugs and Crime WEEE Waste Electrical and Electronic Equipment WFD Waste Framework Directive WSR Waste Shipment Regulation
Combating Illegal movement hazardous substances and waste 6 1. Abbreviations 5 2. Introduction 8 Why has this manual been produced?9 Who should read this manual? 9 Aims & Learning Objectives 9 International trade in hazardous substances and waste: causes and risks10 3. International Conventions 12 The Basel Convention 13 The Rotterdam Convention 16 The Stockholm Convention 17 Synergy between the Conventions 19 Montreal Protocol 21 Minamata Convention 22 4. Management of Hazardous Waste and Chemicals 23 What is Waste and Hazardous Waste? 23 ESM on POPs — Synergy between Basel and Stockholm Conventions 24 EU waste legislation 24 National waste legislation 25 Phases of categorisation, classification and waste testing 26 Hazardous Waste Supply Chain - Concepts of Waste Management 26 Management of Chemicals 28 5. Import and Export Procedures 30 Control procedure for transboundary movements of waste30 Prior Informed Consent Procedure for Chemicals 32 Stockholm Convention import and export control procedures 35 Contents
7 Contents 6. Controlling transboundary movements of hazardous substances and waste 36 Controlling waste trade 36 Controlling trade in chemicals 38 Controlling the trade in persistent organic pollutants 39 7. Illegal transboundary movement of hazardous substances and waste 41 What is illegal traffic? 42 Smuggling schemes 42 Investigating illegal traffic 43 Detection 44 Risk based approach 46 Screening documentation 49 Physical examination 50 8. Dealing with illegal trade 52 Seizures and Storage 52 Evidence gathering and case documentation 53 Take back of illegal traffic 53 Investigations and Prosecution 55 9. How to Prevent Illegal Traffic? 58 Task force approach 58 Partnership Working 59 10. Appendices 63 Appendix I - International initiatives 63 Appendix II - Level of implementation of the Basel, Stockholm and Rotterdam Conventions and Montreal Protocol by the SEE countries 65 Appendix III - Main legal frameworks regulating Waste Management in the SEE countries. 73 Appendix IV - Notification and Movement Documents Basel Convention 81 Appendix V- Rotterdam Convention listed chemicals 86
Combating Illegal movement hazardous substances and waste 8 1 Introduction The purpose of this manual is to provide the reader with a detailed overview and insight concerning the transboundary movement of certain hazardous substances and waste, the legal framework within which such movements must comply, what is illegal trade in hazardous substances and waste and how to detect, disrupt and deal with illegal movements of such substances and waste. The focus of the manual will mainly be on hazardous waste, ozone depleting substances and banned pesticides (hazardous substances). Background Hazardous waste and chemicals, if not properly managed, can have a grave impact on the environment and public health. They can contaminate water, soil and the atmosphere. Mismanagement of hazardous waste and chemicals can also have serious safety and security implications. While hazardous waste and chemicals are a threat to all OSCE participating States, several states are exposed to high risks of contamination from hazardous waste accumulated at old industrial complexes, including legacies of uranium mining. Risks to security are also posed by illegal transboundary movement of hazardous waste, which is a lucrative criminal business and an internationally recognized challenge. The illegal movement of transboundary hazardous waste poses threats to security, economic prosperity, and the rule of law and exacerbates environmental degradation, with significant implications for human health and well-being. Activities supported by the OSCE in the area of prevention of illegal transboundary movement of hazardous waste support respective participating States in implementing their commitments under the Basel Convention. It is the most comprehensive global environmental agreement and regulates transboundary movements of hazardous and other waste. The 1986 Concluding Document of the Vienna Meeting of Representatives of the Participating States of the C onference on Security and Co-Operation in Europe, the 1990 Report o n Conclusions an d Recommendations of the Meeting on the Protection of the Environment o f the Conference on Security and Co-operation in Europe, the 1992 CSCE Helsinki D ocument, and MC Decision 11/2006 serve as the primary references for the work of the O SCE is in this field.
9 Introduction 1 requiring a significant response from all members of so- ciety including international governments, regulatory and enforcement bodies, prosecutors, judiciary, non-govern- ment organisations, commercial organisations and civil society. The intention of producing this manual is to provide a source of information and reference to help build capaci- ty to understand and respond to this problem. Both references are made to international frameworks as well as to key pieces of EU legislation, whereby it is un- derstood that EU legislation does not apply to non-EU member states. WHY HAS THIS MANUAL BEEN PRODUCED? The Organization for Security and Co-operation in Eu- rope (OSCE) has supported the production of this man- ual to assist its participating States (and particularly in South-Eastern Europe) in countering the global issue of illegal transboundary movements of hazardous sub- stances and waste by helping to build knowledge and capacity at national and organisational levels. The illegal transboundary movement of hazardous sub- stances and waste is a growing and significant problem WHO SHOULD READ THIS MANUAL? The manual is aimed at those who have a direct or indirect influence on detecting and disrupting illegal movements of hazardous substances and waste and dealing with the follow up actions. Those who will benefit from reading this manual include but not limited to police, customs officers, border control, environmental regulators, prosecutors and members of the judiciary. AIMS & LEARNING OBJECTIVES The aim of this manual is to provide a useful reference guide for helping to prevent the illegal transboundary movement of hazardous substances and waste by in- creasing the increasing the understanding of environ- mental sound management (ESM) of waste and chem- icals, increasing the knowledge of the applicable legal frameworks and providing tools and insights on how to recognise and respond to illegal trade.
Combating Illegal movement hazardous substances and waste 10 INTERNATIONAL TRADE IN HAZARDOUS SUBSTANCES AND WASTE: CAUSES AND RISKS The trade in hazardous substances and waste is a global market. In order to protect the environment and human health from the detrimental impacts of the illegal trade in hazardous substances and waste, regulations have been put in place to monitor the trade and management of these substances. The international community responds to increasing environmental concerns by implementing stricter environmental policies and legislation, introducing bans on the production, transportation and use of certain hazardous substances and waste. However, the cost of compliance for producers, users and disposers of such substances significantly increases as a result. Hazardous waste is a significant cost burden to waste producers as the availability of treatment and disposal options is significantly reduced compared to non-hazardous waste thus leading to higher waste management costs. Circumventing the rules could be of interest for involved operators to save time and/or costs. As a result of by-passing those regulations, illegal transboundary movement of hazardous substances and waste can pose detrimental effects on human health and the environment. Dealing effectively with illegal trade requires a significant response from all members of society, including international governments, regulatory and enforcement bodies, prosecutors, judiciary, non-government organisations, commercial organisations and civil society. Illegal movements are increasing in frequency and scale due to changing legislative landscapes, technologies, and costs, resulting in significant risk of harm to humans, ecosystems and the environment. Hazardous Substances The existence of certain hazardous components in prod- ucts, materials, substances or waste, result in hazardous characteristics. Due to this risk, these substances re- quire proper management to reduce and control nega- tive impacts they may have on the environment and hu- man health. For example, waste streams, such as Waste Electrical and Electronic Equipment (WEEE or e-waste) or plastic waste may contain hazardous components such as arsenic, lead, cadmium, flame retardants and poly vi- nyl chloride, that, if not treated and removed appropriate- ly, can easily find pathways into the environment causing pollution and may even enter the food chain. Another example is mercury. Once released, mercury can travel long distances, and persists in environments where it cir- culates between air, water, sediments, soil, and living or- ganisms. Mercury is concentrated as it rises up the food chain ending up being consumed by humans. Once de- posited in soils and sediments, the mercury changes its chemical form, largely through metabolism by bacteria or other microbes, and becomes methylmercury, the most dangerous form for human health and the environment. Environmental Impacts The waste sector is responsible for 10% of greenhouse gas (GHG) emissions. One third of the waste generated globally is mismanaged, with open dumping accounting for about 31% of waste globally and up to 93% in some lower income countries. 1 1 UNODC – WWF. (2023). Crimes that Affect the Environment and Climate Change. Available at: https://www.unodc.org/res/environ- ment-climate/resources_html/Crimes_that_Affect_the_Environ- ment_and_Climate_Change.pdf [Accessed 12 July 2024]
11 Introduction 1 All hazardous substances have the potential to cause pollution to the environment if used and managed incor- rectly. Many substances contain dangerous and hazard- ous properties, including persistent organic pollutants (POP’s), heavy metals and asbestos, which can easily enter the environment if managed inappropriately. The illegal trade in and use of ozone-depleting substanc- es (ODS) include hydrochlorofluorocarbons (HCFCs) and other compounds with a high Global Warming Potential (GWP), particularly hydrofluorocarbons (HFCs) in turn also strongly contribute to the effects of global warming. Hence, the unsound management, illegal dumping, trade and use of hazardous substances has resulted in con- tamination of air, land and water systems, and even end- ing up impacting the food chain as can be seen with mi- croplastics, affecting human health and contributing to climate change. The pathway between source and recipient can take sev- eral different forms depending on the type of pollutant. Primary recipients for pollution are water, air, and soil. Pollutants usually reach humans through the consump- tion of contaminated and polluted water and food and breathing polluted air. International Security Global population growth exerts a significant demand on resources including food, clean water, and land. This de- mand can cause tension as more people seek these nec- essary natural resources. The OSCE participating States have already recognized the link between co-operation in the economic and environmental sphere with peaceful in- ter-State relations, and the need to improve international co-operation on the transboundary movement of hazard- ous wastes. There are clear links between security and environment with a better environment being a facilitator of increased security of food and water and less instabili- ty caused by lack of necessary natural resources. Illegal transboundary movement of hazardous waste and substances poses threats to security, economic pros- perity, and the rule of law and exacerbates environmen- tal degradation, with significant implications for human health and well-being, and must be tackled by all actors in South Eastern Europe (SEE). Prioritising Because the impacts of illegal movement of hazardous substances are significant, the international commu- nity including those in SEE must prioritise tackling this problem. Each country and economy must set their own priorities on how to prevent, detect and disrupt the illegal trans- boundary movement of hazardous substances, however, due to the cross-border impacts, regional and interna- tional coordination and collaboration is strongly recom- mended. Moreover, aligning national legislative frame- works is a key step as part of the EU accession process, particularly in relation to chapter 27 of the negotiating chapters, Environment and Climate Change. Following national priorities, based on risks and threats of illegal movements of hazardous substances, appropriate plans must be established, including training and capaci- ty building in order to effectively deal with those priorities.
Combating Illegal movement hazardous substances and waste 12 2 International Conventions This chapter provides information on multilateral environmental agreements related to the production, use, disposal, and reuse of hazardous substances and waste. Since the late 1980s – early 1990s, several important multilateral environmental agreements, conventions and protocols that together cover key elements in the “production-to-disposal” management of hazardous chemicals with toxic, persistent, and bio accumulative characteristics, were negotiated and adopted. The most important multilateral environmental agree- ments have been included in this Training Manual, pro- viding for a brief summary information and references. This document however is not comprehensive. Rather, it provides a starting point for readers interested in investi- gating the topic. For the purpose of this manual the Basel, Rotterdam, and Stockholm Conventions and the Montreal Protocol are covered, and the most recent Convention, called the Minamata Convention. The latter came into force in 2017 and is designed to protect human health and the envi- ronment from anthropogenic emissions and releases of mercury and mercury compounds. The Minamata Con- vention provides controls over a myriad of products con- taining mercury, the manufacture, import and export of which were altogether prohibited in 2020, except where countries have requested an exemption for an initial 5-year period. These products include certain types of batteries, com- pact fluorescent lamps, relays, soaps and cosmetics, thermometers, and blood pressure devices. Dental fill- ings which use mercury amalgam are also regulated un- der the convention, and their use must be phased down through a number of measures. The Basel, Rotterdam, and Stockholm Conventions and the Montreal Protocol have been ratified by all SEE jurisdictions except for Kosovo 2 which is not yet a member of the United Nations and as such is not yet a party to these Conventions. Minamata Convention is not yet ratified by Bosnia Herzegovina, and Kosovo. 3 The international conventions are implemented by the European Union in EU legislation – either by Directives or Regulations. Reference to these documents will also be provided. 2 All references to Kosovo, whether to the territory, institutions or pop- ulation, in this text should be understood in full compliance with United Nations Security Council Resolution 1244. 3 Ibid.
13 International Conventions 2 THE BASEL CONVENTION In the late 1980s, increasingly strict rules for managing waste in industrialized countries led to a sharp rise in the cost of treatment of hazardous waste. Searching for ways to reduce these increasing costs, some operators began shipping hazardous wastes to developing countries. This led to cases where hazardous waste was dumped, spilled or managed improperly, causing severe health and environmental problems. Such incidents received international attention, and as a result the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal (hereafter called the Basel Convention) was negotiated under the auspices of the United Nations Environment Programme (UNEP). The Convention was adopted in 1989 and entered into force in 1992. As of July 2023, the Convention had 190 Parties. The Basel Convention is intended to protect, by strict control, human health and the environment against the adverse effects which may result from the generation and management of hazardous and other wastes. The three main pillars of the Basel Convention are to: I. Minimize the generation of hazardous wastes in terms of quantity and degree of hazard; II. Promote the environmentally sound management of hazardous wastes and other wastes III. Control transboundary movements of hazardous wastes and other wastes. To achieve its objectives, the Basel Convention imposes restrictions and conditions on the transportation of hazardous wastes across international boundaries. The movements of waste covered by the scope of the Basel Convention across borders, the so called Prior Informed Consent Procedure (PIC) must be followed. This procedure allows Parties to review intended import, transit or export of waste, and whether they will consent to it or not. Parties to the Convention should not allow hazardous or other wastes to be exported to countries that have prohibited the import of such wastes. Parties have the right to prohibit the import of hazardous or other wastes for disposal. Parties to the Convention should also not allow hazardous wastes or other wastes to be exported to countries where there is reason to believe that the wastes will not be managed in an environmentally sound manner. Generally, Parties are prohibited from exporting wastes to or importing wastes from non-Party Countries.
Combating Illegal movement hazardous substances and waste 14 Amendments to the Basel Convention Over the years, the Basel Convention has been amend - ed. In 2019 the so-called “Ban Amendment” 4 entered into force. This amendment provides for the prohibition by each Party included in the proposed new Annex VII (Par- ties and other States which are members of the OECD, EC, Liechtenstein) of all transboundary movements to States not included in Annex VII of hazardous wastes covered by the Convention – either for final disposal or reuse, recycling, or recovery operations. This implies for hazardous plastic waste, that it cannot be exported from OECD members, the EC or Liechtenstein to other coun- tries. Trade in hazardous plastic waste among countries not listed in Annex VII, can take place, providing that the prior informed consent procedures have been followed. In June 2018, a proposal was submitted to amend the Annexes to the Basel Convention to specifically cover plastic waste and stem the flow of plastic waste to coun- tries with an insufficient number of facilities for the ESM of plastic wastes. In May 2019, during the 14th meeting of the Conference of the Parties to the Basel Conven- tion, new categories for plastic waste in Annex II, Annex VIII and Annex IX were adopted 5 This makes the Basel Convention the only global legally binding instrument that currently and specifically addresses plastic waste. The amendments aim to enhance the control of the trans- boundary movements of plastic waste and clarifying the scope of the Convention as it applies to such waste and became effective January 1, 2021. As of 2023, 189 States and one regional economic integration organiza- tion around the world are bound by the amendments.4 UNEP (2011). The Basel Convention Ban amendment. Available at: https://www.basel.int/Implementation/LegalMatters/BanAmend- ment/Overview/tabid/1484/Default.aspx [Accessed 1 August 2024] 5 UNEP (2019). Basel Convention Plastic Waste amendments. Avail- able at: https://www.basel.int/Implementation/Plasticwaste/ Amendments/Overview/tabid/8426/Default.aspx [Accessed April 2024] . Following the increased focus on the devastating impacts of plastic pollution, in March 2022, at the resumed fifth session of the UN Environment Assembly (UNEA-5.2), a historic resolution was adopted to develop an internation- al legally binding instrument on plastic pollution, includ- ing in the marine environment. As of the writing of this manual, the negotiations for this treaty are still ongoing. It is expected that a new treaty will enter into force in 2025. A third amendment 6 to the Basel Convention entered into force in January 2025 concerning e-waste. The fif- teenth meeting of the Conference of the Parties to the Basel Convention (6-17 June 2022) adopted amend- ments to Annexes II, VIII and IX to the Convention with the objectives of enlarging the control of transbounda- ry movements of e-waste and making all electronic and electrical waste subject to the prior informed consent (PIC) procedure. In the EU, the key piece of legislation regulating ship- ments of waste is the Regulation (EU) No 2024/1157 of the European Parliament and of the Council of 11 April 2024 on shipments of waste, 7 (hereafter referred to as the Waste Shipment Regulation or WSR). Waste covered by the Basel Convention Wastes controlled under the Basel Convention regu- latory regime are listed in the following annexes to the Basel Convention 8 : 6 UNEP (2022). Basel Convention E-waste amendments. https://www. basel.int/Implementation/Ewaste/EwasteAmendments/Over- view/tabid/9266/Default.aspx [Accessed April 2024]. 7 European Commission (no date). Waste Shipments. Available at: https://environment.ec.europa.eu/topics/waste-and-recycling/ waste-shipments_en#law [Accessed April 2024]. 8 One UN Climate Change Learning Partnership – UN CC: Learn (no date). Plastic Waste and the Basel Convention. Available at: https:// unccelearn.org/course/view.php?id=131&page=overview [Ac- cessed March 2024]
15 International Conventions 2 Annex I Annex II FCategories of wastes to be controlled FCategories of wastes requiring special consideration Contains the “categories of wastes to be controlled”. The list distinguishes between waste streams (Y1-Y18) – for example clinical wastes, waste containing poly- chlorinated biphenyls (PCBs), waste from the production of organic solvents etc. – and wastes having certain constituents (Y19-Y45) – such as arsenic, cadmium, mercury, or lead. Contains “categories of wastes requiring special consideration” due to their composition, namely: Y46: Wastes collected from households Y47: Residues arising from the incinerationof household wastes Y48: Plastic waste, including mixtures ofsuch waste, with various exceptions. Y49: Electrical and electronic waste FCodes Y1 – Y45 F Codes Y46 – Y49 Annex III Annex VIII FList of hazardous characteristics FWastes characterized as hazardous waste Contains a list of hazardous characteristics, identified with H-codes and classes as per the UN hazard classification system. Examples of the characteristics listed include explosive, flammable liquids, oxidizing, poisonous, ecotoxic etc. Wastes contained in Annex VIII are characterized as hazardous under Art. 1, para. 1 (a) and their designation on this Annex does not preclude the use of Annex III to demonstrate that waste is not hazardous. The list distinguishes between the following main categories: A1: Metal and metal-bearing wastes A2: Wastes containing principally inorganic constituents, which may contain metals and organic materials A3: Wastes containing principally organic constituents, which may contain metals and inorganic materials A4: Wastes which may contain either inor- ganic or organic constituents FCodes H1-H13 Annex IX FWastes characterized as non-hazardous waste (but can prove otherwise) Wastes contained in Annex IX are not covered by the Basel Convention unless they contain Annex I constituents to an extent causing them to exhibit an Annex III characteristic. The list distinguishes between the following main categories: B1: Metal and metal-bearing wastes B2: Wastes containing principally inorganic constituents, which may contain metals and organic materials B3: Wastes containing principally organic constituents, which may contain metals and inorganic materials B4: Wastes which may contain either inorganic or organic constituents F“B” codes F“A” codes Figure 1 Overview of Basel Convention annexes relevant for waste classification
Combating Illegal movement hazardous substances and waste 16 THE ROTTERDAM CONVENTION Increased production, trade, and use of chemicals during recent decades led to growing awareness of and concern about the risks that the use of hazardous chemicals could pose to human health and the environment. This was coupled with concerns that regulatory actions in some countries to ban or restrict the use of certain chemicals could result in these same chemicals being exported to other countries where regulatory systems, infrastructure and resources were sometimes not adequate to assess and control the risks. Recognizing the need for information exchange on hazardous chemicals and mandatory controls in the trade of toxic chemicals, the Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade was established. The Convention entered into force in 2004 and as of July 2023 has 165 Parties. The objective of the Rotterdam Convention is to promote shared responsibility and cooperation among its Parties with respect to the international trade in designated hazardous industrial chemicals, pesticides and severely hazardous pesticide formulations. It aims to achieve this through facilitating the exchange of information on the characteristics of such chemicals, providing a national decision-making process on their import and export, and disseminating decisions on the import and export of such chemicals to Parties. Chemicals covered by the Rotterdam Convention The Rotterdam Convention applies to banned or severe- ly restricted chemicals and severely hazardous pesticides formulations. According to the definition in the Rotterdam Convention, a chemical means a substance whether by itself or in a mixture or preparation and whether manufac- tured or obtained from nature but does not include any living organism. The terms “banned chemical” and “severely restrict- ed chemical” are defined in Article 2 of the Convention. Simply put: a ban is where all uses of a chemical as a pesticide, an industrial chemical or both are prohibited; a severe restriction is where virtually all use of a chemical as a pesticide, an industrial chemical or both has been prohibited but for which certain specif- ic uses are still permitted. Annex III Chemicals subject to the Prior Informed Consent proce- dure are listed in Annex III of the Rotterdam Convention. As of July 2023, there are a total of 54 chemicals listed in Annex III (see also appendix V to this manual), of which: 35 pesticides (including 3 severely hazardous pesti- cide formulations), 18 industrial chemicals, and 1 chemical in both the pesticide and the industrial chemical categories. The Prior Informed Consent Regulation (EU) 649/2012 concerning the export and import of hazardous chemicals and Commission Delegated Regulation (EU) 2022/643 of 10 February 2022 amending Regulation (EU) No 649/2012 of the European Parliament and of the Council as regards the listing of pesticides, industrial chemicals, persistent organic pollutants and mercury and an update of cus- toms codes, govern the trade of certain hazardous chem-
17 International Conventions 2 Image(s) used under license from Shutterstock.com icals that are banned or severely restricted in the EU .9 It places obligations on companies that wish to export these chemi- cals to non-EU countries or import them into the EU. The Regulations implement the Rotterdam Convention within the EU. THE STOCKHOLM CONVENTION Persistent Organic Pollutants (POPs) are semi-volatile and take a long time to degrade in the environment, which means they can be carried globally by wind and water currents and end up accumulating throughout the global food chain. POPs, therefore, cause harm in areas far away from their production sites, irrespective of national boundaries. Exposure to POPs can lead to serious health effects, including cancers, birth defects, dysfunctional immune and reproductive systems, a greater susceptibility to disease and even diminished intelligence. The Stockholm Convention is a global treaty to protect human health and the environment from the harmful impact of chemicals that remain intact in the environment for long periods, become widely distributed geographically and accumulate in the fatty tissue of humans and wildlife. The Stockholm Convention, which was adopted in 2001 and entered into force in 2004, requires Parties to take measures to eliminate or reduce the release of POPs into the environment. There are 186 Parties to the Convention as of July 2023. The Convention covers both intentionally and unintentionally produced POPs and regulates the export and import of intentionally produced POPs listed in Annexes A and B. Unintentionally produced POPs, which are by-products of industrial processes or other processes involving combustion, are listed in Annex C. 9 European Chemical Agency – ECHA (no date). Understanding PIC. Available at: https://echa.europa.eu/regulations/prior-informed-consent/un- derstanding-pic [Accessed February 2024].
Combating Illegal movement hazardous substances and waste 18 POPs covered by the Stockholm Convention The Stockholm Convention regulates the export and import of covered POPs 10 The five (5) POPs categories: ➀Pesticides FE.g. DDT, Lindane ➁Perfluorooctane sulfonic acid and its salts (PFOS) Ffire fighting foam, Aviation Fluid, Metal Plating, Oil Production, Insecticide for Fire Ants, Textiles and Carpets ➂Brominated Flame Retardants Ffoam in vehicles, plastic (CRT TVs and Monitors) ➃ Polychlorinated biphenyls (PCBs) Felectrical transformers and capacitor oils (pre 1985) ➄Unintentionally Produced POPs (UPOPs) Fwaste incineration / burning (Furans and Dioxins), metal production, heat and power generation, production of mineral products Figure 2 taken from: https://upops.bcrc-caribbean.org/wp-content/uploads/2022/04/1-7b-Landfill-Operations- Landfill-practices-that-impact-operational-resilience.pdf Image(s) used under license from Shutterstock.com Control measures of the Parties under the Convention include: 1. Annex A: the POPs listed in Annex A should be eliminated. Use of these POPs is only possible under specific exemptions, when alternatives are not readi- ly available or affordable to all Parties. 2. Annex B: the restricted POPs are listed in Annex B. Use of Annex B chemicals is only possible when a Party has registered for a specific exemption or an acceptable purpose. 10 UNEP (no date). All POPs listed in the Stockholm Convention. Avail- able at: https://chm.pops.int/TheConvention/ThePOPs/AllPOPs/ tabid/2509/Default.aspx. [Accessed March 2024]. 3. Annex C: unintentionally produced POPs to be reduced and eventually eliminated are listed in Annex C. Unintentional produced POPs are not subject to trade. To ensure the ESM of stockpiles, wastes and products and articles that, upon becoming wastes, consist of, con- tain or are contaminated by POPs, the Stockholm Con- vention sets the following obligations for its Parties: Develop appropriate strategies to identify stockpiles, products and articles in use, and wastes containing, consisting of or contaminated with POPs.
19 International Conventions 2 Manage stockpiles consisting of or containing POPs in a safe, efficient, and environmentally sound man- ner until they are deemed to be wastes. Take appropriate measures to handle, collect, trans- port and store wastes in an environmentally sound manner and dispose of wastes in a way that destroys POP content, or otherwise in an environmentally sound manner, taking into account international rules, standards and guidelines. Take appropriate measures to not allow such wastes, including products and articles on becoming wastes, to be subjected to disposal operations that may lead to recovery, recycling, reclamation, direct reuse or alternative uses of POPs. Take appropriate measures so that such wastes, including products and articles on becoming wastes, are not transported across international boundaries without taking into account relevant international rules, standards and guidelines (e.g. POPs that are also chemicals listed in Annex III to the Rotterdam Convention). Under the Convention, the Parties are also obligated to develop, review and update national implementation plans. Parties report to the COP on their national imple- mentation measures by providing data on imports and exports of each POP in the Convention. Finally, the Parties are obligated to facilitate and under- take information exchanges, promote public awareness and education, and encourage research, development and monitoring under the Convention. Regulation (EU) 2019/1021 of the European Parliament and of the Council of 20 June 2019 on persistent organic pollutants implements the Stockholm Convention into the EU legislation 11 11 More information on POPs in the EU can be found at : https://envi- ronment.ec.europa.eu/topics/waste-and-recycling/waste-con- taining-pops_en and https://echa.europa.eu/understanding-pops SYNERGY BETWEEN THE CONVENTIONS The Basel Convention, the Rotterdam Convention and the Stockholm Convention share the common aim of protecting human health and the environment from haz- ardous chemicals and waste. The scopes of application of the three conventions overlap in part, in that they cov- er different stages of the life cycle of certain chemicals, such as persistent organic pollutants. COP 9 of the Basel Convention (June 2008) and COPs 4 of the Rotterdam (October 2008) and Stockholm Conventions (May 2009), respectively, adopted the so-called “synergies deci- sions” providing for greater cooperation and coordination among the three conventions 12 . The synergies decisions set out four areas for enhancing cooperation and coordination among the chemicals and waste conventions: organizational issues in the field, technical issues, information management and public awareness issues and administrative issues and decision- making. The first simultaneous extraordinary meetings of the Conferences of the Parties to the Basel, Rotterdam and Stockholm conventions (ExCOPs) took place in Bali from the 22nd to the 24th of February 2010 in coordination with the eleventh special session of the Governing Coun- cil/Global Ministerial Environmental Forum of UNEP to take the necessary steps to further strengthen the syner- gies process. The ExCOPs reviewed the implementation of the synergies decisions. Through the adoption of sub- stantially identical omnibus decisions on joint activities, joint managerial functions, joint services, synchronization of budget cycles, joint audits and review arrangements, the ExCOPs provided the mandate for the further devel- opment of the synergies process. The most visible out- comes of the ExCOPs are the establishment of a new post of Joint Head to lead the work of the UNEP part of 12 Peiry, Katharine Kummer (2010). Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal. United Nations. Available at: https://legal.un.org/avl/pdf/ha/bcctm- hwd/bcctmhwd_e.pdf [Accessed January 2024]
Combating Illegal movement hazardous substances and waste 20 the three secretariats and of a Joint Convention Services section to provide support to all three secretariats in ar- eas that are not convention specific, notably administra- tion and finance, conference servicing and administrative support; public awareness and outreach; resource mo- bilization; and legal and information and communication technology (ICT) support. 13 These so-called “synergies” process, which ensures closer cooperation at all levels between three treaties with partly overlapping mandates while fully maintaining the legal autonomy of each, is widely seen as a ground-breaking development and can be considered a first concrete result of international efforts to promote and enhance international environmental governance. As such, it is likely to play a significant part in the over- arching United Nations-wide International Environmental Governance process and is often perceived as a possible model for other areas of international cooperation. In le- gal terms, the convening of simultaneous extraordinary meetings of the supreme governing bodies of three inde- pendent treaties – and the adoption by these meetings of substantially identical decisions – is likewise an unprece- dented and innovative step. Together the Basel, Rotterdam and Stockholm Conven- tions cover key elements of “cradle-to-grave” manage- ment of hazardous chemicals, most comprehensively in the case of POPs, which are covered by all three treaties. The Rotterdam Convention (Article 5) obliges Parties to notify the secretariat of final regulatory actions taken in respect of banned or severely restricted chemicals, for the information of other Parties and possible listing under the Convention. Developing countries and countries with economies in transition may also propose the listing of severely hazardous pesticide formulations (Article 6). The Stockholm Convention (Article 4.4) requires Parties with regulatory and assessment schemes to take into consid- eration the POPs screening criteria set out in Annex D of the Convention when assessing pesticides or industrial chemicals currently in use. Parties must eliminate, from 13 Ibid production and use, certain chemicals listed in the Con- vention (Article 3). The Stockholm Convention (Article 4.3) requires Par- ties with regulatory and assessment schemes to regulate with the aim of preventing the production and use of new pesticides or industrial chemicals which exhibit the char- acteristics of POPs. The Basel Convention imposes strict conditions on the transboundary movement of hazardous waste (Articles 4 and 6). Trade with non-parties is generally not permitted (Article 4.5). The original prior informed consent proce- dure of the Basel Convention (Article 4.1) was strength- ened by the Parties’ subsequent decisions to adopt an amendment which would prohibit the export of hazard- ous waste from OECD to non-OECD countries 14 . The Rotterdam Convention (Articles 10 to 12) establishes a Prior Informed Consent Procedure concerning the future import of certain hazardous chemicals. The Stockholm Convention (Article 3.2) restricts the import and export of POPs to cases where, for example, their purpose consti- tutes an environmentally sound disposal. It also requires POPs not to be transported across international bound- aries without considering relevant international rules, standards and guidelines (Article 6.1). The Basel Convention (Article 4) requires each Party to minimize waste generation and to ensure, to the ex- tent possible, the availability of disposal facilities with- in its own territory. The Conference of the Parties at its sixth meeting in December 2002, adopted a Strategic Plan for the implementation of the Basel Declaration to 2010 building on and using the framework of the 1999 Ministerial Basel Declaration on Environmentally Sound Management. The Stockholm Convention (Article 6) obliges Parties to develop strategies for identifying POPs waste, and to manage these in an environmentally sound manner. The POPs content of waste is generally to be destroyed or irreversibly transformed. The Basel Conven- tion Technical Working Group has developed technical guidelines on POPs waste as part of its work programme. The Stockholm Convention requires Parties to reduce or eliminate releases of POPs from intentional produc- tion and use (Article 3), unintentional production (Article 14 OECD (2009), Guidance Manual for the Control of Transbound- ary Movements of Recoverable Wastes (as ameneded). “On the control of transboundary movements of waste destined for recovery operations”. (OECD Publishing, Paris). Available at: https://doi. org/10.1787/9789264060753-en [Accessed January 2024].
21 International Conventions 2 5) and stockpiles and waste (Article 6). Guidelines on Best Available Techniques (BAT) and Best Environmental Practices (BEP) have been elaborated by the Conference of the Parties. Provisions were also taken for the obligato- ry communication of hazard information under the Basel Convention (Article 4.2 f), the Rotterdam Convention (Article 5.1) and the Stockholm Convention (Article 10). Additionally, the Stockholm Convention requires informa- tion exchange and research on POPs alternatives (Arti- cles 9 and 11). It obliges each Party using DDT to develop an Action plan, including for implementation of alternative products (Annex B). MONTREAL PROTOCOL The Montreal Protocol on Substances that Deplete the Ozone Layer (hereafter Montreal Protocol), signed in 1987 and entered into force in 1989, is a global agreement to protect the stratospheric ozone layer. The main objective of the Protocol is to reduce and eventually eliminate the consumption and production of ozone depleting substances (ODS) and phase down the production and consumption of hydrofluorocarbons (HFCs) according to agreed timetables for developed and developing countries. The Montreal Protocol phases down the consumption and production of the different ODS in a step-wise manner, with different timetables for developed and developing countries (referred to as “Article 5 countries”). Under this treaty, all parties have specific responsibilities related to the phase out of the different groups of ODS, control of ODS trade, annual reporting of data, national licensing systems to control ODS imports and exports, and other matters. Developing and developed countries have equal but differentiated responsibilities, but most importantly, both groups of countries have binding, time-targeted and measurable commitments. The Protocol includes provisions related to Control Measures (Article 2), Calculation of control levels (Article 3), Control of trade with non-Parties (Article 4), Special situation of developing countries (Article 5), Reporting of data (Article 7), Non-compliance (Article 8), Technical assistance (Article 10), as well as other topics. The substances controlled by the treaty are listed in Annexes A (CFCs, halons), B (other fully halogenated CFCs, carbon tetrachloride, methyl chloroform), C (HCFCs), E (methyl bromide) and F (HFCs). Kigali Agreement - Phasing out of HCFCs Hydrochlorofluorocarbons (HCFCs) are gases used worldwide in refrigeration, air-conditioning, and foam applications, but they are being phased out under the Montreal Protocol since they deplete the ozone layer. HCFCs are both ODS and powerful greenhouse gases. The most used HCFC is nearly 2,000 times more potent than carbon dioxide in terms of its global warming poten- tial (GWP). In 2016, the Montreal Protocol was amended to add HFCs to the list of substances controlled under the Pro- tocol, in Annex F of the Protocol text. These substances will be gradually phased down without being completely phased out, unlike other substances controlled under the Montreal Protocol. This amendment, also referred to as the Kigali Amendment entered into force on 1 January 2019. Since that time, the amendment has been ratified by 155 Parties. The key pieces of EU legislation implementing the Mon- treal Protocol are Regulation (EC) No 1005/2009 of the European Parliament and of the Council of 16 September 2009 on substances that deplete the ozone layer, and the Council Decision (EU) 2017/1541 of 17 July 2017 on the conclusion, on behalf of the European Union, of the Kigali Amendment to the Montreal Protocol on substances that deplete the ozone layer.
Combating Illegal movement hazardous substances and waste 22 MINAMATA CONVENTION The Minamata Convention on Mercury (hereafter Minamata Convention) is a global treaty with the objective to protect human health and the environment from anthropogenic emissions and releases of mercury and mercury compounds. It contains provisions that relate to the entire life cycle of mercury, including controls and reductions across a range of products, processes and industries where mercury is used, released or emitted. The treaty also addresses the direct mining of mercury, its export and import, its safe storage and its disposal as waste. The Convention was adopted and opened for signature on 10 October 2013 at the Diplomatic Conference held in Kumamoto, Japan, and entered into force on 16 August 2017. At the time of writing, it has 137 Parties. Article 3 of the Minamata Convention addresses sources of supply and trade in mercury, setting out measures on primary mercury mining, excess mercury from the decommissioning of chlor-alkali facilities and the export and import of mercury. Article 3 requires Parties to take measures to control trade in mercury with other Parties and non-Parties. Customs officers and other border control officers play an important role in controlling the import and export of mercury in line with these provisions. The required measures reflect several key principles, such as: Mercury to be traded must not come from sources that are not allowed under the Convention, for example, primary mercury mining that did not exist at the time of the Convention’s entry into force. The consent of the importing country, regardless of whether it is a Party or non-Party, must be obtained before an export (PIC). Trade with non-Parties is allowed, provided that the non-Party can provide a certification that it has certain measures in place equivalent to those required of a Party. The Convention includes operational provisions on the following topics: Controls on mercury supply sources and trade (Arti- cle 3) Phase-out and phase-down of mercury trade and use in products and processes (Articles 4, 5 and 6, Annexes A and B) Controls on artisanal and small scale gold mining (ASGM) where mercury is used (Article 7, Annex C) Controls on air emissions and releases to land and water (Articles 8 and 9, Annex D) Storage, waste and contaminated sites (Articles 10, 11 and 12)
23 Management of Hazardous Waste and Chemicals 33 Management of Hazardous Waste and Chemicals Hazardous waste, if improperly handled, can have appalling effects on human health and the environment. A persistent exposure to dioxins, for example, which are unwanted by-products of incineration and manufacturing processes such as those involved in the bleaching of paper pulp are known to result in skin lesions and altered liver functions in the short-term, and impairment to the immune system and even cancer in the long-term. Examples of waste with hazardous properties include chemicals, oil, asbestos, waste electrical equipment which contain potentially harmful components such as cathode ray tubes, energy- saving light bulbs and printer cartridges. WHAT IS WASTE AND HAZARDOUS WASTE? The Basel Convention defines “wastes” as substances or objects which are disposed of, or intended to be disposed of, or required to be disposed of by the provisions of national law (article 2). This definition is the basis for waste definitions in nation- al legislation, but also in the EU Waste Framework Di- rective 15 . 15 The definition of waste in the EU framework is laid down in atricle 3 of the Waste Framework Directive 2008/98/EC. In 2023 the revision of this Directive was initiated and as of August 2024, this process is still ongoing. Hazardous wastes under the scope of the Basel Conven- tion (article 1) are considered wastes that belong to any category contained in Annex I, unless they do not pos- sess any of the characteristics contained in Annex III. It also covers wastes that are defined as, or are considered to be, hazardous wastes by the domestic legislation of the Party of export, import or transit. EU Waste Framework Directive 2008/98/EC Article 3 - Definitions For the purposes of this Directive, the following definitions shall apply: 1. ‘waste’ means any substance or object which the holder discards or intends or is required to discard; 2. ‘hazardous waste’ means waste which displays one or more of the hazardous properties listed in Annex III;
Combating Illegal movement hazardous substances and waste 24 Environmentally Sound Management (ESM) The Basel Convention applies the principles of ESM to all transboundary movements of hazardous waste. This means taking all practicable steps to ensure that hazard- ous wastes are managed in a manner which will protect human health and the environment against the adverse effects which may result from such wastes (article 2 of the Basel Convention). Hazardous waste poses a greater risk to human health and the environment than non-haz- ardous waste. Technical guidelines developed under the Basel Con- vention clarify what amounts to ESM for specific waste streams. Decision BC-10/3 on the Indonesian-Swiss country-led initiative, mandated a technical expert group to elaborate a framework for the ESM of hazardous waste and other waste, considering criteria and core perfor- mance elements under the work of the Basel Convention and other relevant organisations. In line with this mandate, a Framework for the environ- mentally sound management (ESM) of hazardous wastes and other wastes establishes a common understanding of what ESM encompasses 16 . It identifies tools and strat- egies to promote the implementation of ESM and con- tains a compilation of ESM criteria and core performance as well as a compilation of selected existing standards, guidelines, policies and codes of practices for the envi- ronmentally sound management of hazardous and oth- er waste. Examples of technical guidelines for specific waste categories include waste containing mercury, plastic waste and waste containing POPs. Guidance is offered in the form of an ESM Toolkit 17 . All hazardous waste should be separated at source and managed in an environmentally sound manner. Most de- veloping countries still lack proper treatment and disposal facilities, while at the same time they face the challenge of increasing amounts of hazardous waste, either due to increased imports of products which become hazardous waste at the end of their useful life (e.g., TVs, electronic equipment). 16 UNEP (no date). Framework for the environmentally sound manage- ment of hazardous wastes and other wastes. Available at: https:// www.basel.int/Implementation/CountryLedInitiative/Environ- mentallySoundManagement/ESMFramework/tabid/3616/Default. aspx [Accessed January 2024]]. 17 UNEP (no date). Environmentally sound management (ESM) toolkit. Available at: https://www.basel.int/Implementation/CountryLed- Initiative/EnvironmentallySoundManagement/ESMToolkit/Over- view/tabid/5839/Default.aspx [Accessed January 2024]. ESM ON POPS — SYNERGY BETWEEN BASEL AND STOCKHOLM CONVENTIONS The Stockholm Convention deals with the protection of human health and the environment from persistent or- ganic pollutants (POPs). Article 6 addresses the environ- mentally sound disposal and/or management of POPs. This provision deals with measures to reduce or eliminate releases from stockpiles and waste. Paragraph 2 of Arti- cle 6 specifically requires the Conference of the Parties to the Stockholm Convention to cooperate with the ap- propriate bodies of the Basel Convention on (amongst other things): Establishing levels of destruction and irreversible transformation necessary to ensure that POPs char- acteristics are not exhibited; Determining what is considered to be methods that constitute environmentally sound disposal as referred to in the Stockholm Convention; and Work to establish, as appropriate, concentration lev- els of chemicals listed under the Stockholm Conven- tion to define the low POPs content. The Basel Convention has worked in close cooperation with the Stockholm Convention to produce a number of guidelines on the ESM of POPs waste 18 . EU WASTE LEGISLATION The EU has established an encompassing framework to regulate the proper management of waste, implementing international and regional agreements. EU Waste Framework Directive The Directive 2008/98/EC of the European Parliament and of the Council of 19 November 2008 on waste and repealing certain Directives, or also the Waste Framework Directive (WFD) establishes a legal framework for treating waste in the European Union (EU). The Directives sets out key definitions and key principles relevant to waste 18 UNEP (no date). Updating and or Development of Technical Guidelines for the Environmentally Sound Management of Wastes Consisting of, Containing or Contaminated with Persistent Organic Pollutants. Available at: https://www.basel.int/Implementation/ POPsWastes/TechnicalGuidelines/tabid/5052/Default.aspx [Ac- cessed January 2024].
25 Management of Hazardous Waste and Chemicals 3 management, such as the waste hierarchy, definition of waste and hazardous waste, the “polluter-pays principle” and the extended producers responsibility. European List of Waste (LoW) The European List of Wastes (LoW) is the waste classifi- cation instrument in the EU for administrative purposes, i.e. for permitting and supervision in the field of waste generation and management or statistics. The LoW de- fines 839 waste types which are structured into 20 chap- ters, mainly according to the source of the waste (i.e. the economic sector or process of origin). Each waste type is characterised by a six-digit code. The LoW recognises three types of entries: 1. ‘Absolute hazardous entries’: Wastes which are assigned to absolute hazardous entries cannot be allocated to non-hazardous entries and are hazard- ous without any further assessment; 2. ‘Absolute non-hazardous entries’: Wastes which are assigned to absolute non-hazardous entries cannot be allocated to hazardous entries and are non-hazardous without any further assessment; 3. ‘Mirror entries’, where waste from the same source might under the LoW be allocated to a hazardous entry or to a non-hazardous entry depending on the specific case and on the composition of the waste. Waste Shipment Regulation (WSR) EU/2024/1157 The European Union (EU) has a system to supervise and control shipments of waste within its borders and with the countries of the European Free Trade Association (EFTA), the Organisation for Economic Cooperation and Devel- opment (OECD) and non-EU countries that have signed the Basel Convention. The WSR incorporates the provisions of the Basel Con- vention in EU on the control of transboundary movements of wastes destined for recovery operations. The WSR sets procedures and control regimes for the shipment of waste, depending on the origin, destination and route of the shipment, the type of waste shipped and the type of treatment to be applied to the waste at its destination. NATIONAL WASTE LEGISLATION The Basel Convention provides Parties with the option to classify additional waste streams as hazardous, not listed in the Basel Convention. The definition of hazard- ous waste according to national legislation of country/ countries may vary and different countries have found different solutions to this challenge, and some form of definition will be necessary both for regulatory purposes, and to ensure compliance with relevant international in- struments. Definition of hazardous waste also differs from country to country, and because of the tighter regulatory envi- ronment for hazardous waste, a clear definition will be necessary. Generally, hazardous waste is defined as waste that pos- es a hazard to human health or the environment, exhibit- ing one or more physical, chemical, or biological hazards. Countries frequently resort to lists of waste, classifying kinds of waste (e.g. special health care waste) as hazard- ous, due to the difficulty of defining hazardous waste in sufficiently precise and comprehensive ways, as well as the need to manage risks of contamination.
Combating Illegal movement hazardous substances and waste 26 PHASES OF CATEGORISATION, CLASSIFICATION AND WASTE TESTING Any substance or object that may be in transboundary movement must undergo all stages of categorization, classification and testing in accordance with Directive 2008/98 / EC - Annex III and EU regulations in the field of chemicals. General steps in categorization, classification and waste testing: Step 1 Is it considered waste under the Basel Convention, WFD or is it required to be included as potentially hazardous waste under domestic legal provisions? Step 2 How is waste classified in the List of Waste? Steps 3 to 6Waste components and hazardous properties: What are the components of waste? What are the hazardous properties of these components? Do these components cause hazardous waste properties? Do persistent organic pollutants make waste hazardous? Step 3 Are the substances contained in the waste known or identifiable? Step 4 The presence of hazardous substances; Are there “hazardous substances” or “long-lasting organic pollutants” in the waste? Step 5 Does the waste have any hazardous property H 1 H-15? Step 6 Does the waste contain POPs above specific concentration limits? Responsibility for Classification of Waste The responsibility for correct classification of waste is in the first place the task of waste producer/waste holder. Due to the complexity of waste classification, waste op- erators often have difficulties to assess whether a waste must be considered hazardous or non-hazardous. The classification is subject to supervision of the competent authorities (Article 17 and 34(1) WFD) and support should be provided to producers and holders of waste to ensure correct classification. HAZARDOUS WASTE SUPPLY CHAIN - CONCEPTS OF WASTE MANAGEMENT The following concepts are the cornerstones of waste management policy across the globe and may be familiar: Waste hierarchy Product life cycle Circular economy and resource efficiency Extended producer responsibility Environmentally sound management. All these concepts will be discussed below.
27 Management of Hazardous Waste and Chemicals 3 The hierarchy captures the progression of a material or product through successive stages of waste manage- ment and represents the latter part of the life cycle for each product. The life cycle begins with design, then pro- ceeds through manufacture, distribution, use and the var- ious options reflected in the lower stages of the hierarchy (reuse, recovery, recycling and the disposal options). Each stage of the life-cycle offers opportunities for policy intervention: to rethink the need for the product, to rede- sign it to minimise its waste potential, to modify or extend its use to reduce its waste potential and to recover the resources embodied in it. The resources that make up the product are the ultimate driver for better waste man- agement policy. The aim of policy is not to manage waste better or to ensure compliance with waste management regulations, but rather to optimize the use of the world’s limited ma- terial resources by avoiding the generation of waste and, where waste is nevertheless generated, by treating waste as a resource waiting to be recovered and used. These three principles: waste hierarchy, life-cycle of products and the concept of waste as a resource, should serve as the foundation for any process of strategy de- Waste hierarchy PREVENTION PREPARING FOR RE-USE RECYCLING RECOVERY DISPOSAL WASTE PRODUCT (NON-WASTE) Waste hierarchy The waste hierarchy is presented as an inverted pyra- mid because the essential thrust of policy is to act first and foremost on preventing the generation of waste. The next preferred action is to reduce waste generation (e.g. through re-use). Recycling, including composting or anaerobic digestion, is the next preferred action, followed by the downstream steps of materials recovery and waste to-energy. If ener- gy is recovered from processes such as combustion and pyrolysis, or from landfill, it also belongs at this level of the hierarchy. The final action is disposal, either in land- fills or through incineration without energy recovery. This final step is a last resort for waste that has not been able to be prevented, diverted, or recovered in the preced- ing steps. The EU waste hierarchy has been developed to help re- duce waste generation and the demand for transbounda- ry waste movements. This is in line with the principles of the Basel Convention, where waste minimisation is one of the key pillars. Figure 3 Five-step waste hierarchy as foundation for EU waste management (source: website European Commission)
Combating Illegal movement hazardous substances and waste 28 velopment. When prevention and minimization possibili- ties have been exhausted, reuse, recycling and recovery techniques that deliver the best overall environmental outcomes, in accordance with the best available tech- niques (BAT), best environmental practices (BEP) and a life-cycle approach, are to be encouraged. Circular Economy While there is not an internationally agreed definition of a circular economy, the United Nations Environmental As- sembly acknowledges it as “ “one of the current sustainable economic models, in which products and materials are designed in such a way that they can be reused, remanufactured, recycled or recovered and thus maintained in the economy for as long as possible, along with the resources of which they are made, and the generation of waste, especially hazardous waste, is avoided or minimized, and greenhouse gas emissions are prevented or reduced” 19 . The EU Parliament describes it as “a model of production and consumption, which involves sharing, leasing, reusing, repairing, refurbishing and recycling existing materials and products as long as possible. In this way, the life cycle of products is extended.” 20 The European Commission adopted the new circular economy action plan (CEAP) in March 2020, followed by the implementation of a series of measures and a circu- lar economy monitoring framework . It is one of the main building blocks of the European Green Deal, Europe’s new agenda for sustainable growth. The EU’s transition to a circular economy aims to reduce pressure on natu- ral resources and to create sustainable growth. The new action plan announces initiatives along the entire life cy- 19 UNEP (2019). United Nations Environmental Assembly, 4th sesssion 11-15 March 2019, Resolution 4/1 - Innovative pathways to achieve sustainable consumption and production. Available at: https://we- docs.unep.org/bitstream/handle/20.500.11822/28517/English.pdf [Accessed January 2024]. 20 European Parliament (2023). Circular economy: definition, impor- tance and benefits. Available at : https://www.europarl.europa.eu/ news/en/headlines/economy/20151201STO05603/circular-econ - omy-definition-importance-and-benefits [Accessed January 2024]. cle of products. It targets how products are designed, promotes circular economy processes, encourages sus- tainable consumption, and aims to ensure that waste is prevented, and the resources used are kept in the EU economy for as long as possible. Extended producer responsibility Extended Producer Responsibility (EPR) is an envi ro nmental concept that puts the responsibility of a product’s lifecycle on the producer. This includes design, take-back, recycling, and final disposal of the product. The EU was the first to introduce this approach. Such EPR schemes exist for example for packaging and packaging waste, batteries and WEEE. As of 2025 EU Member States are required to implement EPR schemes for textile waste. Article 15 of the WFD regulates responsibility for waste management : “ Member States may specify the conditions of responsibility and decide in which cases the original producer is to retain responsibility for the whole treatment chain or in which cases the responsibility of the producer and the holder can be shared or delegated among the actors of the treatment chain.” Member States may further define in their legislation the shared responsibility regime among actors, where the waste producer still shares responsibility for the ultimate fate of the waste although the waste might be managed by intermediate actors. MANAGEMENT OF CHEMICALS To ensure the sound management of chemicals covered by the scope of the Rotterdam Convention, a number of measures are in place. 1. Prior Informed Consent (PIC) Procedure The cornerstone of the Rotterdam Convention is the Prior Informed Consent (PIC) procedure. This mechanism ensures that countries are adequately informed about the hazardous nature of chemicals before consenting to their import. The PIC procedure empowers importing countries to make informed de-
29 Management of Hazardous Waste and Chemicals 3 cisions about whether to allow or restrict the import of specific chemicals, thereby preventing unwanted or unsafe imports. 2. Shared Responsibility and Cooperative Efforts The Convention promotes shared responsibility and cooperative efforts among parties involved in the international trade of hazardous chemicals. It requires exporting countries to ensure that they do not export chemicals listed under the Convention to countries that have not consented to their import. This cooperation helps in the global effort to manage chemical risks and supports countries in building their capacity to manage chemicals safely. 3. List of Controlled Chemicals The Convention maintains a list of hazardous chemicals and pesticides that have been banned or severely restricted for health or environmental reasons by at least two countries in different regions. This list serves as a warning to other countries and helps them take appropriate regulatory actions. By keeping an updated list, the Convention provides a clear framework for the international community to follow, enhancing the global management of hazard- ous chemicals. 4. Information Exchange The Rotterdam Convention facilitates the exchange of information among parties regarding the charac- teristics and potential risks associated with haz- ardous chemicals. This includes data on chemical composition, toxicological properties, and regulatory actions taken by countries. By providing this critical information, the Convention supports countries in making informed decisions and implementing meas- ures to protect human health and the environment. 5. Promotion of Safe Alternatives The Rotterdam Convention encourages the promo- tion and adoption of safer alternatives to hazardous chemicals. By sharing information on alternatives and providing technical support for their adoption, the Convention helps countries reduce their reliance on harmful substances and transition to safer, more sustainable chemicals. Decision Guidance Documents (DGDs) Decision Guidance Documents (DGDs) are critical tools provided by the Rotterdam Convention. These docu- ments offer detailed information on chemicals that are listed under the Convention’s Annex III, which includes substances subject to the Prior Informed Consent (PIC) procedure. DGDs provide: Chemical Identification and Use: Information about the chemical’s identity, including its common names, chemical names, and any trade names. It also de- scribes how the chemical is used, both domestically and internationally. Hazards and Risks: Detailed data on the potential hazards posed by the chemical, including its toxico- logical properties, environmental impact, and health risks. Regulatory Status and Rationale: Information on the regulatory actions taken by countries that led to the chemical’s inclusion in the PIC list. This includes the scientific and regulatory rationale behind such decisions, which helps other countries understand the reasons for concern. Guidance for Decision Making: The DGDs provide guidance for countries on how to use the information to make informed decisions regarding the import and management of the listed chemicals. This helps ensure that countries can manage these substances safely within their borders. Final Regulatory Actions Final Regulatory Actions refer to the specific regulatory measures taken by a Party (country) to ban or severely restrict a chemical for health or environmental reasons. These actions are crucial for the functioning of the PIC procedure. When a country decides to ban or restrict a chemical, it must notify the Rotterdam Convention Sec- retariat. The notification includes: Reasons for Action: A detailed explanation of why the action was taken, including the health or environmental concerns that prompted the decision. Scope of the Action: Information on whether the action applies to all uses of the chemical or only specific uses, and whether it applies domestically or includes international trade restrictions. Effectiveness: Evidence or studies showing the effectiveness of the action in reducing or eliminating the risks associated with the chemical. These notifications are shared with all Parties to the Con- vention, helping to inform global understanding and deci- sion-making processes.
Combating Illegal movement hazardous substances and waste 30 4 Import and Export Procedures A way to control the trade in hazardous substances and waste, is by introducing control mechanisms to monitor transboundary movements and to facilitate the exchange of information between the involved States, enabling them to take informed decisions whether to allow certain imports, transit or exports. CONTROL PROCEDURE FOR TRANSBOUNDARY MOVEMENTS OF WASTE The PIC procedure lies at the heart of the control system for wastes covered by the Basel Convention. It requires that, before any transboundary movement of wastes covered by the Basel Convention may take place, the authorities of the prospective countries of import and transit are notified of the intended movement(s). This enables the competent authorities, such as environmental authorities, Customs and Border Control Agencies, to monitor the movements of hazardous and other wastes as controlled by the Basel Convention and to ensure the disposal of the wastes in accordance with national requirements for waste management operations. Only after consent has been given by all competent authorities involved in the transboundary movement may the transboundary movements commence. PIC procedure explained in nine steps (see also Figure 4): 1. Contract: The exporter/generator of the wastes and the proposed disposer enter into a contract specifying that the wastes will be disposed of in an environmentally sound manner. 2. Notification: The exporter/generator notifies the competent authority (CA) of the country/ state from which the wastes are to be exported of the proposed movement. The country/ state of export forwards the notifications. The country/state of export then notifies, or requires the generator/exporter to notify, the country/state of import (and, if applicable, the country/countries or state(s) of transit) of the proposed movement of hazardous wastes or other wastes through a notification document. 3. Response from the competent authority (CA): The CA of the country/state of import must provide the country/state of export with written consent, and must confirm the existence of a contract between the generator/exporter and the disposer, specifying the ESM of the wastes. If applicable, a written response from the countries/states of transit is also required.
CONTRACT Contract on ESM of waste in question between generator and disposer 1 BASEL CONVENTION PRIOR INFORMED CONSENT PROCEDURE FOR HAZARDOUS AND OTHER WASTES (Y AND A CODES) GENERATOR DISPOSER CARRIER COUNTRY OF EXPORT COUNTRY OF IMPORT COUNTRY OF TRANSIT NOTIFICATION Generator sends notification document with Annex VA information and financial guarantee / bond / insurance to Compenet Authorities (CA) 2 WASTE MOVEMENT DOCUMENT Generator completes movement document for each waste shipment and signs in bo 15* Copy of notification- document: Check box 19*and box 20* 6 SIGNING OF WASTE- MOVEMENT DOCUMENT BY THE CARRIERS Carrier signs movement in box 8* 7 DECISION SUBMITTED TO THE EXPORTER/ GENERATOR Informs generator: Consent or deny (if consent, them iisuance of movement form) 5 COUNTRY OF EXPORT FORWARDS NOTIFICATION Sends/forwards notification document to Competent Authorities (CA) 3 SIGNING OF WASTE- MOVEMENT DOCUMENT BY THE CARRIERS RELEASE OF FINANCIAL GUARANTEES Country of export releases of financial guarantee/bond/ insurance 9 RESPONSE FROM COMPETENT AUTHORITIES Return answer: Consent or deny and confirm contract specifying ESM 4 RESPONSE FROM COMPETENT AUTHORITIES Return answer: Consent or deny 4 *Customs to check CERTIFICATION OF RECIEPT AND DISPOSAL OF THE WASTE Disposer completes and signs movement document upon reciept of the waste (box 18) and once it is disposed (box 19) and returns copies to generator and countrty to export 8 31 Import and Export Procedures 4 Figure 4 Overview of the Basel Convention PIC procedure (prepared by Nancy Isarin)
Combating Illegal movement hazardous substances and waste 32 4. Decision submitted to the exporter/generator: Upon receipt of the written consent from the country/state of import and any countries/states of transit, and the confirmation of the contract from the country/state of import, the CA of the country/state of export may authorize the shipment to start. 5. Waste movement document: The exporter/generator completes a movement document for each transboundary movement/shipment of waste and signs the declaration in box 15. A copy of the notification form and consent should also accompany the movement/shipment. 6. Signing of waste movement document by the carrier(s): The carrier(s) also have to sign box 8 of the waste movement document. 7. Certification of receipt and disposal of the waste: The disposer must inform the exporter/ generator and the CA of the country/state of export on arrival of the waste at the country/ state of import, on receipt of the wastes, and once the disposal has been completed in accordance with the terms of the disposal contract. 8. Release of financial guarantees: Once the country/state of export has received the signed movement document from the disposer stating that the waste has been disposed of properly, the financial guarantee/bond/insurance can be released, if applicable. Under EU waste shipment law, shipments of hazardous waste and waste destined for disposal are prohibited to non-OECD countries outside the EU. For shipments to OECD countries, they are generally subject to the prior notification and consent procedure which requires the prior written consent of all relevant authorities of dis- patch, transit and destination. To speed up the proce- dure, Member States can designate ‘pre-consented re- covery facilities’ for which more lenient procedures apply and for which they will normally not raise objections as competent authority of destination. An updated list of facilities is made available through the OECD website 21 . As of date of publication, the most recent list dated 8 July 2024 22 . Shipments of “green-listed” non-hazardous wastes within the EU and OECD do not usually require the prior consent of the authorities, but information requirements apply. 21 Link to information about the OECD Control System for waste recov- ery: https://www.oecd.org/env/waste/theoecdcontrolsystemfor- wasterecovery.htm 22 OECD (no date). Updated OECD Database on Transboundary Move- ments of Waste (as of 8 July 2024). Available at: https://www.oecd. org/content/dam/oecd/en/data/tools/transboundary/OECD-Da- tabase-of-Transboundary-Movements-of-Wastes-8-July-2024. xlsx/_jcr_content/renditions/original.media_file.download_at- tachment.file/OECD-Database-of-Transboundary-Movements- of-Wastes-8-July-2024.xlsx. [Accessed July 2024]. Waste shipment controls are carried out by national com- petent authorities and inspection services, and customs offices. PRIOR INFORMED CONSENT PROCEDURE FOR CHEMICALS The PIC procedure under the Rotterdam Convention is a mechanism for obtaining national decisions on the import of hazardous chemicals listed in Annex III of the Convention, and for ensuring compliance with these de- cisions by exporting Parties 23 . The procedure gives Parties the power to make informed decisions on which chemicals they want to import and to exclude those they cannot manage safely. The PIC pro- cedure does not ban or restrict chemicals. Instead, under the PIC procedure, chemicals exporters must obtain prior informed consent from the countries to which they wish to export before they proceed with trade. 23 UNEP (no date). The Prior Informed Consent (PIC) Procedure. Avail- able at: https://www.pic.int/Procedures/PICProcedure/tabid/1364 [Accessed January 2024].
33 Import and Export Procedures 4 A list of the chemicals in Annex III of the Rotterdam Convention can be found at the Convention website (www.pic.int), also attached as Annex V of this manual. Decisions on chemicals subject to the PIC procedure may be incorporated into the provisions of national pes- ticides and toxic chemicals laws, which address prohibi- tion, restriction and permitting of pesticides and/or haz- ardous chemicals. The Rotterdam Convention sets out provisions for the im- port and export of chemicals between Parties. The key elements are the (1) Prior Informed Consent procedure, (2) Export Notification and (3) Labelling Requirements. A. Prior informed consent The PIC procedure applies to the chemicals listed in An- nex III of the Rotterdam Convention. For each of these chemicals a document, known as a Decision Guidance Document (DGD), is prepared and sent to all Parties with a request that they take a decision as to whether or not they will allow future import of the chemical 24 . These decisions, known as import responses, are sent to the Secretariat. The Secretariat compiles these decisions and circulates them to all Parties every six months via the PIC Circular 25 . 24 The DGDs can be accessed via: http://www.pic.int/TheConven- tion/ChemicalsDecisionGuidanceDocuments/tabid/2413/lan- guage/en-US/Default.aspx 25 The PIC Circulars can accessed via: http://www.pic.int/Proce- dures/ImportResponses/Database/tabid/1370/language/en-US/ Default.aspx Listing of chemical in Annex III Decision Guidance Document Import Respsonses PIC Circular (every 6 months) All Parties are required to ensure that exports of chemi- cals subject to the PIC procedure do not occur contrary to the decision of an importing Party. This means that the export of a chemical in Annex III must not be made to a Party that has indicated that it does not wish to receive imports of that chemical. Similarly, if the importing Party has indicated that it will allow import of a chemical sub- ject to certain condition(s), then the exporting Party must ensure that exports to that importing Party complies with these condition(s). According to Article 11 paragraph 2 of the Rotterdam Convention, exporting Parties should ensure that a chemical listed in Annex III is not exported from its terri- tory to an importing Party that has not provided an import response (or has provided an interim response that does not contain an interim decision), unless: a. The chemical is already registered and allowed in the receiving country; or b. There’s proof that the chemical was used or import- ed into the receiving country before, and there are no rules against it; or c. Explicit consent to the import has been sought and received by the exporter through a designated na- tional authority of the importing Party. The importing Party shall respond to such a request with- in sixty days and shall promptly notify the Secretariat of its decision. These obligations of exporting Parties ap- ply from the expiration of a period of six months from the date on which the Secretariat first informs Parties, through the PIC Circular, that a Party has failed to trans- mit a response (or has transmitted an interim response that does not contain an interim decision) and apply for one year. It is important to note that many chemicals are not neces- sarily traded in bulk but could be contained in products. Furthermore, it is useful to know the types of products that may contain these chemicals so that assessment and evaluation can be done on these products when im- ported if no information is provided as to the chemicals contained. The DGD should be kept at hand to have as an information tool to guide the Customs Officer in the assessment of any given product that may contain listed chemicals from the Convention. This requires vigilance by Customs Officers, as often the information on a listed chemical in a product is not fully disclosed.
Combating Illegal movement hazardous substances and waste 34 B. Export notification The Rotterdam Convention contains several provisions pertaining to information exchange. One such provision is the requirement for Parties that have banned or se- verely restricted a chemical in their own territory to notify importing Parties of this fact through an export notifica- tion 26 . Export notifications are provided from exporting to importing Parties for that chemical before the first ex- port in each calendar year. The export notification must contain the specific information set out in Annex V to the Convention. Export notifications shall contain the following in- formation: a. Name and address of the relevant designated national authorities of the exporting Party and the importing Party; b. Expected date of export to the importing Party; 26 The Export Notification Form and instructions can be accessed via: https://www.pic.int/Procedures/ExportNotifications/FormandIn- structions/tabid/1365/language/en-US/DefNBault.aspx c. Name of the banned or severely restricted chemical and a summary of the information specified in Annex I that is to be provided to the Secretariat in accordance with Article 5. Where more than one such chemical is included in a mixture or preparation, such information shall be provided for each chemical; d. A statement indicating, if known, the foreseen cate- gory of the chemical and its foreseen use within that category in the importing Party; e. Information on precautionary measures to reduce exposure to, and emission of, the chemical; f. In the case of a mixture or a preparation, the concen- tration of the banned or severely restricted chemical or chemicals in question; g. Name and address of the importer; h. Any additional information that is readily available to the relevant designated national authority of the exporting Party that would be of assistance to the designated national authority of the importing Party; Figure 5 Graphic of the Rotterdam PIC procedure (source: Manual for Customs on hazardous chemicals and wastes under the Basel, Rotterdam and Stockholm Conventions, BRS Convention, 2014) Decision Guidance Document (DGD) Distribution S E C R E T A R I A T Reviews that the relevant information concerning the decision has been provided PARTY (for chemicals in Annex III) to all DNAs Takes an import decision (interim or final; consent, no consent, or consent with conditions) on the basis of information provided in the DGD Replies to the country Informs world of import response via the PIC Circular PIC CIRCULAR Contains information for each Annex III chemical concerning: 1. Import responses of Parties 2. Failure list: Parties that have not submitted an EXPORTING PARTY
35 Import and Export Procedures 4 STOCKHOLM CONVENTION IMPORT AND EXPORT CONTROL PROCEDURES In general, the Stockholm Convention prohibits the production and use of POPs and bans their trade across international boundaries. However, the conventions can allow some exceptions to these rules for specific POPs when used in specific applications by Parties that have registered for such uses. The import and export of POPs wastes is also allowed for the purpose of environmentally sound disposal, taking into account relevant international rules, standards and guidelines, such as provided by the Basel Convention PIC procedure. A. POPs in use Parties to the Stockholm Convention may register for a specific exemption or an acceptable purpose for the production or use of a POP listed in Annex A (elimination) or B (restriction). This is done by informing the Secretariat of the Stockholm Convention. Import and export of these exempted POPs may only take place for a permitted use in the importing Party. Export is also allowed to a State that is not party to the Convention if the State provides an annual certification in which it specifies the intended use of the chemical and includes a statement in which it commits to: Protecting human health and the environment by minimizing or preventing releases; Complying with provisions of the Convention on the management of wastes and stockpiles; Complying with requirements for DDT production and use, if applicable. B. POPs wastes For stockpiles consisting of or containing chemicals list- ed either in Annexes A (elimination) or B (restriction) and wastes, including products and articles upon becoming wastes, consisting of, containing or contaminated with a chemical listed in Annexes A (elimination) and B (re- striction), the import and export is allowed only for the purpose of environmentally sound disposal. All other im- ports are prohibited. Export is allowed to a State that is a non-Party to the Convention, when it is certified that it will comply with applicable provisions of the Convention. Thus, in cases where POPs wastes are being imported or exported, the Basel Convention rules have to be fol- lowed and a PIC procedure for the movement is required. For the purposes of a Party’s reporting requirements under the Stockholm Convention, it is suggested that Customs officers: I. Register the imports and exports of each chemical II. Maintain a list of States from which chemicals are imported III. Maintain a list of States to which chemicals are exported.
Combating Illegal movement hazardous substances and waste 36 Formal verification/ document checks First, control officials need to verify that all the documents required are presented and correctly completed with all information required. Guidance on how movement and notification documents should be completed is available at the Basel Convention website 27 . 27 Further information about the Notification and Movement Docu- ments can be assessed here: https://www.basel.int/Procedures/ NotificationMovementDocuments/tabid/1327/Default.aspx 5 Controlling transboundary movements of hazardous substances and waste Having knowledge of the legal and regulatory framework is key. However, performing controls on the actual transboundary movements of hazardous substances and waste is also needed, to verify the level of compliance with the rules. CONTROLLING WASTE TRADE Environmental inspectors, Customs officers and/or bor- der control officials or police should verify that the ap- propriate notification and consent procedures have been followed. They should also verify that the wastes being transported are in accordance with the information pro- vided in the notification and reflected on the movement document. This involves checking the documents, pack- ages/containers of waste and possibly the contents of the containers. Basel Convention Checklist documents transboundary movements of waste Notification document Movement document □ Has it been signed by all Competent Authorities (box 19 and box 20) □ Does the notification number (box 3) match with the notification number on the movement document (box 1) ? □ Is the consent still valid ? (box 6) □ Does the waste description (box 12, 13 and 14) match the physical waste that is being shipped ? □ Does the notification number on the notification form (box 3) match with the notification number on the movement document (box 1) ? □ Does the shipment take place (box 6) within the consented time frame (box 6 of the notification form) ? □ Did the carrier sign the movement document ? (box 8) □ Did the exporter/notifier sign the declaration (box 15) ? □ Does the waste description (box 12, 13 and 14) match the physical waste that is being shipped ? Table 1 Checklist when controlling Basel Convention documents (source: Nancy Isarin)
37 Controlling transboundary movements of hazardous substances and waste 5 Material verification/physical checks Next a physical inspection of the shipment should be carried out. During this inspection officers should veri- fy that the actual shipment corresponds to what is indi- cated on the movement document. Officers should also verify that the transport means, like shipping containers are appropriately labelled. To the extent possible without endangering safety and health, officers should verify the contents of the containers to ensure that they correspond with the permitted substances. If assistance is needed with verifying the composition of the waste, officers should contact the national Competent Authority. Any discrepancies between documents, or between the documents and the actual shipment, may be evidence of illegal trafficking. In such cases, officers should stop the movement of the waste and contact the National Com- petent Authority as soon as possible, so that further in- vestigation can be carried out. If the illegal traffic is the result of conduct on the part of the exporter or generator, the waste can be refused entry and returned to the State of export. Officers in the country of import should be especially vigilant with respect to shipments of hazardous wastes, because the wastes are intended for disposal in their country. If officers and the Competent Authority are satisfied with the validity and legitimacy of the shipment, the wastes may be released for onward movement and disposal. Border Control Procedures for Export Basel Convention Is there a movement document? Is there an export authorization by the Competent Authority? Do the contents correspond to the movement document? Is the packaging in order? RELEASE SHIPMENT FO R EXPORT Figure 6 Checklist waste export controls
Combating Illegal movement hazardous substances and waste 38 Figure 7 Checklist waste import controls Border Control Procedures: Entry at Country (Basel Convention) Are the contents, quantity and packaging the same as on exit Country of Export? If more, is there adequate documentation to account for surplus? NO RELEASE FOR MOVEMENT TO COUNTRY O F IMPORT CONTROLLING TRADE IN CHEMICALS Environmental inspectors, Customs officers and other border control officials or police are on the front line when it comes to ensuring that trade provisions relevant to the Rotterdam Convention are respected. They play a vital role in making sure that chemicals subject to the PIC pro- cedure are not shipped or traded in contravention of the Convention and/or relevant national legislation. Verification of imports In inspecting shipments of chemicals intended for import, officers should first check whether the chemicals are list- ed in Annex III of the Rotterdam Convention, and are therefore subject to the PIC procedure. Officers should verify if the government has banned or re- stricted the chemicals under relevant national legislation, or if the government has prohibited importation by means of a PIC import decision. If the chemical is banned or otherwise prohibited, impor- tation should not be allowed. If the chemical is subject to the PIC procedure and has not been banned or otherwise prohibited, or if the gov- ernment has not issued an import decision, import should only be allowed if: The chemical is already registered for use in the importing country, and all relevant import conditions and restrictions applying to the chemical are com- plied with The chemical is adequately labelled, including use of the appropriate HS code where applicable, and is accompanied by adequate safety information A safety data sheet in an internationally recognized format is provided, for chemicals to be used for occupational purposes Labels, safety data sheets and other hazard informa- tion are provided, if possible, in the language of the importing party. Customs and border control authorities should contact the Designated National Authorities (DNAs) for the Rot- terdam Convention for assistance in verification, and to obtain further information and clarification as necessary.
39 Controlling transboundary movements of hazardous substances and waste 5 PIC CI RCUL AR LIX (59) – June 2024 ROTTERD AM CONV ENTION SECRETARIAT OF THE ROTTERDA M CONVENTION ON THE PRIOR INFORMED CONSENT PR OCEDU RE FOR CERTA IN HAZARDO US CHEMICALS AND PES TICIDES IN INTERNAT IONAL TRADE Figure 8 Verification of imports Verification of exports When inspecting shipments of chemicals intended for ex- port, officers should check whether the chemical is listed in Annex III of the Rotterdam Convention. If the chemical is listed, officers should check whether the importing country is Party to the Convention and has made an import decision under the PIC procedure. This information is available on the Con- vention website (www.pic.int). If an import decision has been issued and it is not one of consent, then the export should not be allowed to proceed. If the decision is con- ditional, or if no decision has been transmitted, the officer should contact the DNAs concerned, in the exporting and importing countries, for further information and guidance. For all exports of chemicals that are listed in Annex III of the Convention, or that are banned or severely restricted in the exporting country, export should only be allowed if: the chemical is not banned or otherwise prohibited in the importing country the appropriate export notifications have been issued to the DNA in the importing country the chemical is adequately labelled and accompa- nied by adequate safety information a safety data sheet in an internationally recognized format is provided for chemicals to be used for occu- pational purposes Annex III/DGD Import responses SECRETARIAT PIC Circular YES/NO CUSTOM CONTROL all other relevant obligations and requirements under national law are met. Close collaboration and communication between Cus- toms and DNA is necessary for the Convention to be implemented successfully. Customs should contact the relevant Ministry when additional information or advice is needed to make a correct decision in respect of imports and exports of chemicals. In return, the DNA should keep Customs appraised of PIC-related information that would facilitate their work. CONTROLLING THE TRADE IN PERSISTENT ORGANIC POLLUTANTS The role of Parties is to ensure that imports and exports of intentionally produced POPs listed in Annexes A and B of the Convention do not take place if they are not in compliance with the Convention. To successfully control the import and export of POPs under the Convention, in- spectors and other officers should consider the country’s obligations under the Convention. For the purposes of a Party’s reporting requirements un- der the Convention, customs officers should: register the imports and exports of each chemical maintain a list of States from which chemicals are imported maintain a list of States to which chemicals are exported
Combating Illegal movement hazardous substances and waste 40 Import: POPs chemical / waste Export: POPs chemical / waste Import of Annexes A and B chemicals/wastes is only allowed for: The purpose of environmentally sound disposal; A Party that benefits from a specific exemption/ acceptable purpose. Export of Annexes A and B chemicals/wastes is only allowed: For the purpose of environmentally sound disposal; To a Party that benefits from a specific exemption/acceptable purpose; To a non-Party that certifies that it will comply with the stockpiles and wastes provisions of the Convention. If conditions are fulfilled, trade may take place, subject to the relevant PIC procedures: If POPs wastes, Basel PIC procedure apply; If POPs chemicals covered by Rotterdam Annex III, PIC procedure apply. Figure 9 Import and Export controls under the Stockholm Convention Figure 10 Stockholm Convention ban and exemptions Involved authorities cooperate with their counterparts in other Parties to ensure that all Parties share responsibility for the export and import of POPs under the Convention. Customs administrations should also cooperate closely with national implementing agencies, in particular with the coordinators of national implementation plans. BAN Exemptions Disposal In case of exceptions, trade may take place: If wastes, Basel PIC If chemicals covered by Rotterdam
41 Illegal transboundary movement of hazardous substances and waste 66 Illegal transboundary movement of hazardous substances and waste International trade in hazardous chemicals and wastes is expected to be considered legal, as far as the conventions are concerned, when the conditions and procedures embodied in these conventions are complied with. For instance, under the Basel Convention, a Party is not allowed to import hazardous wastes from a non-Par- ty, unless a specific agreement is concluded. In a sim- ilar way, imports and exports of POPs included in the Stockholm Convention are allowed only for the purpose of environmentally sound disposal of for a use which is permitted by the importing State. Other requirements for trade to be considered “legal” may be imposed by oth- er international treaties as well as by the national legal framework within a country: such requirements must thus also be contended with in order to determine whether a particular shipment is legal. Among the three conventions, the Basel Convention is the only treaty to define what amounts to “illegal traf- fic” in hazardous and other wastes. Whether an import or export of chemicals covered by the Rotterdam and Stockholm Conventions amounts to illegal trade is a mat- ter for the domestic legal framework to clarify. Common Elements Illegal activity, including the illegal transboundary move- ment of hazardous substances and waste have several common elements that must be understood. The effec- tiveness in detecting such activity requires a clear under- standing of these elements. Illegal Actor There must be an act or omission by an illegal actor for the commitment of an illegal activity. The illegal actor can be a person or a body corporate (legal person). This is the legal person on whom evidence will have to be gathered to prove illegal activity. There can be several illegal actors in an illegal activity. The illegal actor will be often providing a supply of prod- ucts or a service to meet a demand. The supply will often be below commercial market rates to create a demand for the illegal actor. Some illegal actors may be acting alone and carrying out an illegal activity to achieve their own objectives. An ex- ample of this would be a company illegally dumping haz- ardous waste to avoid paying for a commercial service. Illegal Customer Customers can also be considered as illegal actors; however, it helps to imagine a commercial type arrangement when detecting criminal activity. The customer provides a demand for a product or a service that the illegal actor will supply. The customer will often be paying a price below commer- cial market rates to justify the effort and risk.
Combating Illegal movement hazardous substances and waste 42 The customer will arrange with the illegal actor for the illegal product or service to be delivered or supplied to a certain locus for his/her use. An example of an illegal customer would be a farmer re- ceiving and using a banned pesticide for use on crops. The illegal actor would supply the pesticide to the farmer for his/her use. Therefore, understanding who creates a demand and will benefit from an illegal product or service is particularly important in detecting illegal activity. Motive Motive is the reason for doing something and is perhaps, the most important element in detecting illegal activity. Understanding the motive helps identify who the poten- tial customers of illegal actors are. Motive is usually driven by financial factors such as a de- sire to make or save money. The demand from a custom- er is normally driven by the desire to save money and the illegal actor is normally driven by a desire to make money. Scale Larger Illegal actors will often provide a service to many customers or large individual customers with a high de- mand. These actors will often transport large amounts of product using channels and routes deemed to have the least risk of detection. Larger illegal actors will often use several trusted down- stream associates to transport and supply a product or service. However, the number of downstream associates will usually be small to conceal the illegal activity. Illegal transboundary transportation of hazardous sub- stances and waste will occur mainly at ports and border crossings and larger illegal actors will require large single deliveries or multiple smaller loads to be undertaken. WHAT IS ILLEGAL TRAFFIC? Article 9, paragraph 1 of the Basel Convention 28 deems the transboundary movement to be illegal traffic in case of transboundary movements of hazardous wastes or other wastes: Without notification Without consent With consent obtained through falsification, misrepresentation or fraud Does not conform with the documents Resulting in deliberate disposal of the waste in contravention of the Convention and of general principles of international law. According to Article 4.3. of the Basel Convention the Parties consider that illegal traffic in hazardous waste or other waste is criminal. SMUGGLING SCHEMES When targeting illegal movements of hazardous chemi- cals and wastes, inspectors and law enforcement officers need to be aware of the techniques used to conceal these illegal shipments. In the paperwork accompanying the shipment, the con- tentious load will either not be mentioned or will not be described accurately. For example, wastes are wrongly classified as a product or a second-hand good, or haz- ardous wastes are wrongly declared as non-hazardous wastes. Frequent cases of mis-declarations are: E-waste declared as second-hand goods; Mixed household residues declared as paper or plastic waste; PCB-containing transformers classified as metal scrap; Expired chemicals and pigments declared as products. 28 UNEP (no date). Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal. Available at : https://www.basel.int/Portals/4/Basel%20Convention/docs/text/ BaselConventionText-e.pdf [Accessed July 2024].
43 Illegal transboundary movement of hazardous substances and waste 6 In addition to concealing the true nature of a shipment, the goods that are illegally traded are often physically hidden. Common concealment methods are: Using a cover load: placing the illegal goods behind rows of legal goods or under layers of legal goods; INVESTIGATING ILLEGAL TRAFFIC The following activities reflect some of the ways in which illegal traffic, as defined by the Basel Convention, may manifest itself: Omitting information from, or making a false state- ment in, a movement document. Transporting wastes without a movement document. Adding or replacing wastes in a shipment when changing carrier in a way that its nature no longer matches the information described in the movement document. Placing false labels on the goods or removing old labels. Hiding e-waste in blinded and sealed vehicles or trucks Mixing hazardous waste with non-hazardous waste or material. Transporting wastes to a facility not designated in the contract between the exporter and the importer which lacks the technical capacity to deal with the wastes in an environmentally sound manner. Disposing of wastes in such a way that causes an imminent danger to public health. Exporting wastes without having obtained the written consent of the importing State. In establishing the constitutive elements of the case of “illegal traffic”, investigations should answer questions like: Is the substance i n question a good or a waste? How should the waste be classified? Is the waste a hazardous or other waste according to the Basel Convention (or is defined so in the State concerned)? Are the hspgqbgargml q concerned Parties to the Basel Convention? Have they made a decision to prohibit or restrict the import / export of hazardous or other wastes? Did a transbound ary movement occur? Is the waste dest ined for final disposal or a recovery operation? Which legal regi me applies to the waste transport? Did any of the elements (a)–(e) given in paragraph 1 of Article 9 to the Basel Convention take place? Do wastes in question fall within the scope of the Basel Convention? In some cases, one to distinguish betw een “equipment / products” and “wastes” Once a movement is deemed illegal, who is responsible for the illegal act?
Combating Illegal movement hazardous substances and waste 44 DETECTION Detecting how and when illegal transboundary movement of hazardous substances will occur is critical. This requires an understanding of what substances are prone to illegal movements, how the movements will be carried out and where they are most likely to enter the country. Information and intelligence are important aspects of de- tection and the greater the information and intelligence available the greater the likelihood of detecting illegal movements. Officers must be able to identify what hazardous sub- stances are banned or restricted, and the prior informed consent procedures required for legitimate movements of hazardous substances. Information Sources The likelihood of detecting illegal movements of hazard- ous substances will be significantly greater if there is a good supply of information from many different sources. Information must be exploited for its maximum value by ensuring that the information is appropriately processed and assessed and easily shared with those who require to receive it. This will allow appropriate risk-based decisions and prompt action to be taken. Failure to do this will di- minish the value of information and undermine detection. Valuable sources of information include Members of the public Industry Sources Transport Organisations Shipping Manifests Customs Information PIC Circular (Rotterdam Convention) Prior Informed Consent Notifications Import Data Export Data Inspection Information Road and Port Checks Monitoring and Sampling Results Regulatory Data Returns Partners e.g. Police Pollution Complaints Media and Press International/National Collaboration Market Information e.g. Prices of Commodity Problem Profiles Intelligence Sources Intelligence is an important source of information that allows sensitive and protected information to be shared using defined processes and procedures. Intelligence of- ten relates to criminal activity and allows covert sources to be protected while ensuring the intelligence is used to prevent, detect and disrupt criminality. Intelligence allows decision makers to make informed de- cisions following analysis and assessment and provides a secure and protected source of information that would otherwise be unavailable. Intelligence capability will increase the likelihood of de- tecting illegal transboundary movements of hazardous substances. Valuable sources of intelligence include: Anonymous Member of the Public Anonymous Industry Sources Transport Organisations e.g. Shipping Lines Partners, e.g. Police International Partners, e.g. Interpol/Europol All information and intelligence received must be ana- lysed and risk assessed to ensure resources are directed to the greatest risks. Increasing the detection of illegal transboundary move- ments of hazardous substances will be determined by the ability of the regulatory authorities to receive, assess, disseminate and action high value information and in- telligence.
45 Illegal transboundary movement of hazardous substances and waste 6 This will require the ability of decision makers to identify high value information and to direct effort and resources to the greatest risks. Increasing national and international collaboration, shar- ing information and intelligence as well as resources and knowledge will be necessary to achieve this. Reporting on illegal traffic According to decisions BC-10/13,BC- 11/10,BC-12/8 and BC-13/10 29 , the Conference of the Parties invites Parties of the Basel Convention to share information, through the Secretariat, on best practices in preventing and combating illegal traffic and to report confirmed cases of illegal traffic to the Secretariat using the prescribed form for confirmed cases of illegal traffic. Since the tenth meeting of the Conference of the Par- ties, the Secretariat has requested to make the submitted forms for confirmed cases of illegal traffic available on the Convention website. For the years 2016 and onwards, Parties also can report ”Cases of illegal traffic which have been closed in the re- porting year” by completing and transmitting Table 9 of the reporting format. 29 UNEP (no date). Reports and Decisions – Basel Convention. Availa- ble at : https://www.basel.int/TheConvention/Conferenceofthe Parties/ReportsandDecisions/tabid/3303/Default.aspx [Accessed July 2024]. The Implementation and Compliance Committee under the Basel Convention issued a report scoping the ex- tent of illegal traffic based on the information in table 9 of the national reports transmitted for the years 2018 and 2019 30 . The report analyses the information on cases of illegal traffic transmitted by individual Parties in table 9 of the national reports for 2018 and 2019. As of 1 January 2021, 107 Parties out of the 183 Parties required to do so transmitted their national report for 2018 of which 21 from the Eastern Europe region. As of 1 January 2022, 110 Parties out of the 183 Parties required to do so trans- mitted their national report for 2019, of which 21 from the Eastern Europe region. 31 To fill in table 9, Parties need to provide, among other things, the following information: (a) Were cases of ille- gal traffic closed in the reporting year?; (b) If yes, please specify for each case: (i) Country of export; (ii) Country of import; (iii) Waste code (Fill in the code from Annex VIII, II or IX or, if this is not possible, Annex I code or the national code); (iv) Type of waste (Not required to fill in, if you have provided the waste code); (v) Amount (in metric tons); (vi) Identification of the reason for illegality; (vii) Responsible for illegality; (viii) Measures taken including any punish- ment imposed. The report showed that in 2018 10 Parties and in 2019 6 Parties from Eastern European region (10 Parties) report- ed cases of illegal traffic. 30 ICC work on illegal traffic: https://www.basel.int/Implementation/ LegalMatters/Compliance/GeneralIssuesActivities/ Activities202223/Illegaltraffic/tabid/9486/Default.aspx 31 UNEP (no date). Review of general issues of compliance and imple- mentation under the Convention: illegal traffic: scoping exercise . Available at: https://www.basel.int/ Portals/4/download.aspx?d=UNEP-CHW-CC.15-4-Add.1.English. pdf [Accessed July 2024].
Combating Illegal movement hazardous substances and waste 46 National difficulties/International cooperation difficulties on implementing Article 9 of the Basel Convention (BC) Domestic difficulties: International cooperation difficulties: Lack of or inappropriate domestic legal or institu- tional framework to implement Article 9 of the Basel Convention; Lack of information on other Parties’ definition or understanding of what is deemed to be illegal traffic; Lack of clarity about what is deemed to be illegal traffic at the national level; Lack of harmonized definition or understanding of the meaning of ‘waste’, ‘hazardous waste’ and ‘other waste’; Lack of clarity with respect to the applicable rules; Lack of shared understanding among Parties of how to implement Article 9 of the Convention; Lack of understanding of the distinction between waste and non-waste at the national level; Difficulties in communicating/cooperating with the relevant entities from the States concerned (State of transit, State of export); Challenges in identifying that a transboundary movement of hazardous waste or other waste may be a case of illegal traffic as defined by paragraph 1 of Article 9 (constitutive elements); Difficulties in identifying or communicating with exporter or generator; Lack of access to adequate information about possible cases of transboundary movements of hazardous waste or other waste deemed to be illegal traffic Lack of shared understanding of how to operation- alize paragraphs 2, 3 and 4 of Article 9; Lack of awareness among relevant entities within the country involved in preventing and combating illegal traffic about the requirements of Article 9 (e.g. customs, port authorities, etc.); Other difficulties. Lack of coordination/cooperation at the national level among relevant entities involved in trans- boundary movements of hazardous and other waste; Other difficulties RISK BASED APPROACH Detecting the illegal transboundary movement of hazard- ous substances will require a risk-based approach. This requires risk indicators to be identified and scored. The risk indicators must be based on the strategic objectives and national risks identified. It is impossible to target all risks as every country has finite resources available. It is proper to focus effort on high value areas to ensure the risk to human health and the environment from illegal transboundary movement of hazardous substances and waste is minimised as much as possible. Risk indicators and search parameters are developed fol- lowing completion of the risk identification and analysis phases of the risk assessment. Risk indicators flag po- tential problems with a particular shipment. If Customs work with electronic systems, profiles can be built into their electronic systems.
47 Illegal transboundary movement of hazardous substances and waste 6 Risk indicators can relate to the following topics: 1. The object of the trade Examples include: FFalse tariff heading, by using incorrect Customs codes FInadequate, incomplete or inconsistent description of the good/waste being shipped FWastes declared as (second hand) goods or equipment FFalse declaration of origin FFalse declaration of quantity FLow value in relation to weight and/or the Customs code 2. Documents Examples include: FMissing documents FCash payment, freight paid in advance FFalse certificates 3. Packaging Examples include: FMislabelling FBroken, defective or non-existent seals FPackaging not corresponding to the goods/wastes description FDented, damaged or mishandled containers or drums FPlacards or labels on the container or on the packaging (drums, IBC’s, boxes, etc.) indicating hazardous materials; FShippers-owned container (not owned by a ship- ping line leasing company, without a prefix or with a prefix not related to a shipping line and container number); FLeaking containers or packaging; (3.2.2. Leaking containers: pyramid case) FExpressions like: ‘expired’, ‘discarded’, ‘do not return’ or ‘for disposal’. 4. Concealment methods Examples include: FLegitimate goods mixed with non-legitimate goods or wastes FHazardous waste mixed with non-hazardous waste 5. Customs procedures Examples include: FReturned merchandise FFalsely declaring the use of goods as being grant- ed exemption for analytical or laboratory use 6. Routing Examples include: FDiversion of shipments, for example by using an intermediary country FInvolved countries (import and/or export) known for parallel illicit markets 7. Individuals/companies Examples include: FActivity not corresponding to that usually carried out by the company FOperator not known or unlicensed for hazardous waste management FThe name of the consignee company is not indi- cated, with only the freight forwarder’s contact details being given FAddress of the consignee is a Post Office Box FAddress of the waste disposer is a sky scraper in a major city FHistory of illegal activities 8. Countries concerned Examples include: FImport, transit or export country in conflict or fac- ing internal instability FImport country lacking the capacity to manage hazardous wastes in an environmentally sound manner
Combating Illegal movement hazardous substances and waste 48 The following are important indicators of illegal transboundary movement of hazardous substances: Notification and Movement Documents No notification of movement received or agreed by import country Transboundary movement (TBM) document not present TBM document incomplete or insufficient TBM document description does not match substances being moved TBM document indicates exempt waste or substances only TBM document indicates substances banned or severely restricted TBM document does not indicate where hazardous substance is going TBM document indicates destination without suitable autorisations TBM document indicates unusual destination for hazardous substance TBM document indicates destination linked to criminality or pollution TBM document declares waste as goods or equipment TBM document indicates false declaration of origin TBM document indicates several transient countries TBM document indic ates false declaration of quantity TBM document indicates source as country linked to illegal production and/or transboundary movement of hazardous substances Missing documents e.g. safety data sheets Movement Condition Broken, defective or non-existent seals Labelling unclear, not present or poor quality Leaking containers or packaging Dented, damaged or mishandled containers or drums Hazardous waste mixed with non-hazardous waste Import Country No treatment capacity for substances being received Substance banned or severely restricted Substance is commonly linked to criminality or pollution Notification of import not received Agreement to import not given Export Country Linked to large movements of substances to import country Linked to large scale use of substance exemptions Linked to movements of substances banned or severely restricted Linked to illegal production of banned substances Linked to illegal international movements of problematic substances Linked to movements of substances from instable Countries Linked to criminality Export or Transient country in conflict or facing internal instability
49 Illegal transboundary movement of hazardous substances and waste 6 Consignor of Substances Linked to large scale movement of substances into import country Linked to large scale use of exemptions Linked to criminality Linked to using brokers or 3rd party organisations Linked to using several transient countries for imports Linked to export country with illegal substance movements Consignor unknown or difficult to identify Consignor not normally linked with movements of hazardous substances Activity not corresponding to that usually carried out by the company Consignee of Substances Consignee not indicated Consignee has no authorisation Consignee does not have permission to receive or use substances Consignee does not normally receive the substances Consignee linked to criminality Consignee linked to environmental pollution Other Indicators Pollution of the Environment Public Complaints Intelligence Movements after dark Movements during unusual hours SCREENING DOCUMENTATION Once the profiles are developed and implemented, ship- ments can be targeted and selected for further document review and/or physical examination. When monitoring the legal trade in chemicals and wastes covered by the three conventions, officers need to verify that all required documents and information are presented and correctly completed. If a shipment of chemicals or wastes has been select- ed for further screening, first the relevant accompany- ing documentation should be collected and reviewed, such as: Shipping documents Invoice Contract Certificate License Packing list Specific additional documentation related to the trade of chemicals includes: Required import licenses Safety data information sheet Correct HS Customs codes on the shipping docu- ments Specific additional documentation related to a trans- boundary movement of hazardous wastes and oth - er wastes: Completed waste movement document Copy (or original if required) of the notification doc- ument Key questions to consider when examining the docu- ments are: Is this a waste or a product? Is this a waste falling under the scope of the Basel Convention? Check Annexes I, II, III, VIII and IX of the Basel Convention and national legislation implementing the Basel Convention provisions to see if the waste is classified as hazardous or not.
Combating Illegal movement hazardous substances and waste 50 Is the export of this chemical or waste allowed to the country of import? Is the import of this chemical or waste allowed into my country? Is this a chemical listed in Annex III of the Rotterdam Convention or a nationally banned or severely restricted chemical? Further issues to consider when inspecting a ship- ment of a chemical listed in Annex III of the Rotterdam Convention: In case of export: Are the specific World Customs Organization’s Harmonized System codes assigned to the chemical included in the shipping documents? If the chemical is listed in Annex III of the Conven- tion, there is a need to check the import decision of the importing country in Appendix IV of the PIC Cir- cular (or the Convention website www.pic.int) for the chemical in question. If the decision is no consent then the export cannot proceed. If it is consent under certain conditions, it may be necessary to contact the DNA in the importing country before exporting the chemical in order to ensure that those conditions are met. If the exported chemical is listed in Annex III or is banned or severely restricted in your country check the following: FDoes the chemical meet the labelling requirements for risks/hazards to human health and the envi- ronment? The label should contain information on possible hazards of the chemical and the safety data sheet should contain information on how to handle accidents and spills. FFor chemicals that are to be used for occupation- al purposes, ensure that the safety data sheet, following an internationally recognised organisa- tion, setting out the most up-to-date information available, is sent to each importer. FAre any corresponding requirements under nation- al legislation relevant to this chemical or group of chemicals? PHYSICAL EXAMINATION In some cases, a physical examination is required to ver- ify if the information provided in the documents matches the actual load and if the requirements with regards to transporting, labelling and packaging are met. Depend- ing on where a shipment is being stopped/blocked for a visual screening (at the port, at the side of the road or a train terminal) the container or transport medium should be offloaded and stored at a safe inspection area. Verification During the verification process you should check if the in- formation in the documents corresponds with the actual content. Key questions to ask yourself are: Is the classification of the load correct? Does the description of the wastes or chemicals in the documents correspond to the actual composi- tion? Are there indications that this is a waste instead of a product or second-hand good? Are the labelling and packaging requirements met? For chemicals in Annex III under the Rotterdam Convention and those that are banned or severe- ly restricted domestically, one should check if the labelling provisions of the Convention are met. In the case of wastes covered by the Basel Convention, each Party shall require that transboundary move- ments be subject to generally accepted and recog- nized international rules in the field of packaging, labelling and transport. In some cases, a visual inspection will not provide conclu- sive information about the composition of the chemical or waste. Sampling, testing and analyzing might therefore be required.
51 Illegal transboundary movement of hazardous substances and waste 6 Checklist Risk assessment □ Understand the what, when, why, where, who and how of the illegal trade in hazardous chemicals and wastes □ Gather information and intelligence from relevant sources (open and closed) about modus operandi and illegal trade in hazardous chemicals and wastes □ Develop risk indicators and search parameters and implement these in your targeting system Check the documentation □ Is the shipment accompanied by all the correct paperwork □ Review all the documentation if there are completed correctly □ Compare the documents that accompany the shipment to make sure that they match □ Is the valuation of the goods correct/ realistic? Verify the information □ Verify that the exporter and/or importer and place of business actually exist. □ Contact the relevant authorities to verify if the shipment of hazardous chemicals or wastes is indeed consented to □ Verify if the quantity, description of the goods, treatment, origin and destination matches with the information in the registration/notification form/movement form Visual screening □ Inspect the goods visually □ Check the packaging conditions □ Check the labelling requirements □ Match the load with the information in the paperwork □ Take samples if necessary □ Make photographic evidence if necessary
Combating Illegal movement hazardous substances and waste 52 7 Dealing with illegal trade The response to a possible illegal shipment of waste or chemicals depends very much on the powers entrusted to the detecting authorities under the applicable rules and regulations. The authority to control documents, to stop, open and physically inspect vehicles/containers, and to detain shipments for further investigation seems to be commonplace for, for example, Customs. Whilst on the other hand, the authority to take administrative, civil or criminal investigation/ enforcement measures, for instance taking samples or gathering additional evidence may very well be another authority. The national legal and institutional framework also specifies the responsibilities of other relevant authorities and may clarify how such authorities should cooperate 32,33 . SEIZURES AND STORAGE 32 IMPEL (2016). Guidance on effective waste shipment inspection planning. Available at: https://www.impel.eu/actions/download-file/files/ af2c3160-6daf-4398-afe1-2dd53dee02c6/Guidance-on-Effective-Waste-Shipment-Inspection-Planning.pdf [Accessed January 2024]. 33 European Chemicals Agency (2017). Strategies and Minimum Criteria for Enforcement of Chemical Regulations. Available at : https://echa.europa. eu/documents/10162/17088/final_adopted_strategies_for_enforcement_chemical_regulation_en.pdf/53b7b166-eb68-1b5f-1a68-714d874c5046 [Accessed January 2024]. Pending the outcome of an investigation, the shipment may be detained in order to avoid further transportation of the suspicious load into the country or out of the coun- try. Detaining a container has financial consequences and may be seen as disrupting legitimate trade. It is there- fore important that the various stakeholders concerned (i.e. the exporter or importer, the shipping line, shipping agent, port authority, handling companies) be, if possible, informed about this action; for example by issuing a ‘stop notice’. During the time of the investigation, the load should be stored in a safe and protected area where it cannot harm human health and the environment and where evidence cannot be tampered with. Generally, it is only with the explicit approval of the au- thority that ordered the detainment that a shipment can be released. The offloading of the container followed by the visual in- spection and storage depends on how the container is transported: by vessel, truck or train. Port and train ter- minals are expected to provide the required storage fa- cilities at the points of loading and of offloading. In case the container is being transported by truck, it could be required to have the container moved (preferably under escort) to an appropriate location to perform the inspec- tion and store the load safely.
53 Dealing with illegal trade 7 EVIDENCE GATHERING AND CASE DOCUMENTATION The gathering of evidence aims first to support a deci- sion by the responsible authority with respect to the sus- picious shipment: allow the import, transit or export to proceed or not. Secondly, in the event the shipment is deemed illegal, the investigation aims at identifying the various elements associated with the shipment: the na- ture of the shipment, the stakeholders involved (States, individuals, companies) and where the responsibilities may lie. This latter point is especially important when it comes to the financial consequences of the illegal trade (i.e who is to cover the costs for, storing a load, for tak- ing it back, or for its disposal). The third aim is to collect as much evidence as possible, keeping in mind possible future steps: the takeback of the shipment by the export- er or its environmentally sound disposal, in the case the hazardous wastes; and possible administrative, civil or criminal proceedings. It is important to collect and report as much relevant information as possible. Elements to be gathered may include: A written report of the findings describing all the steps of the investigation and the evidence gathered. It is important to include what triggered the inspec- tion in the first place. Originals or copies of documents that contain evi- dence, such as shipping documents or information available from the exporter, importer, shipping lines and shipping agent. All the paperwork should be assessed carefully. Statements from persons involved or witnesses, for example shipping agents, truck drivers, the exporter or importer. Photographs or footage of the load itself, labels, placards, container, etc. Results of analyses if samples have been taken. These elements could also be used in the framework of enforcement actions by a prosecutor. Preferably, Cus- toms should develop and implement a procedure on how to store the elements that have been gathered and on how these should be communicated to other authorities. TAKE BACK OF ILLEGAL TRAFFIC The negative impacts of illegal trade and traffic in haz- ardous chemicals and wastes are not confined to human health and the environment. Economic crime, and thus economic harm, is usually associated with environmental crimes. Among the three conventions under consideration, only the Basel Convention clearly defines what amounts to “illegal traffic”. The Convention also stipulates that Par- ties consider illegal traffic as criminal, it requires that Par- ties take the appropriate measures to prevent and publish this crime, and it also provides for the consequences of a transboundary movement deemed to constitute illegal traffic. The Rotterdam and Stockholm Conventions, for their part, do not contain similar provisions. Ultimately, is it the national legal framework that will spe cify the consequences of illegal trade/traffic in hazardous chemicals and wastes and although such legal frame- works should not go below the minimal requirements contained in a treaty, they may go beyond and, for in- stance, provide for the consequences of the illegal trade of POPs. Such consequences may be of an administra- tive, civil or criminal nature. Take back of illegally shipped waste The Basel Convention specifies some of the con- sequences of transboundary movements deemed to amount to illegal traffic. Exporter or generator’s responsibility In the event of a transboundary movement of hazardous wastes or other wastes deemed to be illegal traffic as the result of conduct on the part of the exporter or generator, the State of export shall ensure that the wastes in ques- tion are: a. taken back by the exporter or the generator or, if necessary, by itself into the State of export; or, if impracticable, b. are otherwise disposed of in accordance with the provisions of this Convention, within 30 days from the time the State of export has been informed about the illegal traffic or such other period of time as States concerned may agree. To this end the Parties concerned shall not oppose, hinder or prevent the return of those wastes to the State of export.
Combating Illegal movement hazardous substances and waste 54 Importer or disposer’s responsibility In the event of a transboundary movement of hazardous wastes deemed to be illegal traffic as the result of con- duct on the part of the importer or disposer, the State of import shall ensure that the wastes in question are dis- posed of in an environmentally sound manner by the im- porter or disposer or, if necessary, by itself within 30 days from the time the illegal traffic has come to the attention of the State of import or such other period of time as the States concerned may agree. To this end, the Parties concerned shall cooperate, as necessary, in the disposal of the wastes in an environmentally sound manner. Unclear assignment of responsibilities In the event the responsibility for the illegal traffic cannot be assigned either to the exporter or generator or to the importer or disposer, the Parties concerned or other Par- ties, as appropriate, shall ensure, through cooperation, that the wastes in question are disposed of as soon as possible in an environmentally sound manner either in the State of export or in the State of import or elsewhere, as appropriate. Under the Basel Convention guidance has been developed for the take back of waste 34 . In the case of a transboundary movement of a shipment that should be taken back by the State of export, the following information may, for instance, be collected by Customs and communicated to the Competent Authority: the date of the interception of the shipment and the precise location of the container; the name, address and contact details of the indi- viduals or legal entities involved in the export (e.g. exporter, shipping agent, shipping line); specific details of the shipment: type, quantity, con- tainer number(s) (including why it is suspected to be waste and its waste classification); name, address and contact details of the consignee in the country of import; details of intended disposal operation (if any or if known) ; whether there are any shipping documents or photo- graphic evidence; whether there is a Movement Document; the reasons why the shipment is deemed to be illegal; evidence that the conduct of the exporter or genera- tor resulted in the case of illegal traffic evidence that the State requested to take back the shipment is the State of export. 34 UNEP (no date). Guidance on the implementation of Basel Conventions provisions dealing with illegal traffic. Available at : https://www.basel.int/ Implementation/LegalMatters/IllegalTraffic/Guidance/tabid/3423/Default.aspx# [Accessed January 2024]. Illegal traffic deemed as a result of conduct by exporter or generator Take-back provision (article 9.2) Illegal traffic deemed as a result of conduct by importer or disposer ESM of the waste (article 9.3) Illegal traffic cannot be assigend as a result of conduct by exporter, generator, importer or disposer ESM of the waste (article 9.4)
55 Dealing with illegal trade 7 Other consequences The national legal framework can provide for other con- sequences in cases of illegal trade/traffic, bearing in mind that, under the Basel Convention, illegal traffic is to be considered a crime. Prosecuting the offender is an impor- tant step in the enforcement chain. Successful prosecu- tion of environmental crimes has to be achieved through the cooperation of multiple agencies nationally and in- ternationally, bringing together different enforcement ap- proaches and varying levels of available powers. The investigation of a case of illegal traffic of wastes or chemicals may involve various Competent Authorities of the countries of export and of import, Customs agencies and police services. Cases may be linked to other crimes and also organized crime through the generation of sub- stantial income from illegal trade (a prime driver for the crime). This complex dynamic is amplified by possible language barriers and the fact that information, witnesses or even suspects may be located in a different country. In case of an illegal movement of chemicals or wastes, the countries involved will need to determine where crim- inal procedures will be initiated: the country of export, the country of transit or the country of import? It is the role of law enforcement authorities, for instance possibly Customs, to collect and provide evidence that will support an enforcement procedure, whether it is of an administrative, civil or criminal nature. INVESTIGATIONS AND PROSECUTION Proceedings for offences will be governed by national laws dealing with environmental offences and nation- al civil and criminal procedure laws. There are broadly three categories of possible proceedings: criminal, civil, and administrative. Though the definitions can vary per country, usually criminal law deals with crimes and their prosecution; offences range from minor infringements such as failure to stop at a red light to drug trafficking and murder. Civil law is the law governing the relations between private persons or organizations. Administrative law is the law regarding the rules or regulations made and enforced by governmental agencies, it regulates relations between governments and citizens. Criminal proceedings Under national law, it can be decided if cases should be addressed by civil of administrative means or whether a case should be the subject of a criminal prosecution. To take this decision, authorities may weigh the extent of the damage against that of the culpable conduct and the rea- sonable chances of success of a prosecution. In interna- tional cases, it may also be considered which jurisdiction has the best chances of leading to a conviction.
Combating Illegal movement hazardous substances and waste 56 Severity Serious impact or risk of impact Major impact or risk of impact Moderate impact or risk of impact Minor impact or risk of impact Low impact or risk of impact permanent, or potential for permanent, longterm impact impact is on or potentially on a wide-scale, or of great intensity widespread or high level of public concern or impact to public safety about the incident where offence is of an administrative nature, it severely undermines the legislative scheme or the offender provides false or misleading information. medium to longterm impact, or potential impact impact is on or potentially on a medium to widescale, or of medium to great intensity high level of public concern or impact to public safety where the offence is of an administrative nature, it undermines the legislative scheme or the offender conceals information or avoids liability for fees or taking necessary actions to prevent offence. temporary to medium-term impact, or potential impact impact is on or potentially on a localised to medium scale, or is of a low to medium intensity moderate level of public concern or impact to public safety here the offence is of an administrative nature, it has a moderate impact on the legislative scheme, or the offender carelessly fails to comply with administrative requirement. transient impact, or potential impact impact is on or potentially on a localised scale, or is of a low intensity low level of public concern or impact to public safety where the offence is of an administrative nature, it has no impact on the legislative scheme or is of an inadvertent nature. no impact, or potential impact no public concern or impact to public safety where the offence is of an administrative nature, it could not have been prevented. Table 2 Criteria to be considered in determining severity of offences (source: WasteForce Project) One criterion that may be used in the choice of pro- ceedings is to determine the severity of the offence. In the case of waste offences, documentation-related of- fences may often appear as minor or moderate impact. However, consideration must also be given to whether the documentation offence was willful or deliberate and if the offence had not been identified, would the illegal waste have been disposed of in an approved waste man- agement facility or would it have been dumped illegally causing further environmental harm (See Table 2 above). A second criterion can be the general conduct of the of- fender and another criterion may be to determine the cul- pability of the offender. Level of culpability: Principal offender committing the crime Accessory to the crime (offender aiding or abetting to commit the crime of illegal traffic) Offender conspiring or attempting to commit or par- ticipating in the commission of the crime
57 Dealing with illegal trade 7 Administrative proceedings Commonly and widely employed by competent authori- ties, administrative sanctions can be applied to cases in which operators, companies or persons involved in trans- boundary movements are deficient in their application of the specific movement and notification process. A range of responses may be used, including notices to require actions to be taken (or ceased) and penalties, without recourse to the courts and in proportion to the scale of the misdemeanour (the quantity of waste, hazardousness and lack of a proper description, among other things). The penalties need to be proportionate to the scale of the misdemeanour, including to the quantity of waste, hazardousness, lack of a proper description, among oth- er things. The availability of an administrative sanctions system is therefore important; administrative sanctions can be used in cases that would otherwise be dismissed without any formal remedy at all. The procedures for im- posing administrative fines and the competent authorities diverge from country to country. The same applies to the relationship with the criminal law. Yet in most legal systems the threshold of proof and thus the costs of imposing the administrative fine are lower than those in criminal procedures. Therefore, administra- tive fines can be recommended for minor offences, but they serve as a valid tool in general. It is important to avoid the situation that a serious environmental crime should be dealt with via a low administrative fine. There are various approaches for avoiding such issues. One model is to specify in the legislation, for which type of offences administrative fines can be imposed. Another possibility is for the Compliance Policy of the competent agency to give a key role to the prosecutor to make the determination as to the choice of proceedings. It would then be the prosecutor to decide whether the particular case will be prosecuted before the criminal court or sent to an administrative agency with the view on the imposi- tion of an administrative fine. Civil proceedings Civil measures may be applied for breaches for which criminal trials are not deemed appropriate. The flexibility of civil measures may help to improve compliance with regulations without involving legal requirements. The penalties can be dispensed more rapidly and may be more proportionate and cost effective. If civil measures should be applied depends on the objective and if it can act as suitable deterrent. There may also be the possibil- ity of applying compensation measures, as envisaged in Article 12 of the Convention (the Protocol on Liability and Compensation for Damage Resulting from Transbounda- ry Movements of Hazardous Wastes and Their Disposal is not yet in force), through domestic legislation.
Combating Illegal movement hazardous substances and waste 58 8 How to Prevent Illegal Traffic? According to the Basel Convention Secretariat, preventing, detecting and acting against the illegal transboundary movements of hazardous and other wastes (“illegal traffic”) is a crucial element in the global waste challenge. This is also reiterated by the United Nations Office on Drugs and Crime (UNODC) that states that “Illegal trade in waste (or waste trafficking) is a type of crime that af- fects the environment and is a growing problem across the world. Once it reaches destination countries, illegal waste often ends up in illegal landfills and illegal storage sites or is burnt in the open, causing harm to the environ- ment and human health, undermining the achievement of the SDGs and the transition toward a circular econ- omy.” 35 , 36 The national and international cooperation for the de- tection and prevention of illegal traffic in hazardous and other waste is a particularly important aspect of the im- plementation of the Basel Convention. Competent au- thorities of Countries of import and export that are trade partners in the sense of the movement of waste, should establish adequate lines of communications, not only for the compliance with notification and consent procedures as established by the Basel Convention, but also with re- gard to detected or potential illegal traffic. TASK FORCE APPROACH The task force approach is an effective and efficient method for targeting and investigating suspected crim- inal activity in a specific geographical area, region or 35 UNODC (2023). SDG 6: Ensure availability and sustainable man- agement of water and sanitation for all. Available at: https://www. unodc.org/documents/SDGs/SDG_6-_09.2023.pdf [Accessed January 2024]. 36 UNODC (2023). SGD 12: Responsible Consumption and Production. Available at: https://www.unodc.org/documents/SDGs/SDG_12- _09.2023.pdf [Accessed January 2024]. border crossing. Hazardous waste task force members may represent countries, provinces and local jurisdic- tions where hazardous waste is generated, transported, disposed or abandoned. Generally, a task force is com- posed of a team of people from different agencies with a common goal. The strategy is to coordinate the activities of several agencies having relevant information, expertise and jurisdiction. A hazardous waste task force may be composed of representatives from Customs (agents, inspectors, and trade information specialists), environmental agencies, police agencies at national, regional and local levels, persons with hazardous waste regulatory and prosecution backgrounds, and others with relevant information on or authority over waste shipments. If possible, specialists in electronic surveillance, forensics, tax, computer and data processing should be included in special task force operations and investigations. The structure of the task force should be simple, com- posed of at least one member representing each agency and a task force leader. Because each involved agency expects some benefit from the work of the task force., it is the leader’s responsibility to be familiar with the needs and interests of all the agencies. The task force mem- bers may be appointed by their respective agencies while the members or their agencies normally choose the task
59 How to Prevent Illegal Traffic 8 force leader. The entire task force should meet, with an agenda, at least once a month. The objectives identified here ought to be included in the objectives of any hazardous waste task force, as well as others dictated by circumstances. They should be attain- able and supported by all stakeholders represented in the task force. The principal objectives of a hazardous waste task force are: to develop and share information among agencies, leading to the detection and investigation of more cases of illegal trafficking than any one agency could manage alone as the task force collectively has far more resources, jurisdiction, capacity and personnel; to detect illegal trafficking by compiling and collat- ing information and intelligence from Customs and comparing that with information from environmental agencies, police and fire departments, and others; to identify enforcement targets and prioritize ac- cording to the seriousness of offences, frequency of occurrence and needs of stakeholders. They may develop a database of commercial information and intelligence, regarding known generators, transport- ers and disposal sites, as well as cases of illegal trafficking and other hazardous waste crimes. In this way, task forces can document trends in illegal ac- tivity, determine patterns of trafficking, share information on common schemes employed by illegal traffickers and effectively train other agencies in the collaborative de- tection, investigation and prevention of hazardous waste trafficking. They should also ensure that their members collaborate in the investigation of identified cases of il- legal trafficking, the execution of search warrants and the prosecution of the individuals and corporations re- sponsible. Requirements of an effective enforcement network: A clear purpose and mandate Clearly defined members Agreed mode of communication Clearly defined scope of information to be ex- changed Incentives for members to cooperate Strengthen, rather than duplicate, existing networks Prosecutors have a vital role in upholding national legis- lation, implementing the Basel Convention and success- ful prosecution of crimes such as illegal traffic in hazard- ous and other waste and often requires the cooperation from multiple agencies, nationally and internationally. PARTNERSHIP WORKING A partnership working is open to a variety of meanings. People often use the word in a variety of senses; aware of what they understand by the term, yet it is not always clear to a listener just which kind of partnership is being referred to. For some, partnership working is a system- atic way of building informal links across the usual or- ganizational or role boundaries. For others, it is a loose description that refers to the way they maintain important contacts. Partnership, however, in the way in which it is being de- scribed here, is a relatively developed and sophisticated way of working that requires a good deal of trust from many officials and executives being that senior manag- ers, project managers, participants, colleagues and us- ers of services. It encompasses the conscious and de- liberate efforts of an individual or group of individuals to improve the tasks they are engaged upon. These tasks might be collaborative ones or overlap in some other im- portant way. The effectiveness of partnership working is related to and overlaps with several other ways of describing non-con- ventional responses to working problems which require new sorts of arrangements and relationships between or- ganizational members. Some of the most important are outlined below. The success of any project will vary not only according to the type of working involved but also with the commitments and the freedom of action given to those involved in implementing the idea in practice. Partnership working is the work conducted by individu- al members or organizations attempting to work jointly or develop an integrated response to an organization- al issue. Networks – A Critical Component of Partnership Working Networks, like any other kind of group, develop a climate or an atmosphere in which they operate. Some are high on social and emotional levels of relating; others are far
Combating Illegal movement hazardous substances and waste 60 more interested in the tasks to be accomplished. The problem of evaluating what kind of climate exists varies but some of the features to look out for if a network is struggling to maintain itself are important. To develop a network of partners can be the stated in- tention of some allocated the task and responsibility, either from within their own agency or given the brief from some other funding body. This can lead to individ- uals being appointed to establish a network. Very often, there are already existing groupings, pressure groups or associations working directly in the territory concerned or closely related to it. Agencies establishing networks must be prepared to proceed cautiously and consult ex- isting representative groups. Individuals or agencies can become involved in a network without implying that they have an awareness of their role or status vis-à-vis one an- other, or that their actions are organized collectively, are interdependent or directed toward some common goal. They may be, but it is not necessary in order to work ef- fectively. Example of partnership working in the SEE Region The OSCE Presence in Albania (PiA), through the Governance in Economic and Environmental Issues Depart- ment (GEEID), followed a three-year program aiming at strengthening the inter-institutional approach to tackle environmental crime in the country including corruption in the environmental sector. In fact, the GEEID’s program was carried out considering that a number of sub-sectors continue to be particularly vulnerable to environmental crime in Albania, such as illegal logging, water resources and management, mining waste, hazardous waste management, marine pollution, illegal industrial waste dumping and the protection of endangered species. In this context, in 2015, responding to the request of the Ministry of Environment, the Presence supported the establish-ment of the Inter-institutional Group against Environmental Crime (IGEC). As a result, in June, 2015 the Minister of Environment issued an Order for the establishment of IGEC by defining also the structure, membership and the institutional development plan. Furthermore, in 2016, the Presence strengthened the functionality of the IGEC by organizing it as an entity that can work as a unique and separate body that has the authority to conduct a specific agenda in the fight against environmental crime. The main objective of IGEC was to strengthen the coordination and collaboration of law enforcement agencies to deter, prevent, and prosecute environmental crimes in Albania through information sharing. IGEC was composed of permanent members who are representatives of central governmental institutions, agencies and independent bodies, such as: Ministry of Tourism and Environment National Environmental Agency (the leading agency) Environmental Inspectorate Police Prosecutor Office Custom Office etc. The National Environment Agency (NEA) wa s the leading authority of IGEC and served also as the Secretariat for IGEC. The NEA hosted and chaired the IGEC meetings. To date, the representation of institutions has been through the appointed technical staff.
61 How to Prevent Illegal Traf fic 8 The IGEC Institutional Development Plan for 2016 - 2020 was the main document containing the strategic objectives and main working directions. This plan was prepared in close co-operation with all IGEC members with the assis-tance of an international contracted expert, financed by the OSCE Presence in Albania. The IGEC institutional de-velopment plan states that “IGEC partners will work together to examine current practices in terms of intelligence gathering and development, information sharing, joint coordination, resource implications, operational planning, joint objectives and delivery mechanisms. In order to make the best use of resources and opportunities for taking forward the effective interventions, IGEC acknowledges that intelligence and data held independently by individual IGEC members should be considered collectively” 37 IGEC proposed to focus on 5 key areas/strategic objectives of environmental concern in Albania according to the Institutional Development Plan: 1. Media, Communications and Public Relations/Awareness Strategy: Create an IGEC Logo and develop informative literature. Develop a Communication and Media Relation Strategy to highlight the structure and function of the IGEC and its strategic aims and objectives. 2. Multi-agency Approach to Significant Large-Scale Deliberate Acts of Environmental Degradation. 3. Illegal Waste Disposal: Recognise that the Albanian Government wants the fresh action and solutions to tackle illegal waste disposal, particularly hazardous waste, to help deliver its commitment to the National Waste Management Strategy. 4. Wildlife Crime and Protected Areas: Recognize that there are opportunities for mutual benefit based on shar- ing intelligence, guidance and best practice in respect of roles and responsibility in combating wildlife crime. 5. International Environmental Crime: Recognize that it can be a key supporter of proposals made by members for their bid for funding to undertake project-based work on developing IGEC understanding of environment crime and developing intervention activities with partners across the European Union. Several training courses were implemented during 2017 aiming at providing vocational learning process to IGEC members to enhance their competence in the field of institutional responsibilities, as well as sharing specific infor- mation regarding Standard Operational Procedures (SOPs). Through the Joint Actions, the communication on intelligence sharing among agencies is improved and became more efficient. As a result, all 11 IGEC members received Awards of Customized Units on “Environmental crime legislation and inter-agency cooperation to tackle environmental crime”, accredited by the Scottish Qualification Authority, based on the training units delivered by the International Centre for Environmental Resource Manage- ment and Services (ICERMS) and financially supported by the OSCE Presence in Albania. Furthermore, IGEC during the period 2018-2019 achieved the following: finalized a strategic action plan against environmental crime for 2018-2021 where several measures requiring actions were identified in the prevention, prosecution and awareness aspects; provided expert input towards legislative changes on environmental crime, such as the amendment of crimi- nal code; conducted 12 local events in various municipalities to raise public awareness of the issue which resulted in the preparation of a handbook on the functions and competences of local authorities in tackling environmen- tal crime at the local level based on the new criminal code; 37 IGEC (2016): Institutional Development Plan 2016-2020 pg. 12
Combating Illegal movement hazardous substances and waste 62 and prepared a road map aiming to develop a training curriculum on environmental crime for the Police Academy. Developed a handbook on the functions of local government in the area of environmental crime. Various challenges emerged during the period of assessing the status of environmental crime and coopera-tion among institutions. Challenge no.1: The coherent leadership commitment to tackle environmental crime Challenge no.2: The legal framework and institutional set up Challenge no.3: Cooperation among institutions at the national and local level Challenge no.4: The assessment of the threat and risk for environmental crime in Albania 38 38 Annual Activity Report of the Inter-Institutional Group Against Environmental Crime in Albania December 2017 – OSCE presence in Albania Why is Partnership Working Important? Partnership working helps increase capacity and resourc- es to tackle problems. Benefits include sharing expertise, training and costs. Taking into consideration for instance the IGEC exam- ple in Albania, partnerships minimize an over-reliance on outside experts as sources of knowledge, resources, and solutions to community issues. By preventing a depend- ency relationship on outsiders from forming, capacity building encourages local people to act on local issues themselves. Building capacities through partnership working fosters a sense of ownership and empowerment, so that public authorities and organizations of any form gain greater control over their own future development. There are three main underlying challenges faced by working in partnership: misalignment of organizational aims and values; different ways of working; capacity constraints. Experience of forming and working in partnership was perceived to bring long-term benefits to partnering or- ganizations that extend beyond bidding for a specific contract or task by thus enhancing their ability to thrive in the market and to generate new revenue streams not reliant on public sector officers. Obviously, the main pri- ority of public authorities and organizations is to achieve positive outcomes for the state in general and respective communities. There is a strong case for supporting the different forms of partnerships. This is due to the follow- ing findings: Benefits from partnering are long-term and extend beyond simply bidding for single contracts; Partners have a potential to deliver better outcomes for public services; Partners support can unlock public official’s potential to work efficiently and raise capacities; Partnership support can give rise to institution build- ing; Strengthened confidence, skills, knowledge, and resources that increase from partnership efforts on one project may enhance an institutional ability to envision and act on other projects. Partnership efforts are sensitive to the particularities of local culture and context, and, as a result, often lead to more feasible and appropriate community solutions than approaches that lack a capacity build- ing focus.
63 Appendices Appendix I - International initiatives Various international agencies have been established for detection and prosecution of illegal traffic: Interpol, World Customs Organization (WCO), European Network for the Implementation and Enforcement of Environmental Law (IMPEL), Green Customs Initiative, International Network for Environmental Compliance and Enforcement (INECE), International Association of Prosecutors, European Network of Prosecutors for the Environment (ENPE), ENFORCE - The Environmental Network for Optimizing Regulatory Compliance on Illegal Traffic Interpol provides another mechanism for international cooperation through its National Central Bureaus. This type of connection is particularly important for detailed investigations involving prosecution of individuals and companies domiciled in different countries. Interpol networks: www.interpol.int. This site also has links to national law enforcement sites, including Customs. In 2000, the World Customs Organization (WCO) ini- tiated a network called Customs Enforcement Network (CEN). The aim of this network is to link all Customs ad- ministrations for enforcement purposes and provide them with a common database and reference system. Any na- tional Customs administration should be connected to CEN through its WCO National Contact and, equally im- portant, should contribute to the further development of CEN. Your Regional Intelligence Liaison Office (RILO) will also provide a valuable tool for international cooperation. WCO mechanisms: www.wcoomd.org. This site also has links to national customs websites. Green Customs Initiative (established in 2004) Objective: To enhance the capacity of customs and other relevant enforcement personnel to monitor and facilitate the legal trade and to detect illegal trade in environmentally sensitive commodities covered by the relevant multilateral environmental agreements (MEAs) http://www.greencustoms.org European Network for the Implementation and Enforcement of Environmental Law (IMPEL) (informal network 1992, formal association 2008), IMPEL www.impel.eu Objective of the IMPEL Experts Team Waste&TFS: Promote compliance with the European Waste Management and Shipment Regulations through enforcement; Carry out joint enforcement projects; Promote exchange of knowledge, best practices and experience with the enforcement of the Waste Man- agement and Shipment Directives and Regulations; Stimulate a uniform enforcement.
Combating Illegal movement hazardous substances and waste 64 International Association of Prosecutors (established in 2011). IAP https://www.iap-association.org/ Objective: To build a global community of environmental prosecutors and to facilitate the exchange of knowledge, tools, capacity building and information that assists envi- ronmental prosecutors in their work European Network of Prosecutors for the Environment (ENPE) (established in 2012) ENPE https://www.environmentalprosecutors.eu/ Objective: To help practitioners to connect, to share ex- perience and data on environmental crime, and to look at crucial issues linked to the environment and human health The Environmental Network for Optimizing Regulatory Compliance on Illegal Traffic (ENFORCE) http://www.basel.int/Implementation/ TechnicalAssistance/Partnerships/ENFORCE/ Overview/tabid/4526/Default.aspx Objective: Through a network of relevant experts, to promote parties’ compliance with the provisions of BC pertaining to preventing and combating illegal traffic in hazardous waste and other waste through the better im- plementation and enforcement of national law. Mission achieved by bringing together existing resources, enhance and improve cooperation, co- ordination between relevant entities with a specific mandate to deliver capacity-building activities, and tools on preventing and combating illegal traffic
65 Appendices Appendix II - Level of implementation of the Basel, Stockholm and Rotterdam Conventions and Montreal Protocol by the SEE countries Albania A.1. Basel Convention level of implementation: 39 https://www.unece.org/fileadmin/DAM/env/epr/epr_studies/ECE.CEP.183_Eng.pdf of the company in the country of destination is needed. No distinction is made between waste for recovery or fi- nal disposal. Companies are obliged to report every six months on the amount of waste exported and in transit in compliance with the requirements of the authorization of export or transit which is issued from the MoTE. The transit of hazardous waste through the territo- ry of Albania was prohibited in all circumstances, ac- cording to the Law On Integrated waste management No. 10463/2011, as amended. According to the DCM 117/2013 “Establishing criteria determining when certain types of scrap metal cease to be waste”, it is allowed to import in Albania only aluminium waste with high purity over than 95% and ferrous and stainless with high purity over than 98%. In this condition they cease to be waste and do not need any authorization from MoTE. Albania acceded to the Convention on the Control of Transboundary Movements of Hazardous Waste and their Disposal in 1999 through Law no.8216, dated 13.5.1997 on accession of the Republic of Albania to the Basel Convention. In addition to waste listed in Annexes I, II and VIII of the Basel Convention, the Albanian defi- nition of hazardous waste also covers the European List of Waste (under the EU Framework Directive) . Due to inadequate segregation of hazardous waste and the absence of adequate means for process-ing it, the management of hazardous waste constitutes a challenge for Albania. According to the Albanian leg- islation, all types of waste (hazardous or not) that are the object of export and transboundary movements are subject to control and require an authorization from the Ministry of Tourism and Environment. A written consent from the competent authority of the country of import is required, in case of hazardous waste. Albania acceded to the Stockholm Convention in 2004 through Law Nr.9263, dated 29.07.2004. The National Ac- tion Plan for Reduction and Disposal of Persistent Organ- ic Pollutants was adopted in 2006 and submitted to the Convention Secretariat in 2007 as the national implemen- tation plan of the Convention. It is currently being revised with the technical and financial support of UNEP and GEF. 39 In 2014, the first national report was submitted. Albania has adopted legislation establishing the frame- work for compliance with international commitments on chemicals. The Law on Chemicals Management No. 27/2016 sets the legal framework for the implementation of international conventions in this domain. Aiming at fully aligning the national legal framework with EU legislation, Albania has also adopted a secondary legislation frame- work related to the registration, evaluation, authorization and restriction of chemicals, export and import of hazard- ous chemicals; classification, labelling and packaging of substances and mixtures etc. Among the most important pieces of secondary legislation it is worth mentioning the following: Council of Minister Decision (DCM) no. 488 of 29.06.2016 “On the classification, labelling and packing of chemicals”; DCM no 489 of 29.06.2016 On approval of the list of substances of very high concern (SVHC), cri- teria for inclusion of substances in the list of SVHC and issuing of a conditional authorization in order to continue
Combating Illegal movement hazardous substances and waste 66 using the SVHC”, DCM no. 319, dated 15.5.2019 “On the restrictions on the manufacture, placing on the market and use of certain chemicals and certain dangerous arti- cles” and DCM no.665, dated 21.09.2016 “On the export and import of hazardous chemicals”. This secondary le- gal framework partly transposes REACH and CLP Regu- lations (Regulation No. 1907/2006 of the European Coun- cil of 18 December 2006 on “Registration, Evaluation, Authorization and Restriction of Chemicals” - REACH and Regulation (EC) No 1272/2008 “On the Classification, Labelling and Packaging of Substances and mixtures” - CLP and Regulation (EU) No 649/2012 of the European Parliament and of the Council of 4 July 2012 concerning the Export and Import of Hazardous Chemicals). On the same note, the Council of Ministers adopted a decision for the establishment of a centre for the collec- 40 ECE/CEP/183 UN Economic Commission for Europe Environmental Performance Reviews Albania, Third Review, 2018. 41 ECE/CEP/183 UN Economic Commission for Europe Environmental Performance Reviews Albania, Third Review, 2018. tion and treatment of hazardous chemicals in October 2015 in Elbasan 40 . Due to its transversal nature, compli- ance with international commitments on chemicals man- agement requires a strengthened effort of coordination among all entities involved, i.e. the Ministry of Tourism and Environment, as the main authority responsible for chemicals management, in coordination with the State Inspectorate of Environment, Forestry and Water (for compliance of safety data sheets, harmonized classifica- tion and labelling and restrictions of importers, exporters and producers of chemicals), the Inspectorate on Trade (for compliance of chemicals in the market), the Ministry of Agriculture and Rural Development (on packaging and labelling of plant protection products) and the Ministry of Health and Social Protection (on policies and services re- lating to biocides in public health). A.3. Rotterdam Convention level of implementation: Albania acceded to the Rotterdam Convention in 2010 through Law no. 10277, dated 13.05.2010, “On acces- sion of the Republic of Albania in the Rotterdam Con- vention on the procedure of Prior Informed Consent for certain hazardous chemicals and products for plant pro- tection in international trade”. Since 2017, the Depart- ment of International Organizations within the Ministry of Europe and Foreign Affairs is the National Contact Point for the Convention in Albania, whilst the General Direc- torate of Environmental Policies at the Ministry of Tour- ism and Environment is the Designated National Author- ity that observes the level of compliance of the country with the Convention rules.. Albania has submitted to the Convention decisions of no consent for the importing of 47 chemicals listed in Annex III of the Convention and subject to the Prior Informed Consent Procedure 41 . DCM No. 665 dated 21.09.2016 “On the import and export of hazardous chemicals” aims at fully approximating Albani- an legislation with the related EU acquis. A.4. Montreal Protocol level of implementation: Albania acceded to the Convention for the Protection of the Ozone Layer (Vienna Convention) and the Protocol on Substances that Deplete the Ozone Layer (Montreal Protocol) in 1999. Albania has acceded to all amend-ments, except for 2016 Kigali Amendment, which adds hydrofluorocarbons (HFCs) to the list of controlled substances. The National Ozone Unit un- der the Department of Environment cooperates with the General Directorate of Customs for implementation of the Montreal Protocol. A Hydrochlorofluorocarbons (HCFCs) Phase-out Management Plan (HPMP) for Albania was approved by the Executive Committee of the Multilater- al Fund for the Implementation of the Montreal Protocol in 2011. The HPMP aims at a 35 per cent reduction of HCFC consumption by 1 January 2020, compared with the baseline level, which refers to the average HCFC con- sumption in the years 2009 and 2010. The HPMP is being implemented with the assistance of UNIDO and UNEP, at a total cost of US$122,880. In 2015, the Executive Com- mittee approved the third tranche of stage I of the HPMP. The Government reported the consumption of 1.64 ODP tons of HCFCs in 2014. Imports of HCFCs amount to 5.6 ODP tons. The commonly used substitutes in Albania in- clude HFC-410A, HFC-134a, HFC-407 and HFC-404. Albanian legislation establishes a licensing and quo- ta system for control of import/export of HCFCs and HFC-containing mixtures, which is effectively enforced
67 Appendices and is in compliance with the Montreal Protocol. Under the HPMP, customs officers have been trained in mon- itoring imports and preventing illegal trade of ozone-de- pleting substances (ODS). Serbia B.1. Basel Convention level of implementation: Legislative provisions and implementing legislation related to the transboundary movement of waste regulate the documentation on shipments from the point of departure to the final destination, based on national and international standards and European regulations related to trans- boundary movement of waste. Waste which is not possible to be treated in environmentally sound manner and enough efficient treatment facilities and technical possibilities in the Republic of Serbia, has to be exported. The import of waste for disposal is prohibited. Certain types of non-hazardous waste can be imported for use for as fuel in energy purposes if there is an adequate facility for the utilization of that type of waste for energy purposes which has issued an operating permit, in accordance with the law. The import of hazardous waste is prohibited. Exceptionally, certain types of hazardous waste may be imported if they are required as secondary raw materials for the processing industry in Serbia. Non-hazardous waste can be imported for the purpose of treatment. The Ministry of Environmental Protection is competent authority for issuing permits for transboundary movement of waste. The Law on Waste Management regulates management of specific waste streams (used batteries and accumulators; waste oils; waste tires; electrical and electronic products waste; waste from fluorescent tubes containing mercury; PCBs and PCB waste; POPs waste etc. On such regard also numerous bylaws regulating more specifically certain environmental protection areas were adopted, among which of particular importance are those pertaining to persistent organic pollutants (POPs). The Republic of Serbia has ratified various internation- al conventions including the Basel Convention by the adoption of the Law on ratification of the Basel Con- vention on the Control of Transboundary Movements of Hazardous Waste and their Disposal (Official Gazette of FRY – International Contracts, No. 2/99). The Republic of Serbia is part of the international control system of transboundary shipments of hazardous and other types of waste, as a member of the Basel Convention. The Basel Convention requirements are transposed into na- tional legislation. The Law on Environmental Protection (“Off. Gazette of RS”, no. 135/04, 36/09, 36/09-oth.law, 72/09-oth.law, 43/11-decision of the CC, 14/16, 76/18, 95/18-oth.law and 94/24-oth.law) prescribes general provisions on the import, export and transit of waste and its control. In the Republic of Ser-bia, transboundary waste shipments are regulated by the Law on Waste Management (“Official Gazette of RS” Nos. 109/2025). This Law regulates transboundary movement of waste, specifically: conditions and procedure of transboundary movement of waste, issuance and types of permits for transboundary movement of waste and transboundary waste shipments (Art. 89-92), as the basis for the implementing legislation that defines in more detail the mode and procedure for transboundary movement of waste. The Republic of Serbia has ratified the Stockholm Con- vention through the Law on Ratification of the Stockholm Convention on Persistent Organic Pollutants (Official Ga- zette of RS – International Contracts, No. 42/09). In 2009 the Serbian Government has adopted the National Imple- mentation Plan for the implementation of the Stockholm Convention on Persistent Organic Pollutants substances (hereinafter referred to as the NIP). Those action plans are defi ned in detail in the NIP, as well as (1) an Action plan for the institutional and regulatory measures for imple- mentation of the Convention, (2) Action plan for contam- inated sites, (3) Action plan for monitoring and research of POPs chemicals, (4) Action plan for the management of PCB equipment and waste containing PCBs and (5) Action plan for the implementation of communication strategies, awareness raising and education on POPs chemicals. The updated NIP is under governmental pro- cedure and includes implementation measures and relat-ed actions, including those required for updating the legal framework for POPs management (especially new POPs) and raising awareness of relevant target groups on new POPs in Serbia. Republic of Serbia has established the legislative and in- stitutional framework for the environmentally sound man- agement of PCB equipment and waste containing PCB, as well as POPs management through the adoption of the
Combating Illegal movement hazardous substances and waste 68 bylaws in order to implement provisions of the Stockholm Convention, which regulates the bans and restrictions of production, placing on the market and use of PCB and equipment and waste containing PCBs, including POPs chemicals and POPs waste management. Present sys- tem of POPs chemicals and POPs waste management is almost fully harmonized to the EC-system. The POPs‐ harmonized legislation has been in force since 2010. Law on Environmental Protection (“Off. Gazette of RS”, no. 135/04, 36/09, 36/09-oth. law, 72/09-oth. law and 43/11-decision of the CC and 14/16) as an umbrella law, as well as two key systemic legal acts regulating this area, such as the Law on Chemicals (“Official Gazette of RS” Nos. 36/09, 88/10, 92/11, 93/12 and 25/15) and Law on Waste Management (“Official Gazette of RS” No. 109/2025), and a sequence of the Rotterdam Convention and the national provisions aligned with provisions of the EU legislation. National leg- islation has been harmonised with EU provisions regard- ing the export and import of hazardous chemicals since 2009, except provisions prescribed only for EU members (e.g. Reporting to the Commission). The Ministry of Envi- ronmental Protection is the competent authority for the implementation of the Rotterdam Convention. The Law on Chemicals stipulates that exceptionally, in the case of plant protection products, the implementation of this Convention shall be carried out in cooperation with the plant protection authority (Plant Protection Directorate). The Republic of Serbia has ratified the Rotterdam Con- vention through the Law on the Ratification of the Rot- terdam Convention on the Prior Informed Consent Pro- cedure for Certain Hazardous Chemicals and Pesticides in International Trade with amendments (Official Gazette of RS – International Contracts, No. 38/09) and became part of the legal system of the Republic of Serbia. Law on Chemicals (“Official Gazette of the RS” No 36/09, 88/10, 92/11, 93/12and 25/15) and Rulebook On Import and Ex- port of Certain Hazardous Chemicals (“Official Gazette of the RS” No. 93/2023 and 78/2023 ) represent the regulatory mechanism for conducting the provisions of B.4. Montreal Protocol level of implementation: Serbia is a party (by succession, in 2001) of the Montreal Protocol. There is no production of ODS in the Republic of Serbia, but records on the import and consumption of these substances are still kept. As of January 1 st , 2010, imports of all ozone depleting substances from the Annex to the Montreal Protocol, except for HCFCs, and from January 1, 2014, are prohibited, including methyl bro- mide. Production of ozone-depleting substances is also prohibited in the Republic of Serbia, and imports are al- lowed only for chlorofluorocarbons whose consumption is controlled through a very efficient licensing and quota system, as well as through project activities. In the Re- public of Serbia, in 2018, the consumption of substances from the HCFC group was approximately the same as in the previous year, approximately 6.61 ODP tonnes. According to the Law on Ratification of the Montreal Protocol on substances which deplete the ozone layer (“Official Gazette of SFRY – International agreements”, No. 16/90 and “Official Gazette of SCG– International agreements”, No. 24/04) the most important implemen- tation measures that have been undertaken are: 1) Intro- ducing and maintaining a fully operational licensing and quota system for hydrochlorofluorocarbons (HCFCs); 2) Enforcement of control measures to sustain chlorofluor- ocarbon (CFC) and HCFC phaseout, which is related to cooperation with the Customs Administration for the bor- der control of ODSs imports, environmental inspection controlling importers and exporters of the substances, as well as installations containing controlled substanc- es; 3) Prevention of illegal ODS trade (all ODSs) by us- ing the informal Prior Informed Consent mechanism of communication and consultations between importing and exporting countries – checking each shipment with the exporting/importing country, 4) Cooperation with the National Refrigeration Association. Serbia reports to the Ozone Secretariat on consumption of controlled substances in a timely manner. In 2010, Serbia adopted the National Action Plan for implementa- tion and ratification of the Protocol on Heavy Metals; the Gothenburg Protocol to Abate Acidification, Eutrophica- tion and Ground-level Ozone; and the Protocol on Per- sistent Organic Pollutants (POPs). In 2012, Serbia ratified the Protocol on Persistent Organic Pollutants (POPs) and the Protocol on Heavy Metals (OG 1/12). Ratification of the Gothenburg Protocol is postponed as the country is not able to comply with the requirements of the sulphur content in certain liquid fuels.
69 Appendices Bosnia and Herzegovina C.1. Basel Convention level of implementation: Bosnia and Herzegovina ratified the Basel Convention in 06.03.2001. The trans-boundary movement is regulat - ed and in line with the Basel Convention. The inter-entity movement of hazardous waste for disposal between the Bosnian Federation and Republic Srpska is prescribed by LWM. In the Bosnian Federation, the Rulebook on the Trans-boundary Movement of Waste regulates gen- eral principles of the trans-boundary movement (i.e. im- port, export and transit) of hazardous and non-hazard- ous waste, border crossings open to their movement and list of hazardous and non-hazardous waste in the trans-boundary movement. Import of hazardous waste is ban. For import, export and transit of hazardous waste the permit of the Federal Ministry of Environment and Tourism is required. Priorities for action in the near future include preparing border control for the purpose of export/import/transit of hazardous waste and other waste and capacity-build- ing for customs officers. There is no a Basel Convention electronic system for transboundary movements, which could also improve coordination among the authorities involved. C.2. Stockholm Convention level of implementation: Bosnia and Herzegovina ratified the Stockholm Con- vention on 30 May 2010 and committed to meeting the requirements of the Convention. The main objective of the Convention is to take measures for the elimination or restriction or prevention of the production, import, export and use of all manufactured POPs and the continuous reduction to minimize the occurrence of these pollutants in the environment, and the elimination of emissions of unintentionally produced POPs. National Implementation Plan for the Stockholm Convention in Bosnia and Herze- govina was adopted in 2016. The NIP was developed between 2014 and 2016 within the project Enabling Activities to Facilitate Early Action on the Implementation of the Stockholm Convention on Persistent Organic Pollutants (POPs) in Bosnia and Her- zegovina, funded by the GEF and implemented by the United Nations Industrial Development Organization (UN- IDO). Bosnia and Herzegovina compliance with interna- tional commitments on chemicals management requires a strengthening of efforts towards coordination among all entities involved – more than 10 institutions at state and entity levels. NIP implementation will have to overcome the existing key challenges, namely, the lack of adequate legislation in the field of POP pesticides and discrepan- cy in the adoption of laws and by-laws in the Federation of Bosnia and Herzegovina, Republika Srpska and Brčko District, inadequate customs tariffs for the monitoring of imports of POP pesticides etc. C.3. Rotterdam Convention level of implementation: In 2007, Bosnia and Herzegovina ratified the Rotter- dam Convention on the Prior Informed Consent Pro - cedure for Certain Hazardous Chemicals and Pes- ticides in International Trade, which aims to promote shared responsibilities and cooperative efforts among Parties in the international trade of certain hazardous chemicals and pesticides in order to protect human health and the environment from potential harm and to contribute to the environmentally sound use of those chemicals, by facilitating exchange of information about their characteristics, defining the national decision-mak- ing processes on their import and export, and dissemi- nating these decisions to Parties. On the basis of the provisions of the Convention, Bosnia and Herzegovina has issued a decision on not accepting the import of all 10 POPs pesticides. The Plant Health Protection Administration of Bosnia and Herzegovina has been appointed, as a state level institution, for the coordi- nation of the Convention’s implementation in Bosnia and Herzegovina. The BiH's entity of Republika Srpska (RS) has put in place a legal and institutional framework to implement the Rotterdam Convention, which has proved it able to comply with the Convention’s requirements. Control of import and export of dangerous chemicals and biocides is performed on the basis of the Law on Chemicals and the Law on Biocides.
Combating Illegal movement hazardous substances and waste 70 C.4. Montreal Protocol level of implementation: Bosnia and Herzegovina became party to the Protocol on Substances that Deplete the Ozone Layer (Montreal Pro- tocol), by succession, in 1993. The country has acceded to all amendments, except for the very recent 2016 Kigali Amendment. Implementation of the Vienna Convention and Montreal Protocol is progressing well. The nation- al ozone-depleting-substances (ODS) phase-out plan to phase out chlorofluorocarbons (CFCs) was approved in 2003. The country has complied with zero consumption of CFCs since 2009. In 2012, the hydrochlorofluorocar- bons (HCFCs) phase-out management plan (HPMP) was approved. The complete phase-out of consumption of HCFCs was intended for 2035, with interim steps of a 92 per cent reduction by 2025 and a 97.5 per cent reduction by 2030. Several activities are foreseen for the coming years, such as updating legislation to include HCFCs in the customs tariff and classification of goods, initiating a new act for determining the border crossing points for ODS import/export with neighbouring countries and es- tablishing national codes of good practice in the refriger- ation and air conditioning sector. North Macedonia D.1. Basel Convention level of implementation: North Macedonia is Party to the Basel Convention ac- cording to the Law on the Ratification of the Basel Convention on the Control of Transboundary Move- ments of Hazardous Waste and their Disposal (Official Gazette of RM, 49/97). The control system of the Basel Convention (permits, notification and movement docu- ment) is applied by the provisions of the Law on Waste Management (“Official Gazette of RM”, No. 68/2004, 71/2004, 107/2007, 102/2008, 143/2008, 124/2010, 51/2011, 123/2012, 147/2013, 163/2013, 51/2015, 146/2015, 156/2015, 192/2015, 39/2016, 63/2016), and Rulebook on the Format and Content of Transboundary Movement of Hazardous Waste (“Official Gazette of RM”, No. 37/03 and 38/03). The Ministry of Environment and Physical Planning (Focal point - BC and CITES) is responsible for the implemen- tation of the Basel Convention as well as waste manage- ment information restoration of the polluted areas of the environment; proposing measures for treatment of solid waste; and other activities. Accordingly, through its implementation it is prohibited to import: 1) any waste for storage for disposal and dispos- al; and 2) hazardous waste mixed with non-hazardous waste or with other components that reduce harmfulness and hazardous characteristics of the waste. Waste that can safely be: 1) processed without risk of endangering the environment, life and health of people; 2) used as a raw material; 3) used as a source of energy, can instead be imported. D.2. Stockholm Convention level of implementation: Macedonia signed the Stockholm Convention on 23rd May 2001 and ratified it on March 19th, 2004. With the fund from the Global Environment Facility (GEF) and with the assistance of the United Nations Industrial De- velopment Organization, the Ministry of Environment and Physical Planning prepared the first NIP for North Mace- donia. The preparation took two years and the National POPs Office coordinated all the activities. The first part of this document summarizes the current status in North Macedonia with regards to POPs. This is the baseline inventory. The second part of the NIP de- tails all the actions which need to be undertaken in order to meet all the obligations of the Convention. Numerous projects aimed at the reduction and elimination of POPs were prepared, most of which were submitted as propos- als to several international financial institutions. A state- of-the-art facility that meets the highest safety standards was built and sophisticated technology was installed for the treatment of PCB-contaminated transformers, which is in compliance with BAT and best environmental prac- tices (BEP) principles.
71 Appendices D.3. Rotterdam Convention level of implementation: The Rotterdam Convention as of 12 August 2010 is one of the most recently ratified convention in North Macedo- nia in the area of chemicals management. All the prepara- tory work was done by the staff of the Ozone and POPs Unit due to its previous experience. In addition, the POPs Unit is a member of two regional forums/networks, name- ly the regional forum for reduction and elimination of unin- tentional POPs through the Application of Best Available Techniques (BAT) and Best Environmental Practice (BEP) in the Central and Eastern European and Central Asian countries and the regional project for “Capacity building for obsolete POPs and other organic pesticides”. The procedure of the Rotterdam Convention related to external trade in PCBs is the responsibility of the Minis- try of Environment and Physical Planning. The Chemicals Department of the Ministry of Health is responsible for management of hazardous substances, issuing permits for the importation and export of chemicals, and for in- volvement in the decisions on which chemicals are suit- able for marketing. The Ministry of Agriculture, Forestry and Water Economy is responsible for controlling the im- ports and exports of the group of pesticides listed in the Convention. It is responsible for issuing approvals for the importation of pesticides regulated by the Convention. D.4. Montreal Protocol level of implementation: The country ratified the Montreal Protocol on Substanc- es that Deplete the Ozone Layer in 1994 and its amend- ments, except the Kigali Amendment. The country’s ma- jor achievement is the limitation of ODSs, including the importation of hydrochlorofluorocarbons (HCFCs). No ODSs are produced in the country, so their consump- tion is equal to their importation. Annual consumption of ODSs, including HCFCs, in 2017 was zero. During a press conference on the matter, the competent Ministry stated that, as part of the Montreal Protocol North Mac- edonia had managed to eliminate 99% of the substanc- es depleting the ozone layer by implementing concrete investment projects emphasizing that the Ozone Layer Protection Office had a crucial role in regional coopera- tion on the matter. Macedonia is the first country that has developed a HCFC phase-out management plan, stemming from the model on the implementation of the Montreal Protocol. Sev- eral regulations have been implemented outlining clear and precise guidelines to address challenges during the HCFC elimination process in the country. Montenegro E.1. Basel Convention level of implementation: Montenegro became a signatory to the Basel Conven- tion by the right of succession by ratifying the Law on Ratification of Basel Convention on the Control of the Trans-boundary Movements of Hazardous Waste and their Disposal (Official Gazette of the Federal Republic of Yugoslavia, International Treaties, 2/99) on 23 Octo- ber 2006. According to the Law on Waste Management (Official Ga- zette of Montenegro 64/11, and 039/16), import of haz- ardous waste is ban. It is forbidden to import non-haz- ardous waste for the purpose of disposal and use as a fuel or otherwise for the production of energy. Export of non-hazardous waste may be carried out by a business company or an entrepreneur that is registered in the reg- ister of non-hazardous waste exporters. For import and transit of non-hazardous waste, export and transit of haz- ardous waste the permit of the Ministry of Sustainable Development and Tourism is required. For what concerns the implementation of the Basel Con- vention adequate domestic legal and institutional frame- work implementing were made complementing it as nec- essary to enable its enforcement (i.e. penalties in case of illegal traffic). Several training activities were held such as for instance integration of the Basel Convention in the national training or educational curricula of Customs, police, prosecutors, the judiciary and other enforcement entities and several f environmental units were establish- ment within enforcement entities.
Combating Illegal movement hazardous substances and waste 72 E.2. Stockholm Convention level of implementation: timeline of European integration in the area of environmental protection. The Law on Chemicals is partially harmonized with EU regulations - Regulation (EC) no. 1907/2006 on the Reg- istration, Evaluation, Authorization and Restriction of Chemicals ( REACH ); Regulation (EC) no. 1272/2008 on classification, labelling and packaging of substances and mixtures; Regulation (EC) no. 689/2008 concerning the export and import of dangerous chemicals; Regulation (EC) no. 648/2004 on detergents; Directive no. 2004/9/ EC on good laboratory practice. Montenegro has been a party to the Stockholm Con- vention on Persistent Organic Pollutants since 2011. The National Implementation Plan for this convention was adopted in November 2013 (and updated twice since). Montenegro is in the process of joining the EU, which has ratified the Stockholm Convention and UNECE POPs Protocol through the Regulation (EC) 850/2004 on POPs. The Regulation is in some parts stricter than the Stockholm Convention or the POPs Protocol. The NIP specifies actions in view of harmonizing with the Stockholm Convention. The strict- er provisions of the EU POPs Regulation required their transposal into the national legislation in line with the is intensively implementing the process of transposing European Union Directives and Regulations in all areas, including the very complex area of chemicals management, which represents a very important link in the negotiation Chapter 27. Although significant progress has been made, challenges still exist in the area of full implementation of the Rotterdam Convention, especially in the area of efficient exchange of information on trade in hazardous chemicals and waste, as well as timely submission of import decisions for chemicals from Annex III. Montenegro acceded to Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade in 2011. According to the Regulation on the organization and manner of work of public administration (OG 7/09), man- agement of chemicals was transferred to the jurisdiction of the Ministry of Sustainable Development and Tourism and the EPA. On such regard the 2012 Law on Chemicals was applied as of the 1 st of March 2013. Given its status as a candidate country, Montenegro is 42 * This designation is without prejudice to positions on status and is in line with UNSCR 1244/1999 and the ICJ Opinion on the Kosovo declaration of independence. Kosovo* as a non-UN member is not a Party of the Basel Convention on Transboundary Movement of Hazardous Waste and Their Disposal. According to the Law on En-vironmental Protection trade issues are regulated by the Law on Waste Management. The waste sector in Kosovo* is facing a growing chal-lenge related to the insufficient and inadequate infrastructure and its services. The existing disposal facilities, constructed during the years 2003-2006, are at the end of their capacity to store waste. There are no waste treat-ment facilities and recycling capacities are very low. The amount of waste generated is continuously increasing, while the waste management system and the existing in-frastructure are not providing adequate solutions to the growing problems. On 23rd October 2006 Montenegro ratified (by means of succession) the Montreal Protocol on substances that deplete the ozone layer and also four subsequent Amendments to the Montreal Protocol: London, Copenhagen, Montreal, Beijing. In 2019 Montenegro ratified the Kigali Amendment. The country phased out CFCs in 2010 under the Country Programme for phasing-out of ozone depleting substances and Terminal phase-out management plans for CFCs. Also within the HCFC Phase Out Management Plan- stage II (2020-2025) Montenegro achieved an accelerated reduction of consumption and total elimination of HCFCs by 2025, well ahead of the planned 2040 final year prescribed by the Protocol. As for HFCs, Montenegro adopted the Kigali Amendment Implementation Plan-Phase I, under which Montenegro committed to reduce HFC consumption by 10% until 2029 (compared to baseline years 2020-2022).
73 Appendices Appendix III - Main legal frameworks regulating Waste Management in the SEE countries. Albania Law No10463, dated 22.09.2011 “On integrated waste management”, as amended; DCM No.418, dated 27.05.2020 “On the approval of the strategic policy document and the national plan for integrated waste management,2020-2035” DCM No 765 dated 07.11.2012 “On approval of rules for separation, collection and treatment of used oils”; DCM No 117, dated 13.02.2013 “On the criteria ac- cording to which it is determined when certain types of scrap metal cease to be waste “, as amended; DCM No 229, dated 23.04.2014 “On approval of rules for the transfer of non-hazardous waste and information to be included in the document transfer “, as amended; DCM No 371, dated 11.06.2014 “On approval of rules for delivery of hazardous waste and their sub - mission document “, as amended; DCM No 418, dated 25.06.2014 “For the separate collection of waste at source”; DCM No 608, dated 17.09.2014 “On defining the measures necessary for the collection and treatment of bio-waste and the criteria and deadlines for reduc- ing them”; DCM No 641, dated 01.10.2014 “On approval of rules for waste export and transit of non- hazardous waste and inert waste “, as amended. DCM No 652, dated 14.09.2016 “On rules and crite- ria for waste tires management”. DCM No178, dated 06.03.2012 “On waste incinera- tion”. DCM No177, dated 06.03.2012 “On packaging waste ”, as amended. DCM No 452, dated 11.07.2012 “On landfill of waste”, as amended. DCM No 705, dated 10.10.2012 “On waste manage- ment of end of life vehicles”. DCM No 866, dated 4.12.2012 “On batteries, accu- mulators and their waste”. DCM No 957, dated 19.12.2012 “On waste of electri- cal and electronic equipment”. DCM No 387, dated 05.06.2015 “On the rules for controlling the disposal of PCB / PCT’s, removal of contamination or disposal of equipment containing PCB / PCT and / or disposal of used PCB / PCT waste” DCM No 687, dated 29.07.2015 “On approval of rules for maintaining, updating and publication of statistics on waste “, as amended. DCM no. 402, dated 30.06.2021 On the approval of the waste catalog ”. DCM no. 1189 dated 18.11.2009 “On the rules and procedures for the design and implementation of the national environmental monitoring program” Guideline no. 1738, dated 12.03.2015 “On de- sign-study criteria for the rehabilitation of urban solid waste landfills, as well as the construction of landfills or treatment plants for urban solid waste” Law no. 8216 dated 13.05.1997 “On the accession of the Republic of Albania to the Basel convention “On the control of trans boundary movements of hazardous waste and their disposal” DCM no. 442, dated 26.6.2019 “On the approval of the rules prohibiting the export of metallic mercury, certain mercury compounds and mixtures, the safe storage of metallic mercury and the specific criteria
Combating Illegal movement hazardous substances and waste 74 for the storage of metallic mercury considered as waste ”. DCM no. 660, dated 31.10.2018 “On the approval of the requirements for the management of scrap metals ”. DCM no. 319 dated 31.05.2018 “On the adoption of measures for the costs of integrated waste manage- ment ”. DCM no. 575 dated 24.06.2015 “On the approval of the requirements for the management of inert waste”. DCM no. 127 dated 11.02.2015 “On requirements for agricultural use of wastewater sludge ”. DCM no. 360 dated 29.05.2015 “For approving the list of sustainable organic pollutants and laying down measures for their production, importation, placing on the market and their use ”. DCM no. 798 dated 29.09.2010 “On the approval of the regulation “on hospital waste management ”. DCM no. 967 dated 25.10.2013 “On the manner of organization and functioning of the integrated waste management committee ”, as amended. DCM no. 1104 dated 28.12.2015 “For approving requirements for the prevention of waste discharge, created by ships and surpluses from cargo, at sea ”. Serbia Law on Ratification of the Basel Convention on the Control of Transboundary Movements of Hazardous Waste and their Disposal (OG of FRY – International Contracts, No. 2/99); L aw on Ratification of the Minamata Convention on Mercury (OG of the RS - International Agreements, No. 9/2024) Law on Environmental Protection (OG of RS, Nos. 135/04, 36/09 – Other Law, 72/09 – Other Law, 43/11 – Decision of the CC, 14/16, 76/18, and 95/18-Other law and 94/24-oth.law ) Law on Waste Management ("Official Gazette of RS" no. 109/2025) Law on Integrated Prevention and Control of Pollution (OG of the RS, no. 135/04, 25/15, and 109/2021) Law on Strategic Environmental Impact Assess-ment (OG of the RS, no. 94/2024) Rulebook on categories, testing and classification of waste (OG of the RS, No. 56/10, 93/19, 39/21 and 65/24 ); Law on Packaging and Packaging Waste (OG of RS, No. 36/09, 95/2018). Law on Control of Risks of Major Accidents Involving Hazardous Substances (OG of the RS, No. 94/2024) Rulebook on the form of the document on shipments of hazardous waste and guidelines for its completion (OG of RS, No. 72/09). Regulation on the Lists of Waste for TransboundaryMovement and Content of the DocumentsAccompanying Transboundary Movement of waste withInstruction for their completion (“Official Gazette of RS”,no. 19/26) The Rulebook on manner of storing, packing and labelling of hazardous waste (OG of RS, No. 95/24) Rulebook on conditions, methods and management procedures of waste oils (OG of the RS, No. 71/10); Rulebook on management of medical waste (OG of the RS, No. 110/25); Rulebook on handling asbestos-containing waste (OG of the RS, No. 75/10); Rulebook on used batteries and accumulators (OG of the RS, No. 86/10); Rulebook on method and management of end-of life vehicles (OG of the RS, 98/10); Rulebook on the list of electric and electronic products, measures of prohibition and restriction of use of electric and electronic equipment containing hazardous substances, methods and procedures of managing waste from electric and electronic prod-ucts (OG of the RS, 9 9/10); Rulebook on manner and procedure for management mercury-containing waste fluorescent lamps (Official Gazette of RS, No. 97/10); Rulebook on the method and procedure for waste tyres management (OG of RS, No. 104/09, 81/10); Rulebook on management of PCB-containing equip- ment and waste (OG of RS, No. 37/11);
75 Appendices Rulebook on list of POPs substances, ways and methods of POPs waste management and limit val-ues on concentrations of POPs substances related to waste disposal and which contains or is contami-nated with POPs substances (OG of RS, No. 65/11, 17/17); Rulebook on daily record keeping form and annual reports on waste management with instruction for its fulfilment (OG of RS, No. 7/20); Rulebook on the content of documentation submit-ted in support of the application for the permit for import, export and transit of waste (OG of RS, No. 60/09, 101/10, 48/17, 80/17, 98/17 and 38/18); Regulation on the waste lists for transboundary shipments, on the content and layout of documenta- tion that accompanies transboundary movement of waste with instructions for their completion (OG of RS, No. 60/09); Regulation on designating the types of hazardous waste that may be imported as secondary raw mate- rials (OG of RS, No. 60/09); Regulation on list of non-hazardous waste not requir- ing a permit, with the documentation accompanying transboundary movement (OG of RS, No. 102/10); Regulation on types of waste which undergo thermal treatment, the terms and criteria for the choice of location, technical and technological conditions for project planning, construction, equipping and operation of the facility for thermal treatment of waste, manner of handling the remaining waste after incineration (OG of RS, No. 102/10); Regulation on disposal of waste on landfills (OG of the RS, 92/10); Rulebook on the Manner of Keeping and the Appear- ance of Records on Landfills and Dumpsites in the Territory of a Local Self-government Unit (OG of RS, No. 18/18); Decree on the determination of the Packaging Waste Reduction Plan for the period from 2015 to 2018 (“Official Gazette of RS” No. 144/14); Decree on the Packaging Waste Reduction Plan for the period 2025–2029 (OG of the RS, No. 21/2025) Decree on waste lists for transboundary movement and the content and format of notification and movement documents accompanying transboundary waste shipments (OG of the RS, No. 19/2026). Rulebook on criteria for determination of packaging, with examples for application, and list of Serbian standards related to essential requirements for pack- aging to put to the market (“Official Gazette of RS”, No.70/09); Rulebook on Limit Values concentration of lead, cadmium, mercury and hexavalent chrome in pack- aging or in their components and exclusions market (“Official Gazette RS”, No.70/09); Rulebook on Content and Form of Report on Pack- aging and Packaging Waste (“Official Gazette of RS”, No. 21/10 and 10/13); Rulebook on the way of marking, abbreviations and symbols of the system of identification and marking of packaging materials (“Official Gazette of RS”, No.70/09); Rulebook on the type and annual amount of packag-ing used for packaged goods placed on the market for which the manufacturer, importer, packer/filler and the supplier is required to provide packag- ing waste management (“Official Gazette of RS”, No.70/09); Rulebook on the annual amount of packaging waste by categories that are sure to provide a space for takeover collecting, sorting and temporary storage (“Official Gazette of RS”, No. 70/09); Rulebook on the keeping of registers of permits issued for packaging waste management (“Official Gazette of RS”, No.66/09); Rulebook on chemicals for which the manufacturer or importer is obliged to determine the deposit for the individual packaging in which that chemical is located and the amount of the deposit for a particu-lar packaging according to the type of packaging or chemical placed therein (Official Gazette of RS, nos. 99/10).
Combating Illegal movement hazardous substances and waste 76 Bosnia and Herzegovina Decree on types of financial guarantees to ensure the transboundary movement of hazardous waste (Official Gazette of FBiH, No 41/05); Regulation regulating the obligation of reporting operators and waste producers on the implementa- tion of the programme monitoring, monitoring and keeping records according to the conditions of the license (Official Gazette of FBiH, No 31/06); Rules on animal waste and other non-hazardous ma- terials of natural origin that may be used for agricul- tural purposes (Official Gazette of FBiH, No 8/08); Ordinance on the management of medical waste (Official Gazette of the FBiH, No 77/08); Rulebook on transboundary waste transport (Official Gazette of FBiH, No 07/11); Law on Waste Management (Official Gazette of the Republika Srpska, No 111/13, No 106/15, No 2/2018, No 16/18, NO 70/2020, No 63/2021, No 65/2021); Law on Environmental Protection (Official Gazette of the Republika Srpska, No 71/12, No 79/15); Law on Communal Activities (Official Gazette of the Republika Srpska, No 124/11); Law on Communal Police (Official Gazette of the Republika Srpska, No 28/13); Decree on waste disposal (Official Gazette of the Republika Srpska, No 36/15); Decree on management of packaging and packaging waste (Official Gazette of the Republika Srpska, No 58/18); Decree on lists of waste and documents for trans- boundary movements of waste (Official Gazette of the Republika Srpska, No 86/15); Decree on Thermal Treatment of Waste (Official Ga- zette of the Republika Srpska, No 54/17); Rulebook on management of waste tires (Official Gazette of the Republika Srpska, No 20/12); Rulebook on form of request for issuing the permit for storage, treatment and disposal of waste permit (Official Gazette of the Republika Srpska, No 18/15); Law on Waste Management (OG F BiH, No 33/03,72/09, 92/17 , and 72/24); Rulebook on the form, content and procedure of informing about important characteristics of the product and packaging by the manufacturer (SN F BiH, No 08/08); Rules on packaging and packaging waste (OG F BiH, no. 88/11, 28/13, 103/16, and 84/17); Environmental Protection Strategy of FBiH (2008-2018); Decision on the ratification of the Convention on the Control of Transboundary Movements of Hazardous Waste and its Disposal (Official Gazette of BiH, No 31/00); Rulebook on categories of waste with lists (Official Gazette of FBiH, No 9/05); Rulebook on issuing a license for small business activities in waste management (Official Gazette of FBiH, No 9/05); Rulebook on the necessary conditions for the transfer of obligations from the manufacturer and the seller to the system operator for the collection of waste (Official Gazette of FBiH, No 9/05); Ordinance determining the treatment of hazardous waste that is not on the waste list or its contents re- sult as unknown (Official Gazette of FBiH, No 33/03); Ordinance on the content of a waste management adjustment plan for existing treatment plants or waste disposal and activities undertaken by the competent authority (Official Gazette of FBiH, No 9/05); Ordinance on the conditions for the operation of the waste incineration plant (Official Gazette of the FBiH, No 12/05); Regulation on financial and other guarantees to cover the cost of the risk of possible damage, clean-ing and procedures after the closure of the landfill (Official Gazette of FBiH, No 39/06); Decree on selective collection, packaging and label- ling of waste (Official Gazette of FBiH, No 38/06);
77 Appendices Rulebook on the categories, testing and classifi- cation of waste (Official Gazette of the Republika Srpska, No 19/15, No 79/18); Rulebook on form of document on waste movement and instructions for its completion (Official Gazette of the Republika Srpska, No 21/15); Rulebook on form of document on hazardous waste movement and instructions for its completion (Offi- cial Gazette of the Republika Srpska, No 21/15); Rulebook on content of measures programme with adjustment dynamics for existing landfill operation (Official Gazette of the Republika Srpska, No 41/15); Rulebook on content, form and manner of keeping the registry of issued waste management permits (Official Gazette of the Republika Srpska, No 43/15, No 14/18); Rulebook on the content and layout of waste man- agement permit (Official Gazette of the Republika Srpska, No 43/15); Rulebook on storage, packaging and labelling of hazardous waste (Official Gazette of the Republika Srpska, No 49/15); Rulebook on conditions and way of collection, trans- portation, storage and treatment of waste, which is used as secondary raw material or energy source (Official Gazette of the Republika Srpska, No 61/15); Rulebook on methodology and records of data collection on waste (Official Gazette of the Republika Srpska, No 71/15); Rulebook on general and specific documentation required for issuing the permit on import, export and transit of waste (Official Gazette of the Republika Srpska, No 5/16); Rulebook on management of waste containing asbestos (Official Gazette of the Republika Srpska, No 47/18); Rules on financial guarantees for insurance of trans- boundary movement of waste (Official Gazette of the Republika Srpska, No 86/05); Rules on medical waste management (Official Ga- zette of the Republika Srpska, No 90/06); V.2.3 Legal framework on Waste Management of Brčko District Law on Waste Management (Official Gazette of the Brčko District, No 25/04, No 1/05, No 19/07, No 2/08 and No 9/09); Development Strategy, Brčko District, 2016-2026; Rulebook on disposal of waste that is not on the list of hazardous waste and whose content is unknown (Official Gazette of the Brčko District, No 32/06); Rulebook on the content of the reconciliation plan for existing facilities and waste management facilities and activities carried out by authorized institutions (Official Gazette of the Brčko District, No 32/06); Rulebook on the conditions of transfer of responsibil- ity for waste management from producers and sell- ers to waste management operators (Official Gazette of the Brčko District, No 32/06); Rulebook on issuing licenses for small businesses within waste management (Official Gazette of the Brčko District, No 32/06); Rulebook on lists of waste categories (Official Ga- zette of the Brčko District, No 32/06); Rulebook on financial guarantees for the provision of cross-border transport of waste (Official Gazette of the Brčko District, No 32/06). North Macedonia Law on Waste Management (Official Gazette of The Republic of Macedonia no. 68/2004, 71/2004, 107/07, 102/08, 143/08, 124/10, 09/11; 51/11, 123/12, 147/13, 163/13, 51/15, 146/15, 156/15, 192/15, 39/16, 63/16); Rulebook on import, export and transit of waste (Official Gazette of The Republic of Macedonia no. 107/16); Rulebook on the form and content of the form of transboundary movement of hazardous waste (Offi- cial Gazette of The Republic of Macedonia no. 37/03, 38/03) List of waste (Official Gazette of The Republic of Macedonia no. 100/05);
Combating Illegal movement hazardous substances and waste 78 Rulebook on the format and the content of the Journal for records keeping on waste handling, the format and the content of the forms for waste iden- tification and transport, the format and the content of the form for the annual report on waste handling by legal entities and natural persons and the format and the content of the form for the annual report on waste handling by the mayor. (Official Gazette of The Republic of Macedonia no. 07/06, 68/14); Rulebook on the content and the manner of keeping records in the register for waste (Official Gazette of The Republic of Macedonia no.39/2009); Rulebook on form and the contents of the applica- tion for obtaining a license for processing, treatment and/or storing of waste, the form and the content of the license for waste processing, as well as the minimum technical conditions to perform the activity for processing, treatment and/or storing of waste (Official Gazette of The Republic of Macedonia no. 23/07, 122/08); Rulebook on the form and content of the permit for collecting and transporting urban and other types of non-hazardous waste, as well as the minimum technical requirements for performing the activity of collecting and transporting urban and other types of non- hazardous waste. (Official Gazette of The Republic of Macedonia no. 08/06, 76/07, 133/07); Rulebook on the form and content of license for transporting of hazardous waste (Official Gazette of The Republic of Macedonia no. 118/10); Rulebook on the form and content of the permit, requirement and register for issued permits for non-hazard waste trade, the manner and procedure for issuing the permit, manner of keeping records, as well as the conditions for non-hazard waste trade (Official Gazette of The Republic of Macedonia no. 115/07, 55/12, 41/13); Rulebook on the hazardous waste handling condi- tions, manner of packaging and labelling (Official Gazette of The Republic of Macedonia no. 15/2008); Rulebook on the manner of handling municipal and other type of non-hazard waste (Official Gazette of The Republic of Macedonia no. 147/07); Rulebook on the programme and ways to take the expert exam for Waste Manager, forms and certifi- cate, as well as the amount and ways to cover the compensation for taking the expert exam (Official Gazette of The Republic of Macedonia no.133/07, 39/09, 137/09); Rulebook on the way and conditions for the opera- tion of an integrated waste removal network (Official Gazette of The Republic of Macedonia no.7/06); Rulebook on minimum technical conditions which transfer stations have to meet in terms of environ- mental protection, as well as locations and waste deposit deadlines depending on different types of waste (Official Gazette of The Republic of Macedonia no.39/07); Rulebook on the ways and conditions for waste stor- age, as well as conditions needed to be fulfilled by the locations at which there is waste storage (Official Gazette of The Republic of Macedonia no.29/07); Law on mineral resources (Official Gazette of The Republic of Macedonia no 136/12, 25/13, 93/13, 44/14, 160/14, 129/15, 192/15, 39/16, 53/16, 120/16, 189/16); Law on the Environment (Official Gazette of The Re- public of Macedonia no. 53/05, 81/05, 24/07, 159/08, 83/09, 48/10, 124/10, 51/11, 123/12, 93/13, 187/13, 42/14, 44/15, 129/15, 192/15, 39/16, 99/18); Law for packaging and packaging waste manage- ment (Official Gazette of The Republic of Macedonia no.161/09, 17/11, 47/11, 136/2011, 6/2012, 39/2012, 163/2013, 146/2015); Rulebook on the form and content of the application for obtaining a licence for handling packaging waste (No. 35/12) Rulebook on the manner and conditions for exceed- ing the level of content of heavy metals in packaging, the manner of storing packaging and the contents of the records and report on the handling of packaging waste (No. 78/2011) Rulebook on the form and content of the forms for holding records on legal entities which are handling waste from packaging, producers or independent waste handlers for packaging, its forms for holding records as well as form and content of the registra- tion form for independent waste handling (Official Gazette of The Republic of Macedonia no.41/10); Rulebook on the conditions for packaging with long expiry dates, and the types of packaging which serve as indicators that a packaging is with long expiry
79 Appendices dates (Official Gazette of The Republic of Macedonia no.48/10); List of illustrative examples on packaging (Official Gazette of The Republic of Macedonia no.52/10); Rulebook on the numbering of abbreviations, on which the system for identification and marking of materials in based on, as well as the form and content on the label for packaging handling (Official Gazette of The Republic of Macedonia no.62/10); Rulebook on guidance, form and content of da- tabase and the information system for packaging and waste from packaging (Official Gazette of The Republic of Macedonia no.113/10); Rulebook on the form and the content of the form of the annual report on the type and the quantities of packaging placed on the market or imported in the in the previous calendar year and for handling packaging waste and for packaging waste handling, the form and the content of the form of production specification, the form and the content for keeping records for the total packaging placed on the market or imported, as well as the manner in which records are kept (Official Gazette of The Republic of Mace- donia no. 117/10, 184/11, 114/14); Law on management with batteries and accumula- tors and waste batteries and accumulators (Official Gazette of The Republic of Macedonia no. 140/10, 47/11, 148/11, 39/12, 163/13, 146/15, 39/16); Rulebook on the format and content of the appli- cation for issuance of a permit for handling waste batteries and accumulators (Official Gazette of The Republic of Macedonia No. 35/12) Rulebook on the form and content of the request for non-issuance of a licence for handling waste batteries and accumulators, i.e. for not submitting a decision refusing an application for issuing a licence for the operation of battery and accumulators (No. 3/2012) Rulebook on the form and content of the forms in the reports for quantities of collected waste batteries and accumulators, and the quantities of received, treated or recycled waste batteries and accumula- tors, as well as the ways for their preparation and submission (Official Gazette of The Republic of Macedonia no.167/10, 68/14); Rulebook on the form, content and the way to submit the request form for registration of producers that put batteries and accumulators on the market in Republic of Macedonia (Official Gazette of The Republic of Macedonia no.36/11, 111/14); Rulebook on the manner of labelling of batteries and accumulators and packaging of batteries, the form and content of the symbol for separate collection as well as the form and content of the chemical symbol for metals (No. 52/11); Rulebook on the form and content of the forms of the annual report on handling waste batteries and accumulators and the ways to submit the report, as well as the form and content of the forms for keeping records on quantities and types of batteries and accumulator placed on the market in the Republic of Macedonia (Official Gazette of The Republic of Macedonia no.167/10, 109/14). Law on Management of Electric and Electron- ic Equipment and Waste Electric and Electronic Equipment (Official Gazette of RM, No. 6/12, 163/13, 146/15, 39/16) List of types of products that belong to categories of electrical and electronic equipment (Official Gazette of The Republic of Macedonia, No. 133/12) Rulebook on the form and content of the request for non-issuance of a licence, i.e. failure to submit a decision refusing an application for issuing a licence for treatment of waste equipment (Official Gazette of The Republic of Macedonia, No. 38/12) Rulebook on the form and content of the label regarding the obligation for separate collection of waste equipment (Official Gazette of The Republic of Macedonia, No.77/12) Rulebook on the format and content of the applica- tion for registration of producers that place on the market or import electrical or electronic equipment as end users, the format and the content of the reg- ister of producers that place on the market or import electrical or electronic equipment as end users, the manner of its keeping and maintenance, as well as the format and content of the certificate for entry in the register (Official Gazette of The Republic of Mac- edonia, No. 133/12, 77/14) Rulebook on minimum requirements for separate treatment of waste equipment, materials and parts of waste equipment, as well as the minimum technical
Combating Illegal movement hazardous substances and waste 80 conditions for the storage and treatment of waste equipment to be fulfilled by an installation for the treatment of waste equipment (Official Ga- zette of The Republic of Macedonia, No. 9/13) Rulebook on the manner and conditions for handling polychlorinated biphenyls (PCBs), the manner and conditions which must be met by installations and objects for the disposal and decontamination of used PCBs, and the manner of labelling of equipment that contains PCBs (Official Gazette of The Republic of Macedonia ,No. 48/07, 130/09, 52/13, 78/14). Rulebook on handling asbestos waste and waste of asbestos-containing products (No. 89/06) E. Montenegro Law on Environmental Protection (Official Gazette of the Montenegro, No. 52/16) –LEP; Law on Waste Management (Official Gazette of the Montenegro, No. 064/11 and 039/16) – LWM; Rulebook on the Content of the Documentation Sub- mitted with Application for Import, Export and Transit Waste Permit, List of Waste Classification and Content and Manner of Registering Issued Permits (Official Gazette of the Montenegro, No. 83/16 and 76/17) – RCDS Rulebook; Decree on the Manner and Procedure for Establish- ing the System of Taking, Collecting and Processing of Waste Batteries and Accumulators and the Work of this System (Official Gazette of the Montenegro, No. 39/12 and 49/12)-BA Decree; Decree on the Manner and Procedure for Establish- ing the System of Taking, Collecting and Processing of Electrical and Electronic Products and the Work of this System (Official Gazette of the Montenegro, No. 24/12)-WEEE Decree; Decree on the Manner and Procedure for Establish- ing the System of Taking, Collecting and Processing of Packaging Waste and the Work of this System (Official Gazette of the Montenegro, No. 42/12)-PW Decree; Rulebook on value limit of Hazardous Materials that Exist in Electric and Electronic Products (Official Gazette of the Montenegro, No. 67/18) – ROHs Rulebook; Rulebook on the Manner of Waste Record Man- agement and the Content of Waste Transport Form (Official Gazette of the Montenegro, No. 50/12); Decree on the Specified Criteria, Amount and Man- ner of Paying Special Charge for Waste Management (“Official Gazette of the Montenegro “, No. 39/12). F. Kosovo 43 43 This designation is without prejudice to positions on status and is in line with UNSCR 1244/1999 and the ICJ Opinion on the Kosovo declaration of independence. Law on Waste Management (No. 04/L-060; Off. Ga- zette of RK No. 17/12); Administrative Instruction 15/12 on Landfill Manage- ment; Administrative Instruction 19/12 on Management of End-of-life Vehicles and their Components; Administrative Instruction 25/2014 on Waste Man- agement of Electrical and Electronic Equipment’s and Restrictions on Use of Hazardous Substances in Electrical and Electronic Equipment (No. 5749/14); Administrative Instruction 26/2014 on Waste Man- agement from Batteries and Accumulators (No. 5750/14); Administrative Instruction 27/2014 on Waste Man- agement of Packaging and Wrappings (No. 5811/14); Administrative Instruction 05/2015 on Management of PCB and PCT, PCB and PCT waste; Administrative Instruction 15/15 on waste manage- ment of fluorescent tubes containing mercury.
81 Appendices Appendix IV - Notification and Movement Documents Basel Convention All these documents are available at : https://www.basel.int/Procedures/NotificationMovementDocuments/ tabid/1327/Default.aspx#:~:text=Notification%20and%20Movement%20Documents&text=Such%20 notifications%20should%20contain%20the,sent%20to%20each%20State%20co ncerned.
Combating Illegal movement hazardous substances and waste 82
83 Appendices
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85 Appendices
Combating Illegal movement hazardous substances and waste 86 Appendix V- Rotterdam Convention listed chemicals The chemicals listed in Annex III include pesticides and industrial chemicals that have been banned or severely restricted for health or environmental reasons by two or more Parties and which the Conference of the Parties has decided to subject to the PIC procedure. As of August 2023, there are a total of 54 chemicals listed in Annex III, 35 pesticides (including 3 severely hazard- ous pesticide formulations), 18 industrial chemicals, and 1 chemical in both the pesticide and the industrial chem- ical categories. Further information about the chemicals and the asso- ciated Decision Guidance Documents can be found at: https://www.pic.int/TheConvention/Chemicals/An- nexIIIChemicals Chemical name CAS number** Category 2,4,5-T and its salts and esters 93-76-5 (*) Pesticide Alachlor 15972-60-8 Pesticide Aldicarb 116-06-3 Pesticide Aldrin 309-00-2 Pesticide Azinphos-methyl 86-50-0 Pesticide Binapacryl 485-31-4 Pesticide Captafol 2425-06-1 Pesticide Carbofuran 1563-66-2 Pesticide Chlordane 57-74-9 Pesticide Chlordimeform 6164-98-3 Pesticide Chlorobenzilate 510-15-6 Pesticide DDT 50-29-3 Pesticide Dieldrin 60-57-1 Pesticide Dinitro-ortho-cresol (DNOC) and its salts (such as ammonium salt, potassium salt and sodium salt) 534-52-1 Pesticide Dinoseb and its salts and esters 88-85-7 (*) Pesticide EDB (1,2-dibromoethane) 106-93-4 Pesticide Endosulfan 115-29-7 Pesticide Ethylene dichloride 107-06-2 Pesticide Ethylene oxide 75-21-8 Pesticide
87 Appendices Chemical name CAS number** Category Fluoroacetamide 640-19-7 Pesticide HCH (mixed isomers) 608-73-1 Pesticide Heptachlor 76-44-8 Pesticide Hexachlorobenzene 118-74-1 Pesticide Lindane (gamma-HCH) 58-89-9 Pesticide Mercury compounds, including inorganic mercury compounds, alkyl mercury compounds and alkyloxyalkyl and aryl mercury compounds 99-99-9 Pesticide Methamidophos 10265-92-6 Pesticide Monocrotophos 6923-22-4 Pesticide Parathion 56-38-2 Pesticide Pentachlorophenol and its salts and esters 87-86-5 (*) Pesticide Phorate 298-02-2 Pesticide Toxaphene (Camphechlor) 8001-35-2 Pesticide Tributyl tin compounds 1461-22-9, 1983-10-4, 2155-70-6, 24124-25-2, 4342-36-3, 56-35-9, 85409-17-2 Pesticide Trichlorfon 52-68-6 Pesticide Dustable powder formulations containing a combination of benomyl at or above 7%, carbofuran at or above 10% and thiram at or above 15% 137-26-8, 1563-66-2, 17804-35-2 Pesticide Formulation Methyl-parathion (Emulsifiable concentrates (EC) at or above 19.5% active ingredient and dusts at or above 1.5% active ingredient) 298-00-0 Pesticide Formulation Phosphamidon (Soluble liquid formulations of the substance that exceed 1000 g active ingredient/l) 13171-21-6 Pesticide Formulation Actinolite asbestos 77536-66-4 Industrial Amosite asbestos 12172-73-5 Industrial Anthophyllite asbestos 77536-67-5 Industrial Commercial octabromodiphenyl ether (including Hexabromodiphenyl ether and Heptabromodiphenyl ether) 36483-60-0, 68928-80-3 Industrial Commercial pentabromodiphenyl ether (including tetrabromodiphenyl ether and pentabromodiphenyl ether) 32534-81-9, 40088-47-9 Industrial Crocidolite asbestos 12001-28-4 Industrial Decabromodiphenyl ether (decaBDE) 1163-19-5 Industrial Hexabromocyclododecane 134237-50-6, 134237-51-7, 134237-52- 8, 25637-99-4, 3194-55-6 Industrial Perfluorooctane sulfonic acid, perfluorooctane sulfonates, perfluorooctane sulfonamides and perfluorooctane sulfonyls 1691-99-2, 1763-23-1, 24448-09-7, 251099-16-8, 2795-39-3, 29081-56-9, 29457-72-5, 307-35-7, 31506-32-8, 4151-50-2, 56773-42-3, 70225-14-8 Industrial
Combating Illegal movement hazardous substances and waste 88 Chemical name CAS number** Category Perfluorooctanoic acid (PFOA), its salts and PFOA- related compounds 335-67-1 Industrial Polybrominated Biphenyls (PBBs) 13654-09-6, 27858-07-7, 36355-01-8 Industrial Polychlorinated Biphenyls (PCBs) 1336-36-3 Industrial Polychlorinated Terphenyls (PCTs) 61788-33-8 Industrial Short-chain chlorinated paraffins (SCCP) 85535-84-8 Industrial Tetraethyl lead 78-00-2 Industrial Tetramethyl lead 75-74-1 Industrial Tremolite asbestos 77536-68-6 Industrial Tributyltin compounds 1461-22-9, 1983-10-4, 2155-70-6, 24124-25-2, 4342-36-3, 56-35-9, 85409-17-2 Industrial Tris(2,3-dibromopropyl) phosphate 126-72-7 Industrial * Only the CAS numbers of parent compounds are listed. For a list of other relevant CAS numbers, reference may be made to the relevant Decision Guidance Document. ** A CAS Registry Number is a unique identification number assigned by the Chemical Abstracts Service (CAS).