1. L ECTURE 4 B – H AZARDOUS W ASTE P OST -D ETECTION T RAINING WORKSHOP ON ENVIRONMENTALLY REGULATED SUBSTANCES

2. L ECTURE 4 B : P OST - DETECTION O VERVIEW Documenting and reporting results of inspection Evidence collection Return of illegal waste shipments Prosecution 2

3. D OCUMENTING I NSPECTION R ESULTS Document! Document! Document! Record and photograph (if possible) Original seal Opening of container Unloading container Contents of container Reloading container New container seal Record names and contact information for responsible staff 3

4. E VIDENCE If you plan to pursue any legal actions relating to a shipment, good evidence collection and management is critical for success. Good evidence can answer: Who What Where When Why How 4

5. T YPES OF EVIDENCE Testimonial Documentary Demonstrative Real 5

6. T ESTIMONIAL E VIDENCE Reported sense impressions and opinions “I smelled”, “I saw”, “I heard” Interview “The importer said…” Witness testimony 6 J. Braun

7. D OCUMENTARY EVIDENCE Field notes Documents Shipping papers Consent notices Manuals/Procedures/Protocols Inspection reports Sample results Obtained by field instrumentation Obtained by laboratory analysis 7 NEMA-EANECE

8. D EMONSTRATIVE EVIDENCE Other evidence to clarify or explain: Photographs Maps Flow charts Diagrams etc. 8

9. R EAL EVIDENCE 9 Samples Container or label Object or item Profepa Compressors Cathode-ray tubes Ozone-depleting substance

10. P ROPER HANDLING OF EVIDENCE Need to maintain and document chain of custody of evidence Evidence is “in custody” when: it is in actual possession and control of officer; it is in officer’s view; or it is in storage place where only officer and identified others have access. Be able to show who handled and had access to evidence (documentation) Make good evidence handling a habit Always follow established protocols or procedures (or explain why not) 10

11. F ORMS What forms should you use to document hazardous waste detection? 11

12. E VIDENCE C HECKLIST  Copies of relevant documents:  Customs documents  Bill of lading  Invoices  Contract  Packing list  Safety data sheets  Test certificates  Photos of the load  Analyses  Terms for delivery  Reports of interviews with involved actors 12

13. W HAT IS WASTE TAKEBACK ? Exporter or state of export responsible for taking back shipments of waste determined to be illegal Authority for takeback given under Basel Convention 13

14. Detect illegal waste Detain the waste Move to secure & safe storage/inspection area Gather evidence Determine where the waste was exported from & who is responsible for the illegal transboundary movement Inform your CA and/or Basel Focal Point Exporter/generator or uncertainImporter/disposer CA of import sends written takeback request to CA of export, with evidence CA of export agrees with takeback and sends written response to CA of import CA of import informs CA of export (and of transit) about the details of the return shipment CA of export ensures that waste is indeed sent back and disposed of in an environmentally sound manner CA of import arranges for disposal or recovery of the waste in an environmentally sound manner Determine possible sanction Communicate outcome to involved parties Decision Tree Overview 14

15. S TEPS IN THE D ECISION T REE #1 Detect, detail, inspect shipment and record evidence Determine where waste was exported from & who is responsible for illegal transboundary movement Inform your Competent Authority and/or Basel Focal Point If importer or disposer is responsible, Competent Authority of import arranges for disposal or recovery of waste in an environmentally sound manner 15

16. S TEPS IN THE D ECISION T REE #2 If Exporter/Generator is responsible or if responsibility is uncertain, Competent Authority of import sends written take back request to Competent Authority of export, including evidence Competent Authority of export agrees with take back and sends written response to Competent Authority of import (see next slide) Competent Authority of import informs Competent Authority of export (and of transit) about details of return shipment Competent Authority of export ensures that waste is indeed sent back and disposed of in an environmentally sound manner 16

17. S TEPS IN THE D ECISION T REE #3 If Competent Authority of export does not agree with the take back, then Competent Authority of import can: Pursue communication at different levels (operational and political). Contact Secretariat of the Basel Convention. Article 20 of Convention provides procedure for settlement of disputes if no agreement can be reached. Alternately, CA can bring case to the attention of Implementation and Compliance Committee under the Basel Convention, which can assist Parties in complying with their obligations under the Convention. 17

18. S TEPS IN THE D ECISION T REE #4 Determine possible sanction (e.g. warning letter, penalty or prosecution) Communicate outcome to involved parties 18

19. P ROSECUTION AND P ENALTIES Relevant national legislation gives guidance on penalty options Civil or administrative means Criminal prosecution Enforcement response options: Warning Fine Prosecution Penalty should be proportional to scale of crime or misdemeanor Quantity of waste, relative risk of hazard, deliberate or accidental mislabeling, frequency of violation 19