1. Overview of the Basel Convention and Basel Protocol: History and Goals Laura Thompson Legal Expert Secretariat of the Basel Convention Regional Workshop Aimed at Promoting Ratification of the Basel Protocol on Liability and Compensation for Damage resulting from Transboundary Movements of Hazardous Wastes and their Disposal Warsaw, Poland 18 – 20 January 2006

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

3. The Basel Convention Adopted in 1989 Entered into force on 5 May 1992
166 Parties to the Convention (as at 15 January 2006)

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

5. Mechanisms for Achieving this Goal
The control of the transboundary movement of hazardous wastes and other wastes
Environmentally sound management (ESM) of hazardous wastes and other wastes
The prohibition to export wastes to non-Parties to the Convention unless bilateral, multilateral, or regional agreements or arrangements with non-Parties stipulate provisions which are not less environmentally sound than those provided for by the Convention

6. Control of Transboundary Movements 1
The State of Export must notify the State of intended disposal (“State of Import”) and any States through which the shipment is intended to pass (“State of Transit”) (Art. 6 (1)).
The notification must contain detailed information regarding the proposed shipment (Annex V A).

7. Control of Transboundary Movements 2
The shipment can only commence:
upon receipt of the written consent to the specific transboundary movement of the State of Import and Transit (Arts. 4(1)(c), 6(3)(a) and 6(4))
upon confirmation of the existence of a contract with a disposer specifying ESM of the wastes (Art. 6(3)(b))

8. Control of Transboundary Movements 3
The shipment must at all times be accompanied by a Movement Document, from the point at which a transboundary movement commences to the point of disposal, giving detailed information on the shipment (Arts 4(7)(c), Annex V B).
This document must be signed by each person who takes charge of the wastes (Art. 6(9)).

9. Control of Transboundary Movements 4
The disposer must confirm receipt of the wastes, and the completion of disposal in accordance with the information contained in the notification (Art. 6(9))
When a transboundary movement cannot be completed in accordance with the terms of the contract, the State of Export shall ensure that the wastes in question are taken back into the State of Export, by the exporter, if alternative arrangements cannot be made for their disposal in an environmentally sound manner, within the deadline established by Article 9 of the Convention (Art. 8)

10. Control of Transboundary Movements 5
Shipments made without following the procedures (e.g. without consent) are illegal (Art. 9)
Illegal traffic is criminal (Art. 4(3))

11. Environmentally Sound Management 1
ESM means taking all practicable steps to ensure that wastes are managed in a manner which will protect human health and the environment against the adverse effects which may result from such wastes (Article 2 (8))

12. Environmentally sound management 2
Parties must, inter alia:
Ensure that the transboundary movement of hazardous wastes and other wastes is reduced to the minimum consistent with the environmentally sound and efficient management of such wastes (Art. 4(2)(d))
Prevent the import of hazardous wastes and other wastes if it has reason to believe that the wastes in question will not be managed in an environmentally sound manner (Art. 4(2)(g))
Allow the export only when the State of Export does not have the technical capacity and the necessary facilities, capacity or suitable disposal sites to dispose of the wastes in question in an environmentally sound and efficient manner (Art. 4(9)(a))

13. The Basel Protocol on Liability and Compensation for Damage resulting from Transboundary Movements of Hazardous Wastes and Their Disposal

14. The Basel Protocol on Liability
Responding to the concerns of developing countries regarding limited financial and technical capacity to respond to and address cases of illegal dumping or accidental spills of hazardous wastes

15. Article 12 of the Basel Convention
The Parties shall co-operate with a view to adopting, as soon as practicable, a protocol setting out appropriate rules and procedures in the field of liability and compensation for damage resulting from the transboundary movement and disposal of hazardous wastes and other wastes

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

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

18. History of the Protocol 1
March 1989 Conference of Plenipotentiaries (which adopted the Convention) adopted Resolution 3 which established a working group to develop elements which might be included in a Protocol on Liability and Compensation.

19. History of the Protocol 2
December 1992 COP 1 (Decision I/5): The elements developed by the Working Group established pursuant to Resolution 3 were presented to COP 1. COP 1 decided to establish an ad hoc working group to consider and develop a draft Protocol on Liability.
September 1993 – The Ad-hoc Working Group of Legal and Technical Experts to Consider and Develop a Draft Protocol on Liability and Compensation began meeting, pursuant to Decision I/5. The Ad hoc Working Group held 10 meetings.
March 1994 COP 2 (Decision II/1), September 1995 COP 3 (Decision III/2), February 1998 COP 4 (Decision IV/19) – Extended the mandate of the working group
10 December 1999 COP 5 – Adopted the Protocol on Liability and Compensation

20. The Basel Protocol Today
As at 15 January 2006, 13 signatories and 7 ratifications
Hungary and the Former Yugoslav Republic of Macedonia
Denmark, Finland, France, Luxembourg, Monaco, Sweden, United Kingdom of Great Britain and Northern Ireland
13 more ratifications are required for entry into force

21. For Further Information
Visit the Basel Convention’s Website: