LECTURE 4B – HAZARDOUS WASTE POST-DETECTION

TRAINING WORKSHOPON ENVIRONMENTALLY REGULATED SUBSTANCES

LECTURE 4B: POST-DETECTIONOVERVIEW

Documenting and reporting results of inspection

Evidence collection

Return of illegal waste shipments

Prosecution

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DOCUMENTING INSPECTION RESULTS 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

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EVIDENCE

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

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TYPES OF EVIDENCE

Testimonial

Documentary

Demonstrative

Real

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TESTIMONIAL EVIDENCE

Reported sense impressions and opinions “I smelled”, “I saw”, “I heard”

Interview “The importer said…”

Witness testimony

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J. Braun

DOCUMENTARY EVIDENCE

Field notes

Documents Shipping papers Consent notices Manuals/Procedures/Protocols Inspection reports Sample results

Obtained by field instrumentation Obtained by laboratory analysis

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NEMA-EANECE

DEMONSTRATIVE EVIDENCE

Other evidence to clarify or explain:

Photographs

Maps

Flow charts

Diagrams

etc.8

REAL EVIDENCE

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Samples Container or label Object or item

Profepa

CompressorsCathode-ray tubes

Ozone-depleting substance

PROPER 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)

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FORMS What forms should you use to document hazardous

waste detection?

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EVIDENCE CHECKLIST  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

WHAT 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

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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 uncertain Importer/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

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STEPS IN THE DECISION TREE #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

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STEPS IN THE DECISION TREE #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

STEPS IN THE DECISION TREE #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.

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STEPS IN THE DECISION TREE #4

Determine possible sanction (e.g. warning letter, penalty or prosecution)

Communicate outcome to involved parties

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PROSECUTION AND PENALTIES

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