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Miljø- og Fødevareudvalget 2016-17
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Submission of the EU and its Member States presenting the table and

preliminary assessment pursuant to decision OEWG-VII/12

(environmentally sound dismantling of ships )

I/ INTRODUCTION

By decision IX/30 adopted at the 9th Conference of the Parties of Basel Convention,

the Open Ended Working Group was requested

"… to carry out a preliminary assessment of whether the ship recycling convention, as

adopted, establishes an equivalent level of control and enforcement as that established

under the Basel Convention, in their entirety, after having developed the criteria

necessary for such assessment, and, in doing so, to take into account:

(a) The special characteristics of ships and international shipping;

(b) The principles of the Basel Convention and the relevant decisions of the

Conference of the Parties;

appropriate"

On the 21 October 2009, the Council adopted conclusions on the EU Strategy for

better ship dismantling

and which, amongst other things:

ENDORSES the outcome of the International Maritime Organisation

Conference on Ship Recycling in May 2009 and the adoption of the Hong

Kong International Convention for the Safe and Environmentally Sound

Recycling of Ships (“Hong Kong Convention”);

UNDERLINES that the Hong Kong Convention, which represents a major

achievement for the international community, provides a comprehensive

system of control and enforcement from “cradle to grave”, and an important

step towards phasing out unsafe and environmentally harmful working

methods, including in relation to unsafe aspects of the current practise of so

called beaching of end of life ships.

ENCOURAGES strongly EU Member States to ratify the Hong Kong

Convention as a matter of priority so as to facilitate its entry into force as early

as possible and to generate a real and effective change on the ground.

http://www.consilium.europa.eu/uedocs/cms_data/docs/pressdata/en/envir/110626.pdf

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SUPPORTS the ongoing assessment of the level of control and enforcement

established by the Basel Convention and the Hong Kong Convention following

Decision IX/30 and other relevant decisions of the Conference of the Parties to

the Basel Convention.

3. During the 7th Open Ended Working Group, criteria and a specific table were agreed

upon and are annexed to decision OEWG VII/12 on environmentally sound

dismantling of ships. By the same decision, Parties and other relevant stakeholders,

were invited, based on these criteria, to review and complete the table annexed to the

decision.

I/ EU PRELIMINARY ASSESSMENT

4. The Basel Convention applies to all types of ships when they are waste and the

transboundary movement of ships that are waste. It takes into account the principle of

environmentally sound management and contains general provisions which aim to

ensure that the generation of hazardous waste and other wastes is reduced to a

minimum.

5. In comparison, the Hong Kong Convention covers the whole life cycle of ships of 500

GT and above

. Warships or government owned ships are excluded, although the

Convention does require Parties to ensure that excluded ships act in a manner

consistent with its requirements, so far as is reasonable and practical. The Hong Kong

Convention contains provisions which aim to ensure the safe and environmentally

sound recycling of ships and includes specific provisions addressing ships in their

design and construction phase, during their operation (including maintenance) and

during their recycling.

6. Under the Basel Convention, the original notification to competent authorities seeking

approval to the movement of waste, considering ship dismantling as an interim

operation, must identify any further facilities to which waste will be sent for its further

safe and environmentally sound management

7. As far as the further processing or disposal of waste resulting from the recycling of a

ship is concerned, the Hong Kong Convention requires that waste be transferred to

waste facilities authorised to deal with its treatment and disposal in a safe and

environmentally sound manner and requires that waste management and disposal sites

are identified for this purpose. Like the Basel Convention, the Hong Kong Convention

does not establish any system of control for such waste in the recycling state once it

leaves the Ship Recycling Facility but it is understood that Parties to the Basel

Convention would still need to comply with the requirements of that Convention to

ensure the environmental sound management of the waste.

Some control and enforcement elements in both the Basel Convention and the Hong

Kong Convention are different but serve nevertheless similar purposes:

a. Both instruments require the authorization of recycling facilities or of persons to

See article 3(1) of the Hong Kong Convention,.

Dismantling, including ship dismantling is considered as interim operation R12, according to EU legislation

(Directive 2008/98/EC).

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perform a recycling operation, respectively. The Basel Convention here does not

provide for specific requirements for authorization criteria and procedures although it

does emphasise the need for environmentally sound management and avoidance of

pollution.

In this context it is important to note that the Hong Kong Convention establishes safe

and environmentally sound treatment requirements for authorization. This goes

beyond

the

mere

requirement

ESM.

b. The documentary control (“PIC”) procedure for transboundary movements of

hazardous waste is at the core of the Basel Convention and is the means used to

approve any proposed movement. The Hong Kong Convention requires approval of

the ship recycling plan by the recycling State, its transmission to the Flag State and the

issuance of the International Ready for Recycling Certificate by the Flag State as the

procedure to approve a proposed movement of a ship going for dismantling.

c. Reporting obligations, which are found in both Conventions, constitute also an

element of control and enforcement. Regulatory enforcement against violations or

“illegal traffic” provisions can be found in both Conventions, as can the

communication of information from the recycling state to the Secretariat and the other

Parties of the respective Convention.

9. On the other hand, some elements are specific.

1. The concerned states are different in the Basel Convention (state of export,

state of import and state of transit) to those in the Hong Kong Convention

(flag state, port state and recycling state).

2. The surveys and certificates that under the Hong Kong Convention

accompany the ship throughout its operating lifetime until the recycling

phase, the controls on the installation or use of certain hazardous materials

on ships at design and maintenance stages and the likely port State

controls, do not exist as control and enforcement elements under the Basel

Convention.

3. Regarding documentary control, the Hong Kong Convention allows

recycling states to choose between explicit and tacit consent of the Ship

Recycling Plan, while the Basel Convention only foresees the possibility of

a written consent to a notification made under the "PIC" procedure

4. The Basel Convention contains provisions concerning the duty to re-import

or duty to make alternative arrangement in case of illegal shipment, but

there is no similar provision in the Hong Kong Convention

. However,

there may be practical difficulties in enforcing the Basel Convention

requirement while a ship is at sea

. It is also not clear how the provisions

in the Basel Convention could be practically applied once the dismantling

process has started.

Some streamlining is allowed e.g. by “general notification” provisions where hazardous wastes or other wastes

having the same physical and chemical characteristics are shipped regularly to the same disposer via the same

customs offices of exit and entry. In that case, the general notification and written consent may cover multiple

transboundary movements of hazardous wastes during a maximum period of 12 months.

The Hong Kong Convention does however contain a general obligation on Parties to take effective measures to

ensure compliance with its requirements (see article 4).

Where, contrary to the requirements of the Basel Convention, a ship leaves a port to make its final journey for

recycling without having notified its intentions to the relevant competent authorities, or without having received

the required consent for the movement.

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10. In conclusion, it may be said that the system of control and enforcement for

transboundary movements of hazardous waste through the Prior Informed Consent

Procedure of the Basel Convention is strict and functioning relatively well for most

hazardous wastes, but is difficult to enforce in relation to end-of-life ships. The Hong

Kong Convention takes a rather different approach to control and contains other

elements of control and enforcement which are more adapted to the specificities of the

maritime world.

11. As a preliminary assessment and taking a life cycle perspective, it can therefore be

concluded that the Hong Kong Convention appears to provide a level of control and

enforcement at least equivalent to that one provided by the Basel Convention for ships

which are waste under the Basel Convention and for ships to which the Hong Kong

Convention applies and to ships treated similarly pursuant to article 3(4) of this latter

Convention.

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TABLE OF COMPARAISON BETWEEN

ONG

ONG AND

ASEL

ONVENTIONS

Criteria

Scope and

applicability

What?

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

Basel Convention

Coverage of

Article 2

ships /

wastes

Hong Kong Convention

The Convention (article 3 (1)) applies to:

.1 ships entitled to fly the flag of a Party or operating under

its authority;

.2 Ship Recycling Facilities operating under the

jurisdiction of a Party.

Article 3

The Basel Convention applies to transboundary

movements of hazardous wastes and certain other

wastes, to domestic environmentally sound

management of waste, as well as wastes defined as

hazardous waste under national legislation. “Wastes”

in the sense of the Basel Convention are, according to

Article 2(1), substances or objects which are disposed

of or are intended or are required to be disposed of by

the provisions of national law.

This Convention does not apply (article 3 (2) and 3(3)) to:

- any warships, naval auxiliary, or other ships owned or

operated by a Party and used, for the time being, only on

government non-commercial service.

- ships of less than 500 GT or to ships operating throughout

A ship may become waste as defined in Article 2 of

the Basel Convention and, at the same time, it may be their life only in waters subject to the sovereignty or

jurisdiction of the State whose flag the ship is entitled to

defined as a ship under other international rules as

fly.

was stated in Decision VII/26 of the Conference of

the Parties to the Basel Convention.

However, each Party has to ensure, by the adoption of

appropriate measures, that such ships act in a manner

The Basel Convention does not exempt military or

other state-owned waste - ships - from its scope. All consistent with the Convention, so far as is reasonable and

practicable.

ships that are hazardous waste are covered

irrespective of size or type.

For user-friendliness this column has been divided into two sub-columns.

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Criteria

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

Coverage

Annexes I Article 2;

and

to III

Appendixe

identificatio

s 1 and 2

n of

hazardous

materials

The Hong Kong Convention establishes control measures

for the installation and use of certain hazardous materials

in new ships under this Convention and for existing ships

under other Conventions.

Article 2(9) defines ‘hazardous material’ as any material or

substance which is liable to create hazards to human health

and or the environment.

The installation and use of hazardous materials

listed in

Appendix 1 to the Hong Kong Convention is to be be

prohibited and/or restricted. New ships must have an

Annex III lists the characteristics that make wastes inventory of hazardous materials while, for existing ships,

hazardous.

this inventory must be developed within five years of the

Convention coming into force.

The Basel Convention applies to transboundary

movements of hazardous wastes and certain other

wastes.

Hazardous wastes are those which either fall in a

category listed in Annex I (unless they do not possess

characteristics listed in Annex III of the Convention)

or are in Annex II of the Convention or are hazardous

according to domestic legislation of the Party of

export, import or transit.

Appendix 2 of the Hong Kong Convention provides a

minimum list of substances which should be addressed in

the Inventory of Hazardous Materials.

When?

Manageme

nt of life

cycle of

ship?

Article 4

Article 2;

Regulation

Parties have to ensure that their domestic generation

The Convention provides a comprehensive system of

of hazardous waste and other wastes is reduced to a

control and enforcement from “cradle to grave” and relies

minimum, taking into account social, technological

in particular on the survey and certification of ships and the

and economic aspects (article 4(2)).

authorization of ship recycling facilities.

Parties have to ensure that waste are either treated

domestically or exported to facilities which will

ensure an environmentally sound management of the

hazardous wastes and other wastes.

The Hong Kong Convention has two main control and

enforcement features: i) controls applied to ships including

their design, construction, operation, maintenance and

repair that have effect throughout the ship's working life,

and ii) controls for the standards and operation of ship

“Management” as defined by the Convention recycling facilities.

comprises the collection, transport and disposal of

hazardous wastes or other wastes, including after-

Asbestos, ozone depleting substances, polychlorinated biphenyls (PCB), anti-fouling compounds and systems.

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Criteria

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

care of disposal sites.

Ships flying a Party's flag or operating under its authority

have to comply with the survey and certification

Parties ensure the availability of adequate disposal requirements. These are to be effective throughout the

facilities, for the environmentally sound management operating life of ships, i.e. from the design and

of hazardous wastes and other wastes, that persons construction stage to the phase of preparing for recycling.

involved in the management of hazardous wastes or

other wastes within it take such steps as are necessary When the ship comes to the end of its life a ship recycling

to prevent pollution due to hazardous wastes and plan must be prepared.

other wastes arising from such management and, if

such pollution occurs, to minimize the consequences Parties to the Hong Kong Convention have to prevent,

thereof for human health and the environment;

reduce, minimize and, to the extent practicable, eliminate

Parties 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, and is

conducted in a manner which will protect human

health and the environment against the adverse

effects which may result from such movement;

accidents, injuries and other adverse effects on human

health and the environment caused by ship recycling, and

enhance ship safety, protection of human health and the

environment throughout a ship’s operating life.

The definition of "Ship recycling" covers the complete or

partial dismantling of a ship at a Ship Recycling Facility in

order to recover components and materials for reprocessing

and re-use, whilst taking care of hazardous and other

materials, and includes associated operations such as

storage and treatment of components and materials on site,

but not their further processing or disposal in separate

facilities (article 2(10)).

According to Regulation 20(3), Ship Recycling Facilities

authorized by a Party shall provide for and ensure safe and

environmentally sound management of all Hazardous

Materials and wastes removed from the ship recycled at

that Ship Recycling Facility. Waste management and

disposal sites shall be identified to provide for the further

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Criteria

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

safe and environmentally sound management of materials.

Who?

Relationshi

p between

Party and

non-Party

Articles

and 11

4 Article 3;

As a general obligation (Article 4 (5)), a Party shall Article 3(4) of the Hong Kong convention introduces the

not permit hazardous wastes or other wastes to be principle of no more favourable treatment which is

Regulation

exported to a non-Party or to be imported from a non- understood as applying to:

Party.

non-Party ships going for recycling to Party

Appendix 1

recycling facilities;

However, article 11 allows Parties to enter into

bilateral, multilateral, or regional agreements or

non-Party ships visiting Party ports;

arrangements regarding transboundary movement of

non-Party ships undergoing repairs in Party repair

hazardous wastes or other wastes with Parties or non-

facilities (for example see Regulation 4.2 requiring

Parties provided that such agreements or

the restriction of installation of Appendix 1

arrangements do not derogate from the

materials on ships while in shipyards or ship repair

environmentally sound management of hazardous

yards of a Party).

wastes and other wastes as required by this

Convention. These agreements or arrangements shall

stipulate

provisions

which

are

not

less

environmentally sound than those provided for by

this Convention in particular taking into account the

interests of developing countries.

Where?

Jurisdiction

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Criteria

Control

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

Authorizati

Article 4

ons and

certification

Articles 5,

Authorization of recycling facilities is required under Article 5 of the Hong Kong Convention relates to

the Basel Convention by Article 4.7(a), which obliges requirements for ships. Ships flying a Party's flag or

Regulation

jurisdiction all persons from transporting or disposing survey and certification requirements. These are to be

s 8 and 15

of hazardous wastes or other wastes unless such effective throughout the operating life of ships, i.e. from

to 23

Parties to prohibit persons under its national operating under its authority have to comply with the

persons are authorised or allowed to perform such the design and construction stage to the phase of preparing

types of operations. The criteria and procedure for for recycling.

this are not prescribed.

The authorization of ship recycling facilities is provided

for in Article 6. Facilities must be are authorized in

accordance with the regulations annexed to the

Convention..

Regulation 15 provides for the institution of a control

mechanism which should include a mechanism for

authorization, inspection, monitoring and enforcement

provisions.

Regulation 16 establishes the procedure for the

authorization, where the procedural details would be

supplemented by Guidelines.

Regulation 17 sets out general requirements for the

recycling facilities, and Regulation 18 requires ship

recycling facilities to prepare a Recycling Facility

Management Plan.

Health and safety matters, such as the prevention of

accidents, emergency response and workers' safety

training, are covered in Regulations 19-23 and have to be

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Criteria

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

fulfilled in order for the recycling facility to be authorized.

Regulation 8(1)6 requires a ship, prior to any recycling

activity taking place, to be certified as “ready for

recycling” by the flag state Administration, or by a

Recognized Organization on the Administration's behalf.

Surveying,

auditing

and

inspection

Article 4

Parties, through the general obligations of Article 4,

Regulation

shall take appropriate legal, administrative and other

s 15 and 16

measures to implement and enforce the provisions of

the convention, including measures to prevent and

publish conduct in contravention of the Convention.

Parties can undertake joint inspections and exchange

programs at regional (IMPEL TFS) or international

(INECE) levels, whose main objective is to work

towards an adequate level of inspections.

Enforcement actions are focused on introducing

complete measures in order to prevent and detect

illegal waste shipments and to deter illegal waste

exporters, verifying waste destination and the

treatment at destination, setting up training and

exchange programmes for inspectors, and on

maintaining and improving the network and

collaboration of front line inspectors and other

competent authorities and enforcement partners by

exchange of information and knowledge.

It promotes the exchange of information and

experience and the development of greater

consistency of approach in the implementation,

application and enforcement of environmental

legislation in field of waste shipments and waste

Article 8;

The system of control and enforcement to be provided by

the Hong Kong Convention is considered in the broader

context of the IMO system as a whole that has a number of

mechanisms also providing control and enforcement.

The first broader element of control and enforcement is

that exercised through flag State responsibilities. This is

achieved mainly through survey and certification systems

(either directly by the flag State inspectors or by appointed

Recognized Organizations / classification societies). Apart

from the system of detailed surveys and certificates that

covers all ships at regular intervals, before the recycling

stage, flag states also carry out spot checks throughout the

operating life of ships flying their flag.

The second broader element of control and enforcement is

that exercised by port States. This is achieved through

inspection of ships entering the ports or offshore terminals

to determine whether such ships are complying with the

applicable conventions and IMO mandatory instruments. A

port State authority's report to a flag State Administration

enables the Administration to take appropriate action to

rectify shortfalls in ships. This can also lead to detentions

or prohibitions from returning to that port.

Most coastal States, moreover, have signed up to

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Criteria

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

management.

Those activities encourage and facilitate the

cooperation between environmental authorities,

customs, police and traffic inspectors as joint

enforcement actions are performed at borders, in

ports and on roads.

“Seaport project” carried out on both IMPEL TFS

and INECE level has been worldwide recognized as

efficient mechanism to detect and deter illegal

shipments of waste, with special emphasis on e-waste

Article 8 provides for inspections of ships to ensure that

trafficking.

they hold an inventory of hazardous materials or an

Another example of enforcement cooperation is International Ready for Recycling Certificate. More

operation “Demeter” targeting the illicit cross-border detailed inspections may be carried out where these

shipment of hazardous and other waste en route from certificates are not found.

Europe to countries in the Asia/Pacific region and

Parties are also required to

establish a mechanism for

Africa launched by Customs administration. They

ensuring that Ship Recycling Facilities comply with the

were supported by their national environmental

requirements of the Convention

including the

agencies, the Secretariat of the Basel Convention, the

establishment and effective use of inspection, monitoring

EU Network for Implementation and Enforcement of

and enforcement provisions, including powers of entry and

Environmental Law (IMPEL), and the seven WCO

sampling(Regulation 15(3)).

Regional Intelligence Liaison Offices (RILO).

When authorizing a Ship Recycling Facility, Competent

Authorities are required to verify documentation and carry

out a site inspection (Regulation 16).

Designation

Articles

and 5

competent

authorities/f

ocal points

Memoranda of Understanding (MoUs) on port State

control. These MoUs have developed their own rules and

procedures in order to define the way inspections are made,

and also to share the burden of control between their

members. In practice, over 40 States belong to the three

most advanced organisations for port State control (Paris

MoU, Tokyo MoU and USCG), with half a dozen other

MoUs in existence (Indian Ocean, for instance). Use of

these is gaining momentum as best practice becomes more

widely spread under the auspices of the IMO.

2 Regulation

Hong Kong Convention sets in place rights and obligations

for the Flag state, Recycling States and to Port States.

Each Party shall designate one or more Competent

Authorities and the single contact point to be used by the

competent authorities and one focal point to

Organization, Parties to this Convention and other

Basel Convention sets in place rights and obligations

for the State of export, the State of import and, if

applicable, to the transit States.

Parties shall

designate or establish one or more

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Criteria

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

facilitate the implementation of the Convention

interested entities, for matters related to Ship Recycling

(Article 5).

The "competent authority” is

Facilities operating within the jurisdiction of that Party

responsible, within such geographical areas as

(Regulation 15(4)).

the Party may think fit, for receiving the

notification of a transboundary movement of

hazardous wastes or other wastes, and any

information related to it, and for responding to

such a notification (Article 2).

Standards

(mandatory

voluntary)

Regulation

Standards of facilities are to be set in accordance with

s 3 and 19

the principle of ESM. It has been further elaborated that establish its own system of control and enforcement.

The provisions of this Convention are intended to be

to 22

through the development of a series of Technical

The Hong Kong Convention contains various provisions

holistic, covering health, safety and environmental issues

Guidelines adopted by the Parties to the Basel

in relation to shipping and ship recycling in one single

Convention published by its Secretariat.

document.

Regulation 3 requires Parties to take into account relevant

and applicable standards, recommendations and guidance

developed by ILO and Basel Convention.

Regulations 19 to 22 set a series of mandatory health and

safety standards such as the prevention of accidents,

emergency response and workers' safety training.

A series of technical guidelines supporting the Convention

will have to be taken into account by the Parties when

applying the Convention.

Ability to

Article 3, Regulation

prohibit

4; Decision s 9 and 16;

import/expo

III/1

Appendix 5

Parties are empowered by Article 4 of the

Convention to unilaterally establish import

prohibitions via their domestic legislation. Other

Parties shall take steps to ensure that they respect

such prohibitions by their own legislation. Many

countries have exercised this right.

The concepts of “import” and “export” are not directly

used in the Hong Kong Convention. However, Regulation

9 requires approval of a Ship Recycling Plan by the

Competent Authority authorizing the Ship Recycling

Facility before a ship is sent for recycling. This allows the

opportunity for the “importing” country to effectively

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Criteria

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

Article 3 lays down obligations of Parties to inform

each other - through the Secretariat of the Basel

Convention - about the decisions taken by them to

prohibit or limit the import or export of waste and

any accidents occurring during transboundary

movements of hazardous waste.

In 1995, the Basel Convention was amended by

Decision III/1 of the Conference of the Parties

prohibiting all transboundary movements of

hazardous wastes to all states which are not listed in

Annex VII, comprising members of the OECD, the

EC and Liechtenstein. This “Basel Ban Amendment”,

intends to protect developing countries from the high

environmental risks of hazardous waste being

shipped from developed countries and not being

managed in an environmentally sound manner at the

destination. The Ban Amendment has not yet entered

into force generally although it is given effect within

the EU.

Traceability

Articles

and

and 6

transparenc

y of

hazardous

materials

until final

treatment /

ultimate

disposal

refuse the import of a particular ship.

Furthermore,

Article 9 of the Convention allows Parties to dismiss from

their ports ships that are in breach of the Convention’s

requirements.

The Hong Kong Convention addresses the risks of

hazardous waste being shipped from developed to

developing countries by requiring the environmentally

sound management of end of life ships and the waste

arising from them.

Furthermore, facilities must comply with the requirements

of the Convention and be authorized as such by the

competent authority of the recycling state. The

authorization process offers the recycling state the

opportunity to prohibit or limit the import of ships

containing specific hazardous materials.

4 Regulation

Parties have to:

Ships have to develop and update an Inventory of

s 5, 9, 20

Hazardous Materials during the operating life of the ship.

- require information about a proposed movement be

and 25

Prior to recycling the Inventory shall, in addition

provided to the States concerned (export, import,

incorporate information about operationally generated

transit) and to state clearly the effects of the proposed

wastes and stores and be verified either by the

movement on human health and the environment

Administration or by any person or organization authorized

(Article 4(2)(f)) ,

by it (Regulation 5).

- waste shall be accompanied by a movement

A Ship Recycling Plan has to be developed by the Ship

document from the point at which the transfer

Recycling Facility(ies) prior to any recycling of each ship.

commences to the point of disposal ( Article 4(7)(c))

It has to include information concerning inter alia how the

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MOF, Alm.del - 2016-17 - Endeligt svar på spørgsmål 52: Spm. om en redegørelse om den verserende sag med ophugning af Mærsk-skibe på en indisk strand, til miljø- og fødevareministeren

Criteria

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

- this document should be signed by each person

who takes charge of the movement either upon

delivery or receipt The disposer has to inform both

the exporter and the competent authority of the State

of export of receipt by the disposer of the wastes in

question and, in due course, of the completion of

disposal as specified in the notification. If no such

information is received within the State of export, the

competent authority of the State of export or the

exporter shall so notify the State of import (Article

6(9)).

type and amount of materials including those identified in

the Inventory of Hazardous Materials will be managed

(Regulation 9)

Waste management and disposal sites shall be identified to

provide for the further safe and environmentally sound

management of materials (Regulation 20.3).

All wastes generated from the recycling activity shall be

only transferred to a waste management facility authorized

to deal with their treatment and disposal in a safe and

environmentally sound manner (Regulation 20.4)

When the partial or complete recycling of a ship is

completed, a Statement of Completion shall be issued by

the Ship Recycling Facility and reported to its Competent

Authority(ies) which have to send a copy of the Statement

to the Flag state administration that issued the International

Ready for Recycling Certificate for the ship.

The Statement shall be issued within 14 days of the date of

partial or completed Ship Recycling in accordance with the

Ship Recycling Plan and shall include a report on incidents

and accidents damaging human health and/or the

environment, if any (Regulation 25).

Prior

notification

and prior

consent

Article 6

Regulation

Article 6 of the Basel Convention sets out the main Regulations 24 and 25 in the Annex to the Convention

s 8, 9, 10,

provisions of the administrative control system that provide for reporting requirements that relate to

24 and 25

applies to legitimate transboundary movements of notification of and information about the recycling of an

hazardous waste. Every generator of hazardous waste

wishing to export it is required to provide notification

of the proposed transboundary movement of

hazardous waste in writing, through the channel of

the “competent authority” of the State of export, to

individual ship.

The shipowner is obliged to notify his flag State

Administration in writing of the intention to recycle a ship.

This enables the flag State Administration to prepare the

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MOF, Alm.del - 2016-17 - Endeligt svar på spørgsmål 52: Spm. om en redegørelse om den verserende sag med ophugning af Mærsk-skibe på en indisk strand, til miljø- og fødevareministeren

Criteria

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

the competent authorities in the State of import, and

to any transit States . The State of export shall not

allow transboundary movement to commence until it

has received the explicit written consent of the State

of import and confirmation of the existence of a

contract between the exporter and the disposer. Prior

written consent by the State(s) of transit is also

necessary, unless that Party has informed the other

Parties of the Convention that it renounces this

requirement. The export may then proceed if the

State of transit does not respond within 60 days after

receiving the notification (“tacit consent”).

survey and certification required by the Convention

(including the Inventory of Hazardous Materials and the

International Ready for Recycling Certificate).

Regulation 8(1)6 requires a ship, prior to any recycling

activity taking place, to be certified as “ready for

recycling” by the flag state Administration, or by a

Recognized Organization on the Administration's behalf.

Regulation 9 provides for the development of a Ship

Recycling Plan by the recycling facility taking into account

information provided by the shipowner prior to any

recycling taking place.

This Ship Recycling Plan has to be approved (explicitly or

Any transboundary movement of hazardous wastes tacitly) by the Competent Authority authorizing the Ship

shall be covered by insurance, bond or other Recycling Facility.

guarantee as may be required by the State of import

Once approved the Ship Recycling Plan be made available

or any transit State.

for inspection by the Flag State Administration (Regulation

It should be noted that “consent” under the Basel 9 (5)). During the final survey prior to the ship being taken

Convention does not always require written consent out of service and before the recycling of the ship has

in all circumstances. (Some streamlining is allowed started, the flag state shall verify that the Ship Recycling

e.g. by “general notification” provisions where Plan properly reflects the information contained in the

hazardous wastes or other wastes having the same Inventory of Hazardous Materials and contains information

physical and chemical characteristics are shipped concerning the establishment, maintenance and monitoring

regularly to the same disposer via the same customs of Safe-for-entry and Safe-for-hot work conditions

offices of exit and entry. In that case, the general (Regulation 10 (4)).

notification and written consent may cover multiple

transboundary movements of hazardous wastes

Some streamlining is allowed e.g. by “general notification” provisions where hazardous wastes or other wastes having the same physical and chemical characteristics are

shipped regularly to the same disposer via the same customs offices of exit and entry. In that case, the general notification and written consent may cover multiple

transboundary movements of hazardous wastes during a maximum period of 12 months.

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MOF, Alm.del - 2016-17 - Endeligt svar på spørgsmål 52: Spm. om en redegørelse om den verserende sag med ophugning af Mærsk-skibe på en indisk strand, til miljø- og fødevareministeren

Criteria

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

during a maximum period of 12 months.)

Regulation 24(1) requires ship owners to

administrations of the intention to recycle a ship.

notify

Regulation 24(2) requires a ship recycling facility to notify

its competent authorities of its intent to accept a ship for

recycling.

Certificatio

n of

disposal/sta

tement of

completion

of ship

recycling

Article 6

Regulation

The disposer has to inform both the exporter and the

competent authority of the State of export of receipt

by the disposer of the wastes in question and, in due

course, of the completion of disposal as specified in

the notification. If no such information is received

within the State of export, the competent authority of

the State of export or the exporter shall so notify the

State of import (Article 6(9))

A “statement of completion” is to be issued by the

recycling facility, when the partial or complete recycling of

a ship is completed in accordance with the Convention.

This Statement of Completion shall be issued by the Ship

Recycling Facility and reported to its Competent

Authority(ies) which have to send a copy of the Statement

to the Flag state that issued the International Ready for

Recycling Certificate .

The Statement shall be issued within 14 days of the date of

partial or completed Ship Recycling in accordance with the

Ship Recycling Plan and shall include a report on incidents

and accidents damaging human health and/or the

environment, if any (Regulation 25).

[Other

control

mechanisms

]

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MOF, Alm.del - 2016-17 - Endeligt svar på spørgsmål 52: Spm. om en redegørelse om den verserende sag med ophugning af Mærsk-skibe på en indisk strand, til miljø- og fødevareministeren

Criteria

Enforcemen

Illegal

shipments,

violations

and

sanctioning,

including

criminalizat

ion, of

illegal

traffic

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

Articles 4, Articles 9, Article 4 of the Basel Convention (paragraphs 3 and

9 and 19 10 and 12 4) establishes that illegal traffic in hazardous wastes

or other wastes is criminal and requires each Party to

take appropriate legal, administrative and other

measures to implement and enforce the provisions of

the Convention, including measures to prevent and

punish conduct in contravention of the Convention.

In particular, Parties, through the general obligations

of Article 4, may establish national legislation

including creation of “competent authorities”. These

authorities enforce the requirements and administer

the notification and consent procedure.

Article 9 of the Hong Kong Convention deals with

detection of violations and action to be taken in this case,

and requires Parties to cooperate. It foresees investigations

to be undertaken at ports and empowers Parties to warn,

detain, dismiss or exclude a ship from their ports as a result

of the findings. Where sufficient evidence exists that a ship

recycling facility operates in violation of the Convention,

the Party with jurisdiction over it should make an

inspection and report about the findings.

Article 10 of the Hong Kong Convention obliges Parties to

prohibit violations and establish sanctions through

domestic legislation. Furthermore, the competent

authorities are required to investigate alleged violations,

Article 9 of the Basel Convention determines those

take proceedings according to the law and inform the Party

actions that are deemed to be illegal traffic in

that reported the violation about the action it has taken or

hazardous waste. This includes transboundary

the reasons for not taking action. Sanctions shall be

movements of hazardous waste made without

“adequate in severity to discourage violations of this

notification or consent as described above. Parties are

Convention whenever they occur”.

required to introduce domestic legislation to prevent

and punish illegal waste traffic.

Under Article 12, each Party must report to IMO violations

of this Convention.

Article 19 provides for circumstances where a Party

has reason to believe that another Party is acting or

has acted in breach of its obligations under the

Convention. It may - apart from informing that Party

of the allegations - inform the Secretariat, and the

Secretariat should submit all relevant information to

the other Parties.

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MOF, Alm.del - 2016-17 - Endeligt svar på spørgsmål 52: Spm. om en redegørelse om den verserende sag med ophugning af Mærsk-skibe på en indisk strand, til miljø- og fødevareministeren

Criteria

Dispute

settlement

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

Article 20 Article 14 Settlement of disputes is addressed in article 20 of the

Convention. Parties shall seek a settlement of the

dispute through negotiation or any other peaceful

means of their own choice. If the concerned Parties

cannot settle their dispute or if they agree to do so,

shall be submitted to the International Court of

Justice or to arbitration under the conditions set out in

Annex VI on Arbitration.

Article 9

Further under Article 9, if the illegality is the result of

conduct on the part of the waste exporter or

generator, the State of export is obliged to ensure that

the wastes in question are taken back by the exporter

or generator or, if necessary, to do this itself. If such

take-back is impracticable, the wastes have to be

disposed of or otherwise treated in an

environmentally sound manner. In other cases, the

importer, disposer or the State of import are

responsible for the environmentally sound disposal of

the waste, or this has to be ensured by cooperation of

the authorities concerned.

Settlement of disputes is addressed in article 14 of the

Convention. Parties shall settle any dispute by negotiation

or any other peaceful means agreed upon by them, which

may include enquiry, mediation, conciliation, arbitration,

judicial settlement, or resort to regional agencies or

arrangements.

Duty to re-

import

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MOF, Alm.del - 2016-17 - Endeligt svar på spørgsmål 52: Spm. om en redegørelse om den verserende sag med ophugning af Mærsk-skibe på en indisk strand, til miljø- og fødevareministeren

Criteria

Exchange of

information

by Parties /

cooperation

and

coordination

Access to

and

disseminati

on of

information

, e.g.,

administrat

ive,

enforcemen

emergency

matters

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

Articles 3, Articles 7

4, 5, 10

and 12;

and 13

Regulatio

ns 23 and

Ship Recycling Facilities authorized by a Party shall report

to the Competent Authority(ies) any incident, accident,

occupational diseases, or chronic effects causing, or with

the potential of causing, risks to workers safety, human

health and the environment. Reports shall contain a

description of the incident, accident, occupational disease,

Parties shall co-operate in activities with other Parties or chronic effect, its cause, the response action taken and

and interested organizations, directly and through the the consequences and corrective actions to be taken

Secretariat, including the dissemination of

(Regulation 23).

information on the transboundary movement of

hazardous wastes and other wastes, in order to

The Statement of completion shall include a report on

improve the environmentally sound management of

incidents and accidents damaging human health and/or the

such wastes and to achieve the prevention of illegal

environment, if any (Regulation 25).

traffic (Article 4(2)(h)).

For the Ship Recycling Facilities authorized by a Party,

Upon request, Parties have to make available

such Party shall provide to the Organization, if requested,

information, whether on a bilateral or multilateral

and to those Parties which request it, relevant information,

basis, with a view to promoting the environmentally in regard to this Convention, on which its decision for

sound management of hazardous wastes and other

authorization was based. The information shall be

wastes, including harmonization of technical

exchanged in a swift and timely manner (Article 7).

The Basel Convention provides for transmission of

various kinds of relevant information by Parties to

other Parties and the Secretariat. Articles 3, 5 and 13

lay down obligations of Parties to inform each other -

mostly through the Secretariat of the Basel

Convention - about their national focal points and

competent authorities, the national definition of

hazardous waste, decisions taken by them to prohibit

or limit the import or export of waste and any

accidents occurring during transboundary movements

of hazardous waste.

Each Party shall report to the Organization and the

Organization shall disseminate, as appropriate, notably

information concerning violations of this Convention; and

actions taken towards ships and Ship Recycling Facilities

under the jurisdiction of that Party (Article 12).

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MOF, Alm.del - 2016-17 - Endeligt svar på spørgsmål 52: Spm. om en redegørelse om den verserende sag med ophugning af Mærsk-skibe på en indisk strand, til miljø- og fødevareministeren

Criteria

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

standards and practices for the adequate management

of hazardous wastes and other wastes (Article

10(2)(a)).

The Parties shall, whenever it comes to their

knowledge, ensure that, in the case of an accident

occurring during the transboundary movement of

hazardous wastes or other wastes or their disposal,

which are likely to present risks to human health and

the environment in other States, those States are

immediately informed (Article 13)

Reporting

obligations

Article13

Articles 7 The Basel Convention provides for transmission of

and 12

various kinds of relevant information by Parties to

other Parties and the Secretariat. Article 13 lay down

obligations of Parties to inform each other - mostly

through the Secretariat of the Basel Convention -

about their national focal points and competent

authorities, the national definition of hazardous

waste, decisions taken by them to prohibit or limit the

import or export of waste and any accidents

occurring during transboundary movements of

hazardous waste.

Article 13(3) of the Basel Convention also places

regular reporting obligations on Parties. Parties are to

report annually, through the Secretariat, to the

Conference of the Parties on the amount of hazardous

waste exports and imports, disposals which did not

proceed as intended, efforts to reduce the amount of

hazardous waste, implementation measures and other

relevant matters.

Parties are required by Article 12 of the Hong Kong

Convention to submit to the IMO a list of authorized

recycling facilities, annual lists of ships that are recycled

within the jurisdiction of each Party, details of competent

authorities and recognized organizations authorized on

behalf of the Party, and information on violations of the

Convention and actions taken towards ships and recycling

facilities. The IMO has to make these data available to

other Parties. Article 7 of the Convention also obliges

recycling State Parties to provide, on request of other

Parties or the IMO, relevant information on which its

decision for the authorisation of a recycling facility was

based.

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MOF, Alm.del - 2016-17 - Endeligt svar på spørgsmål 52: Spm. om en redegørelse om den verserende sag med ophugning af Mærsk-skibe på en indisk strand, til miljø- og fødevareministeren

Criteria

Transmissio

n of

information

regarding

import /

export

restrictions

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

Articles 4

and 13

Parties are empowered by Article 4 of the

Convention to unilaterally establish import

prohibitions via their domestic legislation. Other

Parties shall take steps to ensure that they respect

such prohibitions by their own legislation.

The Basel Convention provides for transmission of

this information to other Parties and the Secretariat

via the reporting obligations in Article 13.

Among

Parties to

advance

ESM,

through

information

exchange

and

technical

assistance

and

capacity-bu

ilding on

best

practices,

technical

guidelines,

monitoring

and public

awareness

Article

10;

Decision

VI/12

Article 13 Parties have to co-operate with each other in order to

improve and achieve environmentally sound

management of hazardous wastes and other wastes

(Article 10). To this end, they have to:

- make available information

to promote the

environmentally sound management of hazardous

wastes and other wastes, including harmonization of

technical standards and practices,

Parties undertake to provide support, directly or through

the Organization and other international bodies, to Parties

which request technical assistance: to train personnel, to

ensure the availability of relevant technology, equipment

and facilities, to initiate joint research and development

programmes; and to undertake other actions aimed at the

effective implementation of the Convention and its

technical guidelines.

Parties have to co-operate actively in the transfer of

- cooperate in monitoring the effects of the

management systems and technology in respect of the safe

management of hazardous wastes on human health

and environmentally sound recycling of ships (Article 13).

and the environment, in the development and

implementation of new environmentally sound low-

waste technologies and the improvement of existing

technologies, in the transfer of technology and

management systems related to the environmentally

sound management of hazardous wastes and other

wastes and in developing the technical capacity

among Parties;

and in the development of

appropriate technical guidelines and/or codes of

practice..

Decision (VI/12) of the Conference of the Parties in

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MOF, Alm.del - 2016-17 - Endeligt svar på spørgsmål 52: Spm. om en redegørelse om den verserende sag med ophugning af Mærsk-skibe på en indisk strand, til miljø- og fødevareministeren

Criteria

Basel

Convention

Hong Kong

Convention

Comments to facilitate a preliminary assessment of equivalent level of control and enforcement

2002, set up a Mechanism for Promoting

Implementation and Compliance. The Committee is

to assist Parties to comply with the Convention’s

obligations.

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