1 UNITED NATIONS BC UNEP/CHW.10/18 Distr.: General 11 July 2011 Original: English Conference of the Parties to the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal Tenth meeting Cartagena, Colombia, October 2011 Item 3 (c) (vii) of the provisional agenda Matters related to the implementation of the Convention: legal, compliance and governance matters: environmentally sound dismantling of ships Environmentally sound dismantling of ships Note by the Secretariat Introduction 1. By its decision IX/30, on dismantling of ships, the Conference of the Parties to the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal requested the Open-ended Working Group to carry out a preliminary assessment on 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, 1 after having developed the criteria necessary for such assessment ; and to transmit the results of the assessment to the Conference of the Parties at its tenth meeting for consideration and action, as appropriate. It also requested the Secretariat, among other things, to continue to follow the development of the ship recycling convention and to report thereon to the Open-ended Working Group at its seventh session and to the Conference of the Parties at its tenth meeting. 2. By the same decision, the Conference of the Parties welcomed the development of implementation programmes relating to sustainable ship recycling and requested the Secretariat, subject to the availability of funding, to continue its work and to develop further the programmes for sustainable ship recycling in conjunction with other bodies, in particular the International Maritime Organization (IMO) and the International Labour Organization, and to report thereon to the Open-ended Working Group at its seventh session for its consideration and for the Open-ended Working Group to report thereon to the Conference of the Parties at its tenth meeting. It also called upon all parties and other stakeholders in a position to do so to make financial or in kind contributions to the implementation of activities under the relevant programmes. K UNEP/CHW.10/1. 1 Editors note: This wording, as it appears here and elsewhere in the present note, is taken verbatim from the text of decision IX/30 and has not been edited.
2 I. Implementation A. Hong Kong International Convention for the Safe and Environmentally Sound Recycling of Ships 3. As requested by the Conference of the Parties, decision IX/30 was submitted to the International Marine Organization for consideration by the Marine Environment Protection Committee at its fifty-eighth session (6 10 October 2008). 4. The Hong Kong International Convention for the Safe and Environmentally Sound Recycling of Ships was adopted at the International Conference on the Safe and Environmentally Sound Recycling of Ships held in Hong Kong, China, from 11 to 15 May Information on this matter was made available to the Open-ended Working Group at its seventh session in document UNEP/CHW/OEWG/7/INF/ At its seventh session, the Open-ended Working Group developed a set of criteria and by its decision OEWG-VII/12 it considered those criteria, as set out in the annex to that decision, to be an appropriate basis for further work to implement decision IX/30. It also invited parties and relevant stakeholders, based on those criteria, to review and complete the table set out in the annex to the decision and to provide, by 15 April 2011, a preliminary assessment of whether the Hong Kong Convention establishes an equivalent level of control and enforcement as that established under the Basel Convention, in their entirety. It also requested the Secretariat to compile and synthesize the completed tables and to publish those and the preliminary assessments by 15 June 2011 on the Convention website. 6. Two parties and five other relevant stakeholders submitted their tables and/or preliminary assessments to the Secretariat. The information received has been reproduced in document UNEP/CHW.10/INF/ Pursuant to decision OEWG-VII/12, the Secretariat published the tables and preliminary assessments on the Convention website, and compiled and synthesized the completed tables received. The synthesis is set out in the annex to the present note. 8. The Secretariat attended the fifty-eighth (6 10 October 2008), fifty-ninth (13 17 July 2009), sixtieth (22 26 March 2010), sixty-first (27 September 1 October 2010) and sixty-second (11 15 July 2011) sessions of the Marine Environment Protection Committee. The report of the Committee s sixty-second session will be made available in document UNEP/CHW.10/INF/19. The Committee is developing guidelines to support the implementation of the Hong Kong Convention, two of which (guidelines for the development of the inventory of hazardous materials and guidelines for the development of the ship recycling plan) have already been adopted. The remaining guidelines, including those for safe and environmentally sound ship recycling, are scheduled for adoption in B. International cooperation on the environmentally sound dismantling of ships II. 9. In response to a request from Pakistan for capacity-building assistance, the Secretariat organized a workshop on ship recycling technology and knowledge transfer in Turkey in July 2010 in collaboration with the Government of Turkey and the Ship Recyclers Association of Turkey and with financial support from the Governments of the Netherlands, Norway and the United Kingdom of Great Britain and Northern Ireland. 10. Studies are under way on the development of model facilities for ship recycling and cost-effective alternatives to the beaching method of ship recycling with financial support from the European Commission. Guidance and training materials are being developed on meeting the provisions of the Hong Kong Convention, including a downstream assessment of Basel Convention requirements, with financial support from Norway. Details of the capacity-building activities are set out in document UNEP/CHW.10/INF/28. Proposed action A. Hong Kong International Convention for the Safe and Environmentally Sound Recycling of Ships 11. The Conference of the Parties may wish to consider the information provided in the present note on the progress made towards the implementation of decision IX/30 and to take action as appropriate. 2
3 B. International cooperation and technical assistance activities on the environmentally sound management of ship dismantling UNEP/CHW.10/ The Conference of the Parties may wish to adopt a decision along the following lines: The Conference of the Parties, Recalling its decision IX/30, 1. Underlines the importance of continued inter-agency cooperation between the International Labour Organization, the International Maritime Organization and the Basel Convention on issues related to ship dismantling, as appropriate; 2. Welcomes the development of implementation programmes relating to sustainable ship recycling; 3. Calls upon all parties and other stakeholders in a position to do so to make financial or in kind contributions to the implementation of activities under the relevant programmes relating to sustainable ship recycling; 4. Requests the Secretariat, subject to the availability of funding, to continue its work and to develop further the programmes for sustainable ship recycling in conjunction with other bodies, in particular the International Maritime Organization and the International Labour Organization, and to report thereon to the Conference of the Parties at its eleventh meeting. 3
4 Annex 4 Synthesis of the completed tables received from parties and other stakeholders pursuant to decision OEWG-VII/12 1. Below is a synthesis of the comments submitted by parties and other stakeholders pursuant to decision OEWG-VII/12 to facilitate a preliminary assessment of whether the Hong Kong Convention establishes an equivalent level of control and enforcement as that established under the Basel Convention, in their entirety. For reasons of economy, the synthesis is limited to comments recurring in submissions made by several parties and other stakeholders. All the comments are available in the compilation of tables and preliminary assessments set out in document UNEP/CHW.10/INF/18. I. Scope and applicability A. What? Coverage of ships/wastes 2. The Basel Convention applies to transboundary movements of hazardous and certain other wastes. Wastes as defined by Article 2 of the Convention are substances or objects which are disposed of or are intended or are required to be disposed of by the provisions of national law. By decision VII/26, the Conference of the Parties noted that a ship may become waste as defined in Article 2 of the Convention and that at the same time it may be defined as a ship under other international rules. Unlike the Hong Kong Convention, the Basel Convention does not exclude military or other State-owned waste (ships) from its scope. All ships that are hazardous waste are covered irrespective of size or type. 3. The Hong Kong Convention applies both to ships entitled to fly the flag of a party or operating under its authority and to ship recycling facilities operating under the jurisdiction of a party. It excludes some types of ships from its scope, including warships and State-owned ships, ships of less than 500 GT, and ships operating throughout their life only in waters subject to the sovereignty or jurisdiction of the State whose flag the ship is entitled to fly. The Convention provides, however, that each party is to ensure, through the adoption of appropriate measures, that such ships act in a manner consistent with the Convention, as far as is reasonable and practicable. B. What? Coverage and identification of hazardous materials 4. The Basel Convention covers specific listed hazardous and other wastes together with hazardous wastes as defined by the national law of a party. 5. The Hong Kong Convention defines hazardous material as any material or substance that is liable to create hazards to human health and the environment. The installation and use of specific hazardous materials is to be prohibited and/or restricted. New ships must have an inventory of hazardous materials while, for existing ships, this inventory must be developed within five years of the Convention entering into force. The Hong Kong Convention does not include certain wastes covered by the Basel Convention that have been identified in the Basel Convention technical guidelines related to ship dismantling. C. When? Management of the life cycle of ships 6. The Basel Convention requires parties to minimize the generation of hazardous wastes and their transboundary movements, ensuring that such wastes are either treated domestically or exported to facilities that will ensure their environmentally sound management. 2 The Convention also requires each party to take the appropriate measures to ensure the availability of adequate disposal facilities for the environmentally sound management of hazardous and other wastes; persons involved in the management of hazardous or other wastes within it to take such steps as are necessary to prevent pollution due to hazardous and other wastes arising from such management and, if such pollution occurs, to minimize the consequences thereof for human health and the environment. 7. The Hong Kong Convention provides a system of control and enforcement from the beginning to the end of the life cycle of ships and relies in particular on the survey and certification of ships and the authorization of ship recycling facilities. The Convention s two main control and enforcement features are controls applied to ships, including their design, construction, operation, maintenance and repair, that have effect throughout the ship s working life and controls for the standards and operation of ship recycling facilities, including requirements that recycling be performed in an environmentally 2 Management comprises the collection, transport and disposal of hazardous and other wastes.
5 sound manner, along with worker safety standards and pollution prevention requirements. The Convention does not set standards for downstream disposal facilities as the definition of ship recycling excludes the processing of components and materials after removal and disposal in separate facilities. D. Who? Relationship between party and non-party 8. Article 4 of the Basel Convention provides that a party is not to permit hazardous or other wastes to be exported to a non-party or to be imported from a non-party. Article 11, however, permits parties to enter into bilateral, multilateral or regional agreements or arrangements regarding transboundary movement of hazardous or other wastes with parties or non-parties provided that such agreements or arrangements do not derogate from the environmentally sound management of hazardous and other wastes as required by the Convention and that those agreements or arrangements stipulate provisions that are not less environmentally sound than those provided for by the Convention, in particular taking into account the interests of developing countries. 9. The principle of no more favourable treatment, which is understood as applying to non-party ships going for recycling to party recycling facilities, non-party ships visiting party ports, and non-party ships undergoing repairs in party repair facilities, is introduced in paragraph 4 of Article 3 of the Hong Kong Convention. E. Where? Jurisdiction II. 10. The Basel Convention regulates the transboundary movement of wastes from the State of export through any transit States to the State of import. 11. Jurisdiction under the Hong Kong Convention applies to the flag State of the ship, or other authority under which the ship is operating, any port States that are parties, and the State of the ship recycling facility. Control A. Authorizations and certifications 12. The authorization of recycling facilities is required under the Basel Convention by paragraph 7 (a) of Article 4, which states that each party is to prohibit all persons under its national jurisdiction from transporting or disposing of hazardous or other wastes unless such persons are authorized or allowed to perform such types of operations. The criteria and procedure for the authorization are not specifically prescribed in the Convention. 13. The Hong Kong Convention provides that the administration of the flag State is responsible for surveying and certifying a ship as ready for recycling, while the recycling State is responsible for authorizing the ship recycling facility as compliant with the standards set by the Convention. Specific requirements for authorizing ship recycling facilities will not be clear until the voluntary guidelines thereon, which are currently being developed, are adopted. The Convention does not regulate facilities or installations for the subsequent processing and disposal of waste. B. Surveying, auditing and inspection 14. Parties to the Basel Convention, through the general obligations set out in Article 4, are 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. Parties can undertake joint inspections and exchange programmes at the regional or international levels, the main objective being to achieve an adequate level of inspections. 15. The Hong Kong Convention specifically provides for the surveying and inspection of both ships and ship recycling facilities. Ships are ineligible for recycling if they have not been surveyed and inspected, and facilities cannot be authorized to recycle ships if not inspected. C. Designation of competent authorities and focal points 16. The Basel Convention sets forth the rights and obligations of States of export, States of import and, if applicable, transit States. It provides that the parties are to designate or establish one or more competent authorities and one focal point to facilitate the implementation of the Convention. The competent authority is responsible, within such geographical areas as the party may think fit, for receiving the notification of a transboundary movement of hazardous or other wastes, and any information related to it, and for responding to such a notification. 5
6 6 17. The Hong Kong Convention provides that the competent authority designated by a party is responsible for receiving notifications of proposed transboundary movements of hazardous wastes from ship recycling facilities under its jurisdiction, approving a draft ship recycling plan before recycling can begin and notifying the administration upon completion of recycling. D. Standards (mandatory or voluntary) 18. Under the Basel Convention, standards of facilities are to be set in accordance with the principle of environmentally sound management, which has been further elaborated through the development of a series of technical guidelines adopted by the Conference of the Parties to the Basel Convention and published by its Secretariat. 19. The Hong Kong Convention sets forth various provisions that establish its own system of control and enforcement. Regulation 3 requires parties to take into account relevant and applicable standards, recommendations and guidance developed by the International Labour Organization and the Basel Convention. Regulations set forth a series of mandatory health and safety standards related to the prevention of accidents, emergency response and workers safety training. Technical guidelines supporting the Convention will have to be taken into account by the parties when applying the Convention. E. Ability to prohibit import/export 20. Parties are empowered by Article 4 of the Basel Convention unilaterally to establish import prohibitions via their domestic legislation, which provides that other parties are to take steps to ensure that they respect such prohibitions by their own legislation. Article 13 sets forth the obligations of parties to inform one another, through the Secretariat, about decisions taken by them to prohibit or limit the import or export of wastes and any accidents occurring during transboundary movements of hazardous waste. 21. While the concepts of import and export are not referred to directly in the Hong Kong Convention, it provides that recycling cannot proceed without approval of a ship recycling plan by the recycling State and issuance of what is known as an International Ready for Recycling Certificate by the flag State. The provisions allow either State to prohibit the recycling of a ship. F. Traceability and transparency of hazardous materials until final treatment/ultimate disposal 22. Under the Basel Convention, parties are required to provide information to the States concerned ( States concerned means parties that are States of export or import, or transit States, whether or not parties) regarding any proposed movement of hazardous waste and its effects on human health and the environment. The wastes are then to be accompanied by a movement document, to be signed by each person who takes charge of the movement either upon delivery or receipt, from the point at which the transfer begins to the point of disposal. 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. 23. The Hong Kong Convention requires each ship to have an inventory of hazardous materials, which is updated periodically. A ship recycling facility must identify in the recycling plan for each ship how all the hazardous materials identified in the inventory will be handled. Waste management and disposal sites must be identified to provide for the further safe and environmentally sound management of materials. 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 or authorities, which must send a copy of the statement to the flag State administration that issued the International Ready for Recycling Certificate for the ship. G. Prior notification and prior consent 24. Article 6 of the Basel Convention sets out the main provisions of the administrative control system that applies to legitimate transboundary movements of hazardous wastes. 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 the competent authorities in the State of import, and to any transit States. The State of export must not allow a transboundary movement to begin 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 or States of transit is also necessary, unless that party has informed the other parties to the Convention that it has renounced that requirement. The export may then proceed if the State of transit does not respond within 60 days after receiving the
7 notification. A general notification may be used for a period of 12 months when hazardous wastes or other wastes having the same physical and chemical characteristics are shipped regularly to the same disposer. 25. Several regulations under the Hong Kong Convention establish a notification and consent procedure. Regulations 24 and 25 provide for reporting requirements that relate to notification of and information about the recycling of an individual ship. Ship owners are obliged to notify their flag State administration in writing of the intention to recycle a ship. This enables the flag State administration to prepare the survey and certification required by the Convention including the inventory of hazardous materials and the International Ready for Recycling Certificate. Regulation 8.6 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 ship owner prior to any recycling taking place. This ship recycling plan has to be approved (explicitly or tacitly) by the competent authority authorizing the ship recycling facility. Once approved, the ship recycling plan is to be made available for inspection by the flag State administration (Regulation 9.5). During the final survey before the ship is taken out of service and before the recycling of the ship has begun, the flag State is to verify that the ship recycling plan properly reflects the information recorded in the inventory of hazardous materials and provides information concerning the establishment, maintenance and monitoring of safe-for-entry and safe-for-hot work conditions (Regulation 10.4). H. Certification of disposal/statement of completion of ship recycling III. 26. Under the Basel Convention, 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 must so notify the State of import (paragraph 9 of Article 6). 27. Under Regulation 25 of the Hong Kong Convention, 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 is to be issued by the ship recycling facility and reported to its competent authority or authorities, which have to send a copy of the statement to the flag State that issued the International Ready for Recycling Certificate. The statement is to be issued within 14 days of the date of partial or completed ship recycling in accordance with the ship recycling plan and include a report on incidents and accidents damaging human health and/or the environment, if any. Enforcement A. Illegal shipments, violations and sanctioning, including criminalization, of illegal traffic 28. Article 4 of the Basel Convention 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. Article 9 of the Convention determines those actions that are deemed to be illegal traffic in hazardous waste. This includes transboundary movements of hazardous wastes made without notification or consent. Parties are required to introduce domestic legislation to prevent and punish illegal traffic in wastes. 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. 29. 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 undertake an inspection and report on the findings. Article 10 of the Convention obliges parties to prohibit violations and establish sanctions through domestic legislation. Furthermore, the competent authorities are required to investigate alleged violations, take proceedings according to the law and inform the party that reported the violation about the action that it has taken or the reasons for not taking action. Sanctions are to be 7
8 8 adequate in severity to discourage violations of the Convention whenever they occur. Under Article 12, each party must report to IMO violations of the Convention. B. Dispute settlement 30. Settlement of disputes is considered in Article 20 of the Basel Convention. Parties are to 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 and if they agree to do so, the dispute will be submitted to the International Court of Justice or to arbitration under the conditions set out in Annex VI, on arbitration, to the Convention. 31. Settlement of disputes is considered in Article 14 of the Hong Kong Convention. Parties are to 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. C. Duty to re-import IV. 32. Under Article 9 of the Basel Convention, in a case in which a transboundary movement of hazardous wastes or other wastes is deemed to be illegal traffic as the result of conduct on the part of the exporter or generator, the State of export is to ensure that the wastes in question are taken back by the exporter or the generator or, if necessary, by itself into the State of export, or, if impracticable, are otherwise disposed of in accordance with the provisions of the Convention. In the case of a transboundary movement deemed to be illegal traffic as the result of conduct on the part of the importer or disposer, the State of import is to ensure that the wastes in question are disposed of in an environmentally sound manner by the importer or disposer or, if necessary, by itself. To this end, the parties concerned are to cooperate, as necessary, in the disposal of the wastes in an environmentally sound manner. 33. The Hong Kong Convention has no comparable provision, although it does permit a party to exclude from its ports a ship found to be in violation of the Convention. In such a circumstance, the flag State would be immediately notified of the exclusion. Exchange of information by parties/cooperation and coordination A. Access to and dissemination of information, e.g., administrative, enforcement, emergency matters 34. Both the Basel and Hong Kong conventions allow for exchange of information on enforcement and administrative matters. B. Reporting obligations 35. The Basel Convention provides for transmission of various kinds of relevant information by parties to other parties and the Secretariat. Article 13 lay down the obligations of parties to inform one another, through the Secretariat, about their national focal points and competent authorities, the national definition of hazardous wastes, decisions taken by them to prohibit or limit the import or export of wastes and any accidents occurring during transboundary movements of hazardous wastes. Paragraph 3 of Article 13 of the 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 that did not proceed as intended, efforts to reduce the amount of hazardous wastes, implementation measures and other relevant matters. 36. Parties are required by Article 12 of the Hong Kong Convention to submit to IMO a list of authorized ship 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. 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 IMO, relevant information on which its decision for the authorization of a recycling facility was based. C. Transmission of information regarding import and export restrictions 37. Parties are empowered by Article 4 of the Basel Convention unilaterally to establish import prohibitions via their domestic legislation. Other parties are to take steps to ensure that they respect such prohibitions by their own legislation. The Basel Convention provides for the transmission of this information to other parties and the Secretariat via the reporting obligations laid down in Article 13.
9 38. The Hong Kong Convention does not introduce the concept of import and export directly, meaning that it has no equivalent provisions on transmission of information regarding import and export restrictions. D. Transmission of information among parties to advance environmentally sound management 39. Pursuant to Article 10 of the Basel Convention, parties have to cooperate with one another to improve and achieve the environmentally sound management of hazardous wastes and other wastes. 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; and cooperate in monitoring the effects of the management of hazardous wastes on human health 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. 40. Pursuant to Article 13 of the Hong Kong Convention, parties are to undertake to provide support, directly or through IMO and other international bodies, to parties that 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 cooperate actively in the transfer of management systems and technology in respect of the safe and environmentally sound recycling of ships. 9