Exporting Hazardous Waste New Zealand requirements for exporting hazardous waste under the Basel Convention

Transcription

1 Exporting Hazardous Waste New Zealand requirements for exporting hazardous waste under the Basel Convention APPLICATION GUIDE

2 2 Introduction Exports of hazardous waste are controlled and monitored to avoid harm to human health and the environment. Products like old computers and other electrical equipment, waste oils and contaminated packaging materials are considered hazardous waste. In New Zealand, you must get a permit from the Environmental Protection Authority (EPA) before waste that is defined as hazardous (as per the Basel Agreement, Annex I and schedule 3 of the Prohibition Order) is imported or exported. This document provides guidance for completing an application to export hazardous waste. See for further information about importing hazardous waste, or contact the EPA on Table of Contents Thinking about exporting hazardous waste?... 3 Requirements for exporting hazardous waste... 3 Presentation of supporting documentation... 6 Next steps... 7 Checklist... 7 Appendix 1: Export application process... 8 Appendix 2: How to complete the notification form... 9 Further information Contact information... 12

3 3 Thinking about exporting hazardous waste? Your first step should be to consult with the EPA about the process, including whether your waste is classified as hazardous, or if your export even needs an application. Some countries will not consent to shipments of hazardous waste. If you think your hazardous waste is going to be re-used, you must keep records to show that the shipment does not need a permit. New Zealand is part of the Basel Convention, an international agreement about the management of hazardous waste. Under the Basel Convention, New Zealand has to apply for consent from countries receiving hazardous waste before approval can be given to an exporter. This can take time. Allow working days or more for the application and approval process to export hazardous waste. The Imports and Exports (Restrictions) Act 1988 and the Imports and Exports (Restrictions) Prohibition Order (No 2) 2004 make up the domestic legislation that implements the Basel Convention in New Zealand, which includes offences for exporting without a permit. Requirements for exporting hazardous waste You must complete the hazardous waste export application form. You can download the form from The EPA cannot accept incomplete applications. You must ensure that all information supplied is correct and accurate. You will need to collect the following supporting documentation and submit this with the completed application form to the EPA: 1. Application statement providing details of the reason for export (under regulation 11 of the Order) 2. Completed notification form 3. Copy of insurance policy/policies as evidence of financial coverage 4. Copy of the contract(s) between the exporter and the disposal/recovery facility 5. Documentation about the disposal/recovery facility s waste management practices. See Appendix 1: Export application process, pg 8 of this application guide for a diagram of the end-to-end process of applying for an export permit.

4 4 1. Application statement You must provide a statement with details of your reason(s) for export under regulation 11 of the Order (instead of disposing of or recovering the waste in New Zealand). Exports may be permitted if the importing country is a party to the Basel Convention, has not prohibited the import of the waste, has consented to the import in writing, and if: New Zealand does not have the technical capacity and the necessary facilities, capacity, or suitable disposal sites to dispose of the waste in an environmentally sound and efficient manner; or the waste is required as a raw material for any recycling or recovery industry in the importing State; or the exportation of the waste is in accordance with any criteria decided by the Basel Parties. You can find out whether a country is a party to the Basel Convention on their website ( 2. Notification form The notification form for the transboundary movements/shipments of waste is an internationally required form under the Basel Convention. The EPA needs one signed original notification form for each of the proposed countries you are exporting waste to (transit and final destination). Original forms must be: dated clean in appearance legible with no correcting fluid have original signatures in permanent ink. The notification form can be completed electronically. You can download it from the Basel Convention website ( Instructions for completing the form are provided in Appendix 2: How to complete the notification form, page 9 of this application guide. Note that if you are granted a permit to export waste, you will need to send the EPA a completed movement form before each shipment is sent out, however; this is done after you have been issued with the export permit. The movement form will have the carriers listed, and the weight of the particular shipment of waste on it.

5 5 3. Copy of insurance policy/policies You need to be insured for damage to third parties (including the environment) for the whole time you are responsible for the ownership and control of each shipment of waste. You need to supply proof of this insurance by submitting a copy of the insurance policy/policies as evidence of financial coverage. This is additional to commercial and/or marine insurance, and must cover personal injury or damage to property and the cost of remedying any contamination or pollution caused by a sudden and accidental event. It may also cover the costs of returning the waste back to New Zealand. The amount of insurance required will depend on the risks involved and should cover your potential liabilities. The copy of the insurance certificate should show that the insurance applies to the countries and areas the shipments are passing through or going to, the value of cover, and that the insurance includes an indemnity to cover the costs of remedying a spillage or other form of pollution. 4. Copy of the contract(s) between the exporter and the disposal/recovery facility You must supply a copy of the current written contract (or chain of contracts) between you or your company as exporter, and the disposal/recovery facility receiving the waste. This may be different from a contract covering the commercial aspects of the transaction. Contracts for the shipment of waste should clearly set out the rights and obligations of each party in an acceptable, clear, workable and fair manner. The contract(s) should: be signed by you or an authorised representative and the disposal/recovery facility; specify the role of each party to the contract; describe the waste, and the method of its disposal or recovery; specify the quantity (or estimated quantity) of the waste; specify who owns and takes responsibility for the waste, and when/to whom ownership and responsibility is transferred ; specify that the waste will be disposed of, or managed by, the disposal/recovery facility in an environmentally sound manner, and in accordance with all relevant rules and legislation; and specify that you will take responsibility for the alternative treatment or return of the waste if it cannot be disposed of, or managed, in accordance with the terms of the contract.

6 6 5. Documentation about the disposal/recovery facility s waste management practices You need to provide up-to-date information about the proposed disposal/recovery facility to show that the disposal/recovery process for the waste (and wastes arising from those processes) will be carried out in an environmentally sound and efficient manner. The EPA must be satisfied that the hazardous waste (and the wastes arising from the processing of that waste) will be transported, handled and disposed of, or recovered, in a way that does not harm human health or the environment. This is the key requirement of any transboundary movement of hazardous waste under the Basel Convention. Information submitted to establish that environmentally sound management is carried out at the disposal/recovery facility is assessed by the EPA on a case-by-case basis. The EPA requires: a full description of the disposal/recovery process (including what wastes will be generated from the process, what the characteristics of these wastes are, how much of these wastes are generated, and how they will be stored and treated) ; a full description of the disposal/recovery process if any wastes that will be generated from that process are to be disposed of by another disposal/recovery facility; a description of the regulatory framework applying to the facility, including maximum permitted levels of emissions or contaminants; recent evidence that the facility complies with the regulatory framework, including details of the monitoring and reporting programme; recent evidence of an adequate response/emergency plan in the case of non-compliance with the regulatory framework; recent evidence that all relevant personnel are adequately trained to handle the waste; and other relevant evidence (for example, ISO 9001 certificate). Presentation of supporting documentation You must ensure that any supporting documentation you attach to your application or notification form meets the following standards before you submit your application to the EPA: name of the supporting document written clearly across the top your name (in case attachments are separated from the application form) question number in the application/notification form to which the supporting document relates In addition, you must indicate on the application or notification form that a supporting document is attached to the form and relates to that question.

7 7 Next steps When you have collated all the supporting documentation and filled in the hazardous waste export application form, submit these to the EPA for assessment. You can submit your application by: to with Hazardous waste export application in the subject line post to The Environmental Protection Authority, PO Box 131, Wellington The EPA requires forms and documents in English, or with an English translation attached. Any translation needs to be undertaken by someone other than you. The EPA may require some documents to be in the language acceptable to the export or transit countries. All information provided must be up-todate, and no older than 12 months. Assessment of your application may take longer if you have not completed all the requirements to the satisfaction of the EPA. The EPA may also request more information. A complete application that satisfies the EPA will be sent to all the other countries (transit and importing) for their consideration. These countries must agree to receive your shipments before the EPA can issue you with a permit. This process will take some time (allow working days or more). These countries may ask for more information and may consent to or reject your application. Once all consents are received, the EPA will make a final determination about issuing a permit. Any permit issued will have conditions from the EPA and the other countries. You must adhere to the conditions, or risk the following: your permit being revoked being prosecuted costly delays. Checklist Have you completed and attached the following information? No Item Complete? 1 Application form Y/N 2 Statement about why the waste needs to be exported Y/N 3. Notification form Y/N 4. Financial insurance Y/N 5. Copy of contracts Y/N 6. Information about the proposed disposal/recovery facility Y/N

8 8 Appendix 1: Export application process Applicant EPA Involved Countries 1. Consult with the EPA to discuss application requirements, if required proceeding not proceeding End 2. Complete the required application form & submit with supporting documentation to the EPA 3. Check if the application is complete yes no no, proposed export cannot proceed 4. Consider whether the application meets NZ requirements yes End 5. Forward information to the countries of import and/or transit 6. Assess application & obtain further information from applicant/ EPA, if required consent (may take up to 60+ working days to grant) 7. Receive decision from the importing country/transit countries & make a determination on the application decline, proposed export cannot proceed End permit issued 8. Receive permit letter & approved notification form from the EPA decline application, proposed export cannot proceed End 9. Send movement tracking form to the EPA at least three days before each export 10. Export waste in accordance with any conditions

9 9 Appendix 2: How to complete the notification form The notification and movement forms are international documents supported by the Basel Convention. The following table provides guidance on how to complete the notification form: Block Guidance 1 Provide your contact details (or those of your company), and/or the contact details of the person who can be contacted at any time in relation to any incident during movement of the hazardous waste. Provide your company s registration number if applicable. 2 Provide the importer s contact details, and/or the contact details of the person who can be contacted at any time in relation to any incident during movement of the hazardous waste. Provide the importer s registration number if applicable. 3 This block provides information about what type of notification is being applied for. Do not provide the notification number. This is entered by the EPA when your application is received. Tick the relevant tick box: individual shipment (notification covers one shipment over 12 months) multiple shipments (notification covers more than one shipment over 12 months). Tick the relevant tick box: disposal (waste is destined for a disposal operation without recovery) recovery (waste is destined for a recovery operation). If you are unsure whether the waste treatment is a disposal or recovery operation, refer to Annex IVA (disposal) and IVB (recovery) of the Basel Convention. You do not need to complete part C in this block (Pre-consented recovery facility) as this is completed as part of another waste agreement (the OECD Decision). 4 Provide the total intended number of shipments for the waste covered by this application. 5 Provide the estimated maximum total quantity in kilograms or cubic metres for the export shipments covered by this application. 6 Provide the expected dates for shipment. If you have: one intended shipment, enter the expected departure date in the space next to First departure and leave the Last Departure space blank more than one shipment, or do not have a shipment date scheduled yet, enter the period of shipment you wish the permit to cover. Enter the expected start date of the period of shipment in the space next to First departure. Enter the expected end date of the period of shipment in the space next to Last Departure.

10 10 Note that the period of shipping under a single permit cannot exceed 12 months. If your shipments cover a period longer than this, you will need to apply for multiple permits. Permits can take several months to be finalised, so plan your intended export period accordingly. 7 Select a code on the reverse side of the notification form for the type of packaging you propose to use for your shipment, and enter this in the space provided. Are there any special precautions (in addition to the existing precautions in the International Maritime Dangerous Goods Code) concerning the shipment? If yes, tick the Yes tick box, and provide the relevant information as an attachment. Refer to the Presentation of supporting documentation section, pg 6 of this guide for information about attachments. 8 Provide the contact details of the intended carrier or agent (if known), and the contact details of the person to be contacted at any time in relation to any incident during movement of the shipment. If more than one carrier will be involved, provide this information for each carrier in an attachment. Refer to the Presentation of supporting documentation section, pg 6 of this guide for information about attachments. Note that even if you do not know the carrier at this point, this information must be on the movement document when it is submitted before each shipment. Select a code on the reverse side of the notification form for the proposed mean(s) of transport for your shipment for each stage (from the start until it reaches the disposal/recovery facility), and enter this in the space provided. 9 Provide the contact details of the generator(s) of the waste and the person to be contacted, at any time, in relation to any incident during movement of the shipment. If you are the generator of the waste, you may write See block 1. When the waste is produced by more than one generator, provide the information for each generator in an attachment. Refer to the Presentation of supporting documentation section, pg 6 of this guide for information about attachments. Provide information about the site on which the waste was generated, and how this was undertaken. 10 Provide the contact details of the disposal or recovery facility and the contact person. Provide information about the actual site of disposal/recovery. See section 5, page Select a code(s) on the reverse side of the notification form for the type of disposal or recovery operation that is dealing with the waste, and enter this in the space provided. Provide a summary description of the technology employed, and the reason for export.

11 11 12 Provide the name(s) by which the waste is commonly called, the chemical names of the constituents and their concentration. If you need more space, provide the information as an attachment. Refer to the Presentation of supporting documentation section, pg 6 of this guide for information about attachments. 13 Select a code(s) on the reverse side of the notification form for the physical characteristics of the waste at normal temperature, and enter this in the space provided. 14 Complete this block with known codes. Enter the Basel Annex VIII (or IX if applicable). You can look this information up on the Basel website. Complete sections (ii) to (vi) only if your shipment deals with European Union requirements. Enter the Y code(s) in the space provided at (vii) which matches the Categories of Wastes to be Controlled and Categories of Wastes Requiring Special Consideration in Annexes I and II of the Basel Convention. Select an H-code(s) on the reverse side of the notification form, and enter this in the space provided at (viii) for wastes listed in Annex I of the Convention. This corresponds to the List of Hazardous Characteristics in Annex III of the Basel Convention. Select a UN Class on the reverse side of the notification form, and enter this in the space provided at (ix). Enter the four-digit UN identification number in the space provided at (x). Enter the proper UN shipping name in the space provided at (xi). Enter the customs code(s) in the space provided at (xii). This information is available from your shipping broker. 15 Enter the name of the state of export (using the International Organisation for Standardisation code for the country) in row (a), for each column. You do not need to complete row (b) with the code number for each column, as this information is not generally known. Enter the port(s) or airport(s) intended to be used for entry and exit in row (c), for each column. Provide the contact details of the Competent Authority of each State listed in Block 15 as supporting documentation. Refer to the Presentation of supporting documentation section, pg 6 of this guide for information about attachments. Note: A transit movement is where the hazardous waste is moving through any area under the national jurisdiction of another country that is not the exporting country or the importing country. It includes land, marine areas or air space and free trade zones. It does not matter

12 12 whether your waste is leaving the craft or not, it is still a transit movement under the Basel Convention. 16 Complete this block only if your shipment will enter, pass through or leave a Member State(s) of the European Community. Exit means leaving a European Union (EU) country and entering another. Export means leaving the final EU port. 17 You or a representative of your company (as exporter) needs to sign and date each copy of the notification form before it is forwarded to the EPA. The name of the authorized representative of the exporter should also appear in capital letters to accompany the signature. By signing the declaration, you certify that: the information is complete and correct there is a valid written contract between you and the disposal/recovery facility the required insurance or financial guarantees are or shall be in force covering the transboundary movement. The documentation needs to be sent in with the notification form. 18 Specify the number of pieces of supporting documentation attached to your application These blocks are completed by the Competant Authority of each country. The notification form must be completed fully and accurately. Instructions for completing the notification form are also provided on the back of the form (pages 8 13). Contact the EPA if you require further assistance. Further information See the Basel Convention website ( for further information. Contact information Environmental Protection Authority BP House, 20 Customhouse Quay PO Box 131, Wellington 6140 New Zealand Phone: importexport@epa.govt.nz Website: