# Presentation: 512245

## Regulatory Framework for Spent Lead-Acid Batteries (SLABs) and SLAB Recycling in Canada

- NA CEC Workshop on Spent Lead Acid Batteries & Electronics
- 4-6 December 2007
- Tijuana, Baja California, Mexico

**Patrice Doré**
- Environment Canada
- Waste Reduction & Management Division
- patrice.dore@ec.gc.ca
- 819-956-6514

## Overview

- Background
- International Obligations
- Basel Convention
- OECD Decisions
- Canada-USA Agreement
- Federal and provincial authorities
- Export and Import of HW and HRM Regulations (EIHWHRMR)
- SLAB  Regulatory framework
- Canadian Imports and Exports of SLABs (2001-2005)
- Imports and Exports of SLABs from and into Canada
- Statistical Information
- International Notification Process
- Required documentation for transboundary movements of HW and HRM, including SLABs; and
- Movement Document

## Background

**Hazardous Wastes (includes hazardous recyclables)**
**What are they?**
- Waste products, substances or organisms that are potentially hazardous to human health or the environment, destined for _disposal_ or _recycling_ operations
**Who produces them?  For example:**
- chemical industry
- manufacturing industry
- metal refining industry
**Why Special Regime Required?**
- to eliminate or reduce the hazard through special disposal/treatment technologies, thereby preventing impacts on the environment and human health
- to maximize the recovery of resources for productive use in Canada and abroad, and properly dispose of residues through special disposal/recycling techniques

## International Obligations

- The United Nations Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal, 1989
- Organisation for Economic Co-operation and Development (OECD) Decisions
- Canada-USA Agreement

**Notes:**
Canada is party to 3 international agreements with respect to the transboundary movements of HW and HRM.  

Under the EIHWHRMR, Canada is permitted to export to any country that is not party to at least one of the following three international agreements:

Basel Convention
The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal under the United Nations Environment Programme (UNEP) was adopted in 1989 and came into force in March 1992.  
Canada was one of the first countries to sign the Convention in 1989 and was able to ratify it in 1992 with the coming into force of the EIHWR.

Organisation for Economic Co-operation and Development (OECD) Decisions
Up to 1992, the OECD has adopted five council decisions and two resolutions.  The OECD Decisions of Council of concern include:
Transfrontier Movements of HW, C(94)152/Final, which amended the earlier Decision adopted in 1988 that set out the hazard classification codes, in particular the International Waste Identification Code (IWIC).  This was needed to ensure the codes were harmonized with the Basel Convention; and
Transboundary Movements of Wastes Destined for Recovery Operations, C(2001)107/Final, adopted in 2001 and finalized in 2002 with the inclusion of the OECD Notification and Movement Documents.  This Decision amended the earlier Council Decision concerning the Control of Transfrontier Movements of Wastes Destined for Recovery Operations, C(92)39/Final.  The amendment was necessary to update the Decision and harmonize the lists with the new Basel Annexes VII and IX which were adopted in 1999.

Note: Exports of HW for disposal operations to OECD non-member countries:
Although countries that are parties to the Basel Convention includes both OECD member and non-member countries and that while the scope of the Basel Convention does not prohibit export of HW for disposal to OECD non-member countries, these types of exports would typically not occur as these countries may lack the capacity to properly dispose of the HW in a manner that would protect the environment and human health. 

Example:  It is prohibited under the EIHWHRMR to export HW from Canada (OECD member country) for disposal in Chile (OECD non-member country).

## Basel Convention

- Canada signed in 1989 and ratified in 1992
- Covers both wastes and recyclables
- Controls on transboundary movement of hazardous waste (prior informed consent, tracking of shipments, reduction of exports, liability)
- Revised Lists to clarify wastes to be controlled
- Annex VIII, A1160 entry for SLABs

**Notes:**
The Basel Convention was adopted at a diplomatic conference held in Basel, Switzerland, after a public outcry against the indiscriminate dumping of HW in developing countries by developed-world countries.

To date, 166 member parties have declared upon formal confirmation, ratification, acceptance, approval, accession or succession to the Basel Convention and 3 countries have not yet ratified (Afghanistan, Haiti and the US).

Canada signed in 1989 and ratified (implemented) in 1992.

The purposes of the Basel Convention are to:
Minimize the generation of HW
Dispose of them as close to the source as possible therefore reducing the international movements
Improve controls on exports and imports
Prohibit shipments to countries unable to manage and dispose of them in an environmentally sound manner
Require liability and compensation for accidents

Article 11 of Basel Convention allows parties to the Convention to develop bilateral or multilateral agreements for the movements of HW, provided that the agreements contain provisions that are no less strict than the Convention itself.  
The OECD Decision C(92)39/Final, then C(2001)107/Final and the Canada-US Agreement have been recognized as meeting the Article 11 conditions.

## OECD Decisions

**Canada, USA and Mexico are members of OECD**
**OECD Decision C(94)152/Final**
- Transfrontier movements of hazardous wastes
- Core list of wastes
- International Waste Identification Code (IWIC)
**OECD Decision C(2001)107/Final**
- revised and harmonized with Basel
- allows modified/simplified controls for recyclables within the OECD area

**Notes:**
Canada and US are members to OECD since 1961.

To date, there are 30 member countries and the OECD has an active relationship with 70 other countries.

OECD Decision C(94)152/Final Decision of the Council on the Transfrontier Movements of HW (1988) as amended in 1994
As previously indicated, this Decision identifies the core list of HW and develops the International Waste Identification Code (IWIC) which serves to define and classify the HW to be controlled when subjected to transfrontier movements.  This IWIC is required when notifying EC of transboundary movements of HW and HRM, as in s. 8(j) of the EIHWHRMR.

OECD Decision C(2001)107/Final Decision of the Council on the Transboundary Movements of Wastes Destined for Recovery Operations (1992) as recently amended in 2004 to update the Decision and harmonize the lists with the new Basel Annexes VII and IX.  
The revised Decision provides a simplified two-tiered system to control the transboundary movements of HRM (green and amber) destined for environmentally sound recovery operations within the OECD area.  
This system takes into consideration the fact that
movements between OECD member countries are sufficiently controlled to allow modified controls while managing the risks posed by HRM, 
OECD member countries have well established lines of communication, and
Pre-approved facilities allow for the more efficient flow of HRM between developed countries while enhancing resource recovery.
The notification, permitting and movement conditions included in the revised Regulations are based on this control system.

Notes: This risk-based control system considers:
the intrinsic hazard of the HRM,
its economical value (i.e.: the more valuable the material, the less chance there is of its being lost or dumped during transit),
the conditions under which it is handled, transported and recovered, and
the probability of a spill or other mishap (i.e.: less dangerous material might be shipped in such quantities, or under such conditions, that the potential for a mishap might be decreased).
The change from a three-tiered system (green, amber and red) to a two-tiered system adds fuels to the arguments which have been made by trade and economics departments to remove all controls on recyclables.

## Canada-USA Agreement

- Meets Article 11 of the Basel Convention
- Came into effect in 1986 and amended in 1992 to include non-hazardous wastes destined for final disposal
- Definition for waste as defined under Canadian law
- Example:  SLABs are hazardous for both transboundary movements of HW and HRM

**Notes:**
The Canada-US Agreement is a bilateral agreement between Canada and the US to control the transboundary movements of HW and municipal solid wastes by setting out specific administrative conditions for such movements between Canada and the US. 

This agreement is necessary since the US is not a party to the Basel Convention.

Note that the Canada-USA Agreement does not control movements of HRM for recycling.  Such movements between Canada and the US are controlled under the OECD, which both Canada and the US are parties to.

This Agreement in essence rationalizes the use of authorized disposal and recycling facilities on both sides of the border.  Under the Agreement, HW are defined according to the national Regulations of each country.

The 4 basic principles of the Agreement include:
Each country must adequately manage waste within its own jurisdiction;
The prior notification timeframe and process whereby both parties will be informed of shipments of HW and provide consent;
Cooperation between the 2 countries that proper documentation accompany shipments in order to verify compliance with the Agreement and with domestic Regulations; and
An affirmation that the exporting country must permit re-entry of any HW that may be returned by the importing country.

## Federal and Provincial Authorities

**Federal**
- Jurisdiction over movements crossing a border
- International border
- Movements between provinces/territories within Canada
**Provincial**
- Jurisdiction over movement solely within their territory
- Administering provincial Environmental Regulations
- Licensing of authorized facilities, carriers

**Notes:**
Control of HW and HRM within Canada is a shared responsibility.   Each jurisdiction contributes to environmental protection.

Shipments of HW and HRM may be subject to other local, provincial, national, or international laws in addition to the EIHWHRMR. 
However, the Regulations are meant to complement other Regulations or international laws and agreements that control various other aspect of HW and HRM movements, especially those related to safety. 

The provisions of the Regulations do not override or replace any other current federal or international legislation concerning the transportation of dangerous goods under which any given shipment of HW and HRM may be controlled. 

The federal government regulates international and inter-provincial or -territorial movements of HW and HRM:
Interprovincial movements (since 2002 in the IMHWR of CEPA administered by EC)
International movements (since 1992 in the EIHWR and since 1996 in the PCB Waste Export Regulations of CEPA administered by EC) 

Provincial/territorial governments 
are responsible for the controls on the management and transportation of HW and HRM within their own jurisdiction, including licensing HW / HRM generators, carriers and treatment facilities within their jurisdiction.
also play an important role by reviewing notices of import and consenting or objecting and imposing conditions, if necessary, for the import of HW / HRM into their jurisdiction.
Please contact the provincial environmental authorities for more information on the management of HW and HRM in the jurisdiction in which you are located. EC works with the provinces through CCME.

Municipal governments are responsible to establish and authorize collection services and programs within their municipalities, such as the services for the collection of household hazardous wastes (HHW) at their environmental depots.

## Export and Import of Hazardous Waste and Hazardous Recyclable Material Regulations (EIHWHRMR)

**Revised on November 1, 2005**
**Meet Canada’s International Obligations**
**Decoupled hazardous waste definition into hazardous waste (HW) and hazardous recyclable material (HRM)**
**SLABs continue to be controlled**
_**Purpose**_
- Sets out conditions for shipments of HW and HRM across Canadian borders
_**Goals**_
- Prior Informed Consent
- Confirmation of Disposal or Recycling
- Liability Insurance
- Export Reduction Plans
- Environmentally Sound Management

**Notes:**
Introduction of EIHW Regulations
In signing international agreements, Canada made a commitment to develop national legislation to promote the environmentally sound management of hazardous wastes. This led to the development of the Export and Import of Hazardous Wastes Regulations (EIHW Regulations) under the Canadian Environmental Protection Act (CEPA). The EIHW Regulations came into force on November 26, 1992.
The EIHW Regulations were written to be compatible with the Basel Convention and the OECD Decision and work in conjunction with the Transportation of Dangerous Goods (TDG) Regulations.
Purpose
The main purpose of the EIHW Regulations  is to set out the conditions for export and import of hazardous wastes shipped across the Canadian border, including transits through Canadian territory. These Regulations also ensure that Canadian hazardous waste exports have been consented to by the receiving country or province before shipment.
The EIHW Regulations set out all of the conditions that must be met before any international shipment of hazardous waste can occur.
Goals
The goals of the EIHW Regulations include:
promoting environmental responsibility among all of those involved before, during, and after the international movement of hazardous waste; 
allowing the governments of the countries of import and transit to control which wastes enter their respective countries; 
ensuring that any transportation accident involving an international movement of hazardous wastes will be cleaned up by requiring liability insurance coverage; and,
ensuring that generators take responsibility for the transportation and handling of their waste from the site of generation to the site of final disposal or recycling.

## SLAB  Regulatory framework	

- Must be destined for disposal (Schedule 1 of the EIHWHRMR) or recycling (Schedule 2 of the EIHWHRMR)
- Must meet the HW or HRM definitions under Section 1 or 2 of the EIHWHRMR
- Captured under the *Transport of Dangerous Goods Regulations*
- Hazard Class 8, United Nations Product Identification Number (UN PIN) UN2794 –Batteries, wet, filled with acid, electric storage

## Canadian Imports and Exports of SLABs (2001-2005)

## Imports and Exports of SLABs from and into Canada (2001-2005)

## Statistical Information  

- All exports of SLABs to the United States were destined for recycling, namely metal recovery or interim storage prior to metal recovery
- Less than 0.2% of imports of SLABs were destined for disposal with over 99% destined for metal recovery
- More than 91% of SLABs originate from transport, automobile dealers and repair facilities

**Notes:**
Sources and types:
Nearly 99% of Canadian imports came from the US (remainder from Europe as HRM for metal recovery operations).
The majority of all exports and imports of HRM are from the recycling of spent lead-acid batteries, metal-bearing wastes and manufacturing residues.
The majority of all exports and imports of HW are destined for disposal operations such as physical-chemical treatment, incineration, and landfilling.
Other HW / HRM exported from or imported into Canada are depicted on the slide.

Import destinations:
Imports of HRM were shipped to 5 provinces:
ON and QC continuing to receive the vast majority of all imports into Canada, and
small quantities imported into BC, AB and NB. 
Imports of HW were shipped to 4 provinces (similar picture except NB):
ON and QC for most of the imports, and
small quantities imported into BC and AB. 

45.6% of international movements occur between the US and Ontario; 35.6% between the US and QC; and 18.8% between the US and other provinces.  The imports from the US as well as the exports to the US are somewhat regionalized between:
BC, AB and Western US 
SK, MB, ON, QC, Atlantic and Eastern and Central US

Top three states to which Canadian exports are typically destined to include: 
Ontario - Indiana, Ohio, Pennsylvania
Quebec - Alabama, Arkansas, Michigan
BC - Idaho, Oregon, Washington

## International Notification Process 

- Notice Reference Number
- Contact information
- Shipment details
- Waste or material information
- Insurance details
- _In addition_:
- Copies of signed written contracts
- _Finally_:
- Notice + Contracts =
- Application for permit

**Notes:**
There is no longer a specific notice form in the revised Regulations.  The notifier (i.e., the exporter, importer, or the person conveying in transit) must request a notice reference number from EC for the purposes of submitting the notification information required in the Regulations.  This number can then be used on the administrative form available on TMB’s website to simplify the notification process.  A form has been included in your manual for the next exercise.

The prescribed notification information is outlined in section 8 of the Regulations.  It includes:
The contact information (such as the name, registration numbers, civic, mailing, and electronic addresses, and phone/fax numbers of):
Notifier
Canadian/Foreign exporter and importer, as the case may be
All authorized carriers
All authorized facilities that will receive the HW or HRM, including from which the HW or HRM will be shipped

The notice may be submitted by a head office; however, it must indicate the shipping and receiving sites.
The sites must include all facilities, from the site of export to the final receiving facilities, including receiving facilities where interim operations will be performed. 
In addition to the above information, the notifier must also submit copies of the signed written contractual arrangements between the parties involved, excluding financial information.  Information in this regards will be discussed shortly.
User’s guides available on TMB’s website on the implementation of the EIHWHRMR.

Shipment details: 
proposed dates of the first and last shipments
Transit: length of time in each country of transit
number of shipments
modes of transport
ports of entry or exit
customs offices, if applicable
HW or HRM information:
Required codes (international, customs, provincial, these Regulations)
Information prescribed under TDGR (namely the UN number, hazard class, PG/RG)
Quantities
Disposal and Recycling codes
Name of POP from Schedule 10 if applicable
Export: options for reducing the export of HW and the reason why disposing outside of Canada
Insurance details:
Name of each insurance company
Policy number for each insurance policy required 

Note: The Regulations require that all Canadian exporters and importers of HW or HRM must be covered by liability insurance. All carriers involved in international shipments of HW or HRM where Canada is one of the countries concerned must also be insured. The type, amount and time period for insurance coverage is described in section 37 of the Regulations.

## Required documentation for transboundary movements of HW and HRM, including SLABs

- Copy of Permit

- Movement Document

**Notes:**
Permit
Permits are required PRIOR TO ANY movement of HW or HRM and MUST ACCOMPANY the HW or HRM in transport.  These permits are obtained from EC as was presented earlier.  

Movement Document (MD)
In addition to your permit, the HW or HRM must also be accompanied by a movement document (MD) in transport.
These MD can be obtained from your provincial environmental ministry or EC (if not provided by the provinces involved).  Contacts are provided in your manuals.

This is required under Section 9(l) for exports: 16(k) for imports: 22(i) for transits and 34(2)(b) and 35(2)(b) in the case of returns.

MDs are forms that MUST ACCOMPANY the HW or HRM in transport.  These MDs provide:
detailed information on the types and amounts of HW or HRM being shipped,
a record of the various facilities and carriers involved in the shipment; and 
information on the operations performed once the HW or HRM reach their final destination.   

An MD template is included at Schedule 9 of these Regulations.  As you can see, it meets the needs of both the federal (EC, TC) and provincial government and takes into consideration the international codification requirements.  Please note that this MD replaces the manifest form as of on November 1st, 2005.

Similarly to the former manifest forms, the MD is also 
a form made up of 3 separate parts and 6 copies, 
with a unique reference number provided by the Minister (TMB), and
responsibilities of the parties involved (i.e., exporters, importers, and carriers) and distribution of the MD have been retained in the Regulations.  

## Movement Document

**Movement Document**

## Final comments / Questions

- _For any additional information_:
- E-mail:	  TMB@ec.gc.ca
- Telephone:  819-997-3377
- Facsimile:	   819-997-3068
- _Or you can visit our website_**:**
**Waste Reduction and Management Division Website: **
- _[http://www.ec.gc.ca/wmd-dgd](http://www.ec.gc.ca/wmd-dgd/)__[/](http://www.ec.gc.ca/wmd-dgd/)_