Basel Convention

The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal is an international environmental treaty aimed at regulating and reducing the global movement of hazardous waste, particularly from developed countries to less developed nations. Its primary objectives include ensuring the environmentally sound management of hazardous and other wastes, minimising waste generation at the source and preventing the illegal trafficking of such materials. Although comprehensive in scope, the Convention excludes radioactive waste, which is covered under separate international arrangements.
The Convention was opened for signature on 21 March 1989 and entered into force on 5 May 1992. As of mid-2024, the treaty has 191 parties, with the United States and Haiti being notable signatories that have not ratified it. In recent years, the Convention has expanded its remit to include new waste categories such as plastic waste, reflecting contemporary global environmental challenges.

Historical Development

The origins of the Basel Convention lie in increasing global concern during the late twentieth century about the uncontrolled export of hazardous waste. During the 1970s, stricter environmental legislation in developed countries, such as the United States’ Resource Conservation and Recovery Act, made domestic disposal more costly. At the same time, globalisation and expanding maritime trade routes facilitated the movement of waste across borders, while many poorer countries, facing economic difficulties, became vulnerable to waste imports.
By 1990, OECD nations exported approximately 18 million tonnes of hazardous waste annually. Although much of this movement occurred between industrialised states, several highly publicised incidents involving waste dumping in developing countries accelerated international demand for regulation. A prominent example was the Khian Sea incident, in which hazardous ash from Philadelphia was partly dumped in Haiti before the vessel roamed the oceans, unloading its waste illegally. Another key case occurred in 1988, when hazardous material from Italy was transported to Koko, Nigeria, in exchange for a small rental payment to a local landowner.
These events, among others, demonstrated the urgent need for a comprehensive framework governing hazardous waste movements. After years of negotiation, the Basel Convention was established to address these concerns.

Definition and Scope of Hazardous Waste

The Convention defines hazardous waste according to two criteria. A waste is covered if it:

• appears in Annex I, which lists categories such as industrial residues, chemical wastes and discarded materials; and
• exhibits one or more of the hazardous properties listed in Annex III, such as being flammable, toxic, reactive, infectious or corrosive.

Waste may also fall under the Convention if defined as hazardous under the national laws of the exporting, importing or transit country. Additional waste streams, including household waste and incinerator residues, are listed in Annex II.
Certain materials are excluded from the Convention’s jurisdiction, notably radioactive waste, which is governed by International Atomic Energy Agency rules, and waste arising from routine ship operations. Annex IX clarifies types of non-hazardous waste, though contamination may bring such wastes back within the Convention’s scope.

Obligations of Parties

Parties to the Basel Convention must comply with strict requirements relating to the international movement of hazardous waste. Key obligations include:

• Prior Informed Consent (PIC): exporting countries must notify and obtain consent from importing and transit states before any shipment occurs.
• Tracking and Documentation: all transboundary movements must be accompanied by detailed documentation from dispatch to disposal.
• Control of Trade: in general, waste exports from party states to non-party states are prohibited unless specific bilateral or multilateral agreements exist that respect the Convention’s standards.
• Internal Waste Management: parties are encouraged to manage waste as close as possible to its source, a principle intended to promote waste minimisation and environmentally sound treatment.

The Convention classifies illegal trafficking of hazardous waste as a criminal act, though enforcement depends on domestic implementation. Article 12 calls for a dedicated liability protocol, though an operative mechanism has yet to be fully realised.
Special arrangements exist for OECD countries, which follow an internal control regime allowing regulated trade between members, even if some states—such as the United States—have not ratified the Basel Convention.

The Basel Ban Amendment

Despite the advances made by the Convention, many developing countries and environmental organisations argued that its initial provisions did not provide adequate protection. They contended that the PIC system still allowed hazardous waste to reach poorer states under the guise of recycling or beneficial reuse.
In response, the Basel Ban Amendment was adopted in 1995. It prohibits the export of hazardous wastes for any purpose—including recycling—from developed OECD countries to developing countries. The Ban emerged partly due to campaigns by environmental groups such as Greenpeace and support from several European governments.
The Amendment required ratification by three-quarters of eligible Parties to enter into force. After years of debate over the ratification threshold, Croatia’s ratification in September 2019 allowed the Ban to enter into force on 5 December 2019. The European Union, Norway and Switzerland had already implemented the Ban in their domestic legislation.
A significant matter within the Ban relates to shipbreaking, a practice in which end-of-life vessels are dismantled—often in developing countries under hazardous conditions. By classifying ships destined for dismantling as hazardous waste, the Ban seeks to address environmental and labour concerns associated with the global ship recycling industry.

Contemporary Issues and Developments

The Basel Convention continues to evolve in response to environmental challenges:

• Electronic waste (e-waste): international concern has grown regarding the export of used electronics, some of which are traded as second-hand goods but arrive as waste in developing countries.
• Plastic waste regulation: in 2019, most Parties agreed to classify mixed and contaminated plastic waste as hazardous, thus subjecting it to Basel control procedures. Although the United States is not a Party, its plastic waste exports may still violate international law once shipments enter international waters or foreign ports.
• Recycling markets: global demand for second-hand electronics and recyclable materials complicates the distinction between waste and commodity. Efforts to clarify these boundaries remain ongoing.