BASEL CONVENTION ON THE CONTROL OF
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
AND THEIR DISPOSAL ADOPTED BY THE CONFERENCE
OF THE PLENIPOTENTIARIES ON 22 MARCH 1989
ENTRY INTO FORCE MAY 1992
PREAMBLE1
The Parties to this Convention,
Aware of the risk of damage to human health and the environment caused by
hazardous wastes and other wastes and the transboundary movement thereof,
Mindful of the growing threat to human health and the environment posed by
the increased generation and complexity, and transboundary movement of hazardous
wastes and other wastes,
Mindful also that the most effective way of protecting human health and the
environment from the dangers posed by such wastes is the reduction of their
generation to a minimum in terms of quantity and/or hazard potential,
Convinced that States should take necessary measures to ensure that the
management of hazardous wastes and other wastes including their transboundary
movement and disposal is consistent with the protection of human health and the
environment whatever the place of disposal,
Noting that States should ensure that the generator should carry out duties with
regard to the transport and disposal of hazardous wastes and other wastes in a manner
that is consistent with the protection of the environment, whatever the place of
disposal,
Fully recognizing that any State has the sovereign right to ban the entry or
disposal of foreign hazardous wastes and other wastes in its territory,
1 The Conference of the Parties adopted Decision III/1 at its third meeting to amend the Convention by
adding a new preambular paragraph 7 bis. The amendment is not yet in force. Decision III/1 provides
as follows:
“The Conference
…
3 Decides to adopt the following amendment to the Convention:
‘Insert new preambular paragraph 7 bis:
Recognizing that transboundary movements of hazardous wastes, especially to developing
countries, have a high risk of not constituting an environmentally sound management of hazardous
wastes as required by this Convention;
…’”
Recognizing also the increasing desire for the prohibition of transboundary
movements of hazardous wastes and their disposal in other States, especially
developing countries,
Convinced that hazardous wastes and other wastes should, as far as is
compatible with environmentally sound and efficient management, be disposed of in
the State where they were generated,
Aware also that transboundary movements of such wastes from the State of
their generation to any other State should be permitted only when conducted under
conditions which do not endanger human health and the environment, and under
conditions in conformity with the provisions of this Convention,
Considering that enhanced control of transboundary movement of hazardous
wastes and other wastes will act as an incentive for their environmentally sound
management and for the reduction of the volume of such transboundary movement,
Convinced that States should take measures for the proper exchange of
information on and control of the transboundary movement of hazardous wastes and
other wastes from and to those States,
Noting that a number of international and regional agreements have addressed
the issue of protection and preservation of the environment with regard to the transit
of dangerous goods,
Taking into account the Declaration of the United Nations Conference on the
Human Environment (Stockholm, 1972), the Cairo Guidelines and Principles for the
Environmentally Sound Management of Hazardous Wastes adopted by the Governing
Council of the United Nations Environment Programme (UNEP) by decision 14/30 of
17 June 1987, the Recommendations of the United Nations Committee of Experts on
the Transport of Dangerous Goods (formulated in 1957 and updated biennially),
relevant recommendations, declarations, instruments and regulations adopted within
the United Nations system and the work and studies done within other international
and regional organizations,
Mindful of the spirit, principles, aims and functions of the World Charter for
Nature adopted by the General Assembly of the United Nations at its thirty-seventh
session (1982) as the rule of ethics in respect of the protection of the human
environment and the conservation of natural resources,
Affirming that States are responsible for the fulfilment of their international
obligations concerning the protection of human health and protection and preservation
of the environment, and are liable in accordance with international law,
Recognizing that in the case of a material breach of the provisions of this
Convention or any protocol thereto the relevant international law of treaties shall
apply,
Aware of the need to continue the development and implementation of
environmentally sound low-waste technologies, recycling options, good housekeeping
and management systems with a view to reducing to a minimum the
generation of hazardous wastes and other wastes,
Aware also of the growing international concern about the need for stringent
control of transboundary movement of hazardous wastes and other wastes, and of the
need as far as possible to reduce such movement to a minimum,
Concerned about the problem of illegal transboundary traffic in hazardous
wastes and other wastes,
Taking into account also the limited capabilities of the developing countries to
manage hazardous wastes and other wastes,
Recognizing the need to promote the transfer of technology for the sound
management of hazardous wastes and other wastes produced locally, particularly to
the developing countries in accordance with the spirit of the Cairo Guidelines and
decision 14/16 of the Governing Council of UNEP on Promotion of the transfer of
environmental protection technology,
Recognizing also that hazardous wastes and other wastes should be
transported in accordance with relevant international conventions and
recommendations,
Convinced also that the transboundary movement of hazardous wastes and
other wastes should be permitted only when the transport and the ultimate disposal of
such wastes is environmentally sound, and
Determined to protect, by strict control, human health and the environment
against the adverse effects which may result from the generation and management of
hazardous wastes and other wastes,
HAVE AGREED AS FOLLOWS:
Article 1
Scope of the Convention
1. The following wastes that are subject to transboundary movement shall be
“hazardous wastes” for the purposes of this Convention:
(a) Wastes that belong to any category contained in Annex I, unless they do
not possess any of the characteristics contained in Annex III; and
(b) Wastes that are not covered under paragraph (a) but are defined as, or are
considered to be, hazardous wastes by the domestic legislation of the Party of export,
import or transit.
2. Wastes that belong to any category contained in Annex II that are subject to
transboundary movement shall be “other wastes” for the purposes of this Convention.
3. Wastes which, as a result of being radioactive, are subject to other
international control systems, including international instruments, applying
specifically to radioactive materials, are excluded from the scope of this Convention.
4. Wastes which derive from the normal operations of a ship, the discharge of
which is covered by another international instrument, are excluded from the scope of
this Convention.
Article 2
Definitions
For the purposes of this Convention:
1. “Wastes” are substances or objects which are disposed of or are intended to be
disposed of or are required to be disposed of by the provisions of national law;
2. “Management” means the collection, transport and disposal of hazardous
wastes or other wastes, including after-care of disposal sites;
3. “Transboundary movement” means any movement of hazardous wastes or
other wastes from an area under the national jurisdiction of one State to or through an
area under the national jurisdiction of another State or to or through an area not under
the national jurisdiction of any State, provided at least two States are involved in the
movement;
4. “Disposal” means any operation specified in Annex IV to this Convention;
5. “Approved site or facility” means a site or facility for the disposal of
hazardous wastes or other wastes which is authorized or permitted to operate for this
purpose by a relevant authority of the State where the site or facility is located;
6. “Competent authority” means one governmental authority designated by a
Party to be responsible, within such geographical areas as 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, as
provided in Article 6;
7. “Focal point” means the entity of a Party referred to in Article 5 responsible
for receiving and submitting information as provided for in Articles 13 and 16;
8. “Environmentally sound management of hazardous wastes or other wastes”
means taking all practicable steps to ensure that hazardous wastes or other wastes are
managed in a manner which will protect human health and the environment against
the adverse effects which may result from such wastes;
9. “Area under the national jurisdiction of a State” means any land, marine area
or airspace within which a State exercises administrative and regulatory responsibility
in accordance with international law in regard to the protection of human health or the
environment;
10. “State of export” means a Party from which a transboundary movement of
hazardous wastes or other wastes is planned to be initiated or is initiated;
11. “State of import” means a Party to which a transboundary movement of
hazardous wastes or other wastes is planned or takes place for the purpose of disposal
therein or for the purpose of loading prior to disposal in an area not under the national
jurisdiction of any State;
12. “State of transit” means any State, other than the State of export or import,
through which a movement of hazardous wastes or other wastes is planned or takes
place;
13. “States concerned” means Parties which are States of export or import, or
transit States, whether or not Parties;
14. “Person” means any natural or legal person;
15. “Exporter” means any person under the jurisdiction of the State of export who
arranges for hazardous wastes or other wastes to be exported;
16. “Importer” means any person under the jurisdiction of the State of import who
arranges for hazardous wastes or other wastes to be imported;
17. “Carrier” means any person who carries out the transport of hazardous wastes
or other wastes;
18. “Generator” means any person whose activity produces hazardous wastes or
other wastes or, if that person is not known, the person who is in possession and/or
control of those wastes;
19. “Disposer” means any person to whom hazardous wastes or other wastes are
shipped and who carries out the disposal of such wastes;
20. “Political and/or economic integration organization” means an organization
constituted by sovereign States to which its member States have transferred
competence in respect of matters governed by this Convention and which has been
duly authorized, in accordance with its internal procedures, to sign, ratify, accept,
approve, formally confirm or accede to it;
21. “Illegal traffic” means any transboundary movement of hazardous wastes or
other wastes as specified in Article 9.
Article 3
National Definitions of Hazardous Wastes
1. Each Party shall, within six months of becoming a Party to this Convention,
inform the Secretariat of the Convention of the wastes, other than those listed in
Annexes I and II, considered or defined as hazardous under its national legislation and
of any requirements concerning transboundary movement procedures applicable to
such wastes.
2. Each Party shall subsequently inform the Secretariat of any significant
changes to the information it has provided pursuant to paragraph 1.
3. The Secretariat shall forthwith inform all Parties of the information it has
received pursuant to paragraphs 1 and 2.
4. Parties shall be responsible for making the information transmitted to them by
the Secretariat under paragraph 3 available to their exporters.
Article 42
General Obligations
1. (a) Parties exercising their right to prohibit the import of hazardous wastes
or other wastes for disposal shall inform the other Parties of their decision pursuant to
Article 13.
2 The Conference of the Parties adopted Decision III/1 at its third meeting to amend the Convention by
adding a new Article 4A. The amendment is not yet in force. Decision III/1 provides as follows:
“The Conference
…
3 Decides to adopt the following amendment to the Convention:
…
‘Insert new Article 4A:
1. Each Party listed in Annex VII shall prohibit all transboundary movements of
hazardous wastes which are destined for operations according to Annex IV A, to States not listed in
Annex VII.
2. Each Party listed in Annex VII shall phase out by 31 December 1997, and prohibit as
of that date, all transboundary movements of hazardous wastes under Article 1(1)(a) of the Convention
which are destined for operations according to Annex IV B to States not listed in Annex VII. Such
transboundary movement shall not be prohibited unless the wastes in question are characterised as
hazardous under the Convention.
…’”
(b) Parties shall prohibit or shall not permit the export of hazardous wastes
and other wastes to the Parties which have prohibited the import of such wastes, when
notified pursuant to subparagraph (a) above.
(c) Parties shall prohibit or shall not permit the export of hazardous wastes
and other wastes if the State of import does not consent in writing to the specific
import, in the case where that State of import has not prohibited the import of such
wastes.
2. Each Party shall take the appropriate measures to:
(a) Ensure that the generation of hazardous wastes and other wastes within it
is reduced to a minimum, taking into account social, technological and economic
aspects;
(b) Ensure the availability of adequate disposal facilities, for the
environmentally sound management of hazardous wastes and other wastes, that shall
be located, to the extent possible, within it, whatever the place of their disposal;
(c) Ensure that persons involved in the management of hazardous wastes or
other wastes within it take such steps as are necessary to prevent pollution due to
hazardous wastes and other wastes arising from such management and, if such
pollution occurs, to minimize the consequences thereof for human health and the
environment;
(d) 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;
(e) Not allow the export of hazardous wastes or other wastes to a State or
group of States belonging to an economic and/or political integration organization that
are Parties, particularly developing countries, which have prohibited by their
legislation all imports, or if it has reason to believe that the wastes in question will not
be managed in an environmentally sound manner, according to criteria to be decided
on by the Parties at their first meeting;
(f) Require that information about a proposed transboundary movement of
hazardous wastes and other wastes be provided to the States concerned, according to
Annex V A, to state clearly the effects of the proposed movement on human health
and the environment;
(g) Prevent the import of hazardous wastes and other wastes if it has reason
to believe that the wastes in question will not be managed in an environmentally
sound manner;
(h) Co-operate in activities with other Parties and interested organizations,
directly and through the Secretariat, including the dissemination of information on the
transboundary movement of hazardous wastes and other wastes, in order to improve
the environmentally sound management of such wastes and to achieve the prevention
of illegal traffic.
3. The Parties consider that illegal traffic in hazardous wastes or other wastes is
criminal.
4. Each Party shall take appropriate legal, administrative and other measures to
implement and enforce the provisions of this Convention, including measures to
prevent and punish conduct in contravention of the Convention.
5. A Party shall not permit hazardous wastes or other wastes to be exported to a
non-Party or to be imported from a non-Party.
6. The Parties agree not to allow the export of hazardous wastes or other wastes
for disposal within the area south of 60° South latitude, whether or not such wastes
are subject to transboundary movement.
7. Furthermore, each Party shall:
(a) Prohibit all persons under its national jurisdiction from transporting or
disposing of hazardous wastes or other wastes unless such persons are authorized or
allowed to perform such types of operations;
(b) Require that hazardous wastes and other wastes that are to be the subject
of a transboundary movement be packaged, labelled, and transported in conformity
with generally accepted and recognized international rules and standards in the field
of packaging, labelling, and transport, and that due account is taken of relevant
internationally recognized practices;
(c) Require that hazardous wastes and other wastes be accompanied by a
movement document from the point at which a transboundary movement commences
to the point of disposal.
8. Each Party shall require that hazardous wastes or other wastes, to be exported,
are managed in an environmentally sound manner in the State of import or elsewhere.
Technical guidelines for the environmentally sound management of wastes subject to
this Convention shall be decided by the Parties at their first meeting.
9. Parties shall take the appropriate measures to ensure that the transboundary
movement of hazardous wastes and other wastes only be allowed if:
(a) The State of export does not have the technical capacity and the
necessary facilities, capacity or suitable disposal sites in order to dispose of the wastes
in question in an environmentally sound and efficient manner; or
(b) The wastes in question are required as a raw material for recycling or
recovery industries in the State of import; or
(c) The transboundary movement in question is in accordance with other
criteria to be decided by the Parties, provided those criteria do not differ from the
objectives of this Convention.
10. The obligation under this Convention of States in which hazardous wastes and
other wastes are generated to require that those wastes are managed in an
environmentally sound manner may not under any circumstances be transferred to the
States of import or transit.
11. Nothing in this Convention shall prevent a Party from imposing additional
requirements that are consistent with the provisions of this Convention, and are in
accordance with the rules of international law, in order better to protect human health
and the environment.
12. Nothing in this Convention shall affect in any way the sovereignty of States
over their territorial sea established in accordance with international law, and the
sovereign rights and the jurisdiction which States have in their exclusive economic
zones and their continental shelves in accordance with international law, and the
exercise by ships and aircraft of all States of navigational rights and freedoms as
provided for in international law and as reflected in relevant international instruments.
13. Parties shall undertake to review periodically the possibilities for the reduction
of the amount and/or the pollution potential of hazardous wastes and other wastes
which are exported to other States, in particular to developing countries.