Summary of the "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal" is available from the UNEP Register of International Treaties and Other Agreements in the Field of the Environment.
See the ENTRI query system for information about the status of this treaty.
BASEL CONVENTION ON THE CONTROL OF
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
AND THEIR DISPOSAL (1989)
Entered into Force May 5, 1992
PREAMBLE
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 their 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,
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 environment
BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL (1989)
This data access service is provided by the Center for International Earth Science Information Network (CIESIN), which operates the Socioeconomic Data and Applications Center (SEDAC) for the U.S. National Aeronautics and Space Administration (NASA).
Environmental Treaties and Resource Indicators (ENTRI) -- Full Text
Note: Additional material related to this treaty is available from the Basel Convention Secretariat or via the Basel Search Engines.
Summary of the "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal" is available from the UNEP Register of International Treaties and Other Agreements in the Field of the Environment.
See the ENTRI query system for information about the status of this treaty.
See the ENTRI thematic guide for more information about the relationships between environmental treaties, national resource indicators, and remotely sensed data.
BASEL CONVENTION ON THE CONTROL OF
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
AND THEIR DISPOSAL (1989)
Entered into Force May 5, 1992
PREAMBLE
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 their 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,
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
house-keeping 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 i
BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL (1989)
This data access service is provided by the Center for International Earth Science Information Network (CIESIN), which operates the Socioeconomic Data and Applications Center (SEDAC) for the U.S. National Aeronautics and Space Administration (NASA).
Environmental Treaties and Resource Indicators (ENTRI) -- Full Text
Note: Additional material related to this treaty is available from the Basel Convention Secretariat or via the Basel Search Engines.
Summary of the "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal" is available from the UNEP Register of International Treaties and Other Agreements in the Field of the Environment.
See the ENTRI query system for information about the status of this treaty.
See the ENTRI thematic guide for more information about the relationships between environmental treaties, national resource indicators, and remotely sensed data.
BASEL CONVENTION ON THE CONTROL OF
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
AND THEIR DISPOSAL (1989)
Entered into Force May 5, 1992
PREAMBLE
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 their 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,
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
house-keeping 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 tit, 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
BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL (1989)
This data access service is provided by the Center for International Earth Science Information Network (CIESIN), which operates the Socioeconomic Data and Applications Center (SEDAC) for the U.S. National Aeronautics and Space Administration (NASA).
Environmental Treaties and Resource Indicators (ENTRI) -- Full Text
Note: Additional material related to this treaty is available from the Basel Convention Secretariat or via the Basel Search Engines.
Summary of the "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal" is available from the UNEP Register of International Treaties and Other Agreements in the Field of the Environment.
See the ENTRI query system for information about the status of this treaty.
See the ENTRI thematic guide for more information about the relationships between environmental treaties, national resource indicators, and remotely sensed data.
BASEL CONVENTION ON THE CONTROL OF
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
AND THEIR DISPOSAL (1989)
Entered into Force May 5, 1992
PREAMBLE
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 their 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,
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
house-keeping 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 tit, 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 4
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.
(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 movemen
BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL (1989)
This data access service is provided by the Center for International Earth Science Information Network (CIESIN), which operates the Socioeconomic Data and Applications Center (SEDAC) for the U.S. National Aeronautics and Space Administration (NASA).
Environmental Treaties and Resource Indicators (ENTRI) -- Full Text
Note: Additional material related to this treaty is available from the Basel Convention Secretariat or via the Basel Search Engines.
Summary of the "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal" is available from the UNEP Register of International Treaties and Other Agreements in the Field of the Environment.
See the ENTRI query system for information about the status of this treaty.
See the ENTRI thematic guide for more information about the relationships between environmental treaties, national resource indicators, and remotely sensed data.
BASEL CONVENTION ON THE CONTROL OF
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
AND THEIR DISPOSAL (1989)
Entered into Force May 5, 1992
PREAMBLE
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 their 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,
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
house-keeping 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 tit, 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 4
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.
(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 degrees 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 internationa
BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL (1989)
This data access service is provided by the Center for International Earth Science Information Network (CIESIN), which operates the Socioeconomic Data and Applications Center (SEDAC) for the U.S. National Aeronautics and Space Administration (NASA).
Environmental Treaties and Resource Indicators (ENTRI) -- Full Text
Note: Additional material related to this treaty is available from the Basel Convention Secretariat or via the Basel Search Engines.
Summary of the "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal" is available from the UNEP Register of International Treaties and Other Agreements in the Field of the Environment.
See the ENTRI query system for information about the status of this treaty.
See the ENTRI thematic guide for more information about the relationships between environmental treaties, national resource indicators, and remotely sensed data.
BASEL CONVENTION ON THE CONTROL OF
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
AND THEIR DISPOSAL (1989)
Entered into Force May 5, 1992
PREAMBLE
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 their 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,
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
house-keeping 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 tit, 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 4
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.
(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 degrees 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.
Article 5
Designation of Competent Authorities and Focal Point
To facilitate the implementation of this Convention, the Parties shall:
1. Designate or establish one or more competent authorities and one focal
point. One competent authority shall be designated to receive the
notification in case of a State of transit.
2. Inform the Secretariat, within three months of the date of the entry
into force of this Convention for them, which agencies they have designated
as their focal point and their competent authorities.
3. Inform the Secretariat, within one month of the date of decision, of any
changes regarding the designation made by them under paragraph 2 above.
Article 6
Transboundary Movement between Parties
1. The State of export shall notify, or shall require the generator or
exporter to notify, in writing, through the channel of the competent
authority of the State of export, the competent authority of the States
concerned of any proposed transboundary movement of hazardous wastes or
other wastes Such notification shall contain the declarations and
information specified in Annex V A, written in a language acceptable to the
State of import. Only one notification needs to be sent to each State
concerned.
2. The State of import shall respond to the notifier in writing, consenting
to the movement with or without conditions, denying permission for the
movement, or requesting additional information. A copy of the final
response of the State of import shall be sent to the competent authorities
of the States concerned which are Parties.
3. The State of export shall not allow the generator or exporter to
commence the transboundary movement until it has received written
confirmation that:
(a) The notifier has received the written consent of the State of import;
and
(b) The notifier has received from the State of import confirmation of
the existence of a contract between the exporter and the disposer
specifying environmentally sound management of the wastes in question.
4. Each State of transit which is a Party shall promptly acknowledge to the
notifier receipt of the notification. It may subsequently respond to the
notifier in writing, within 60 days, consenting to the movement with or
without conditions, denying permission for the movement, or requesting
additional information. The State of export shall not allow the
transboundary movement to commence until it has received the written
consent of the State of transit. However, if at any time a Party decides
not to require prior written consent, either generally or under specific
conditions, for transit transboundary movements of hazardous wastes or
other wastes, or modifies its requirements in this respect, it shall
forthwith inform the other Parties of its decision pursuant to Article 13.
In this latter case, if no response is received by the State of export
within 60 days of the receipt of a given notification by the State of
transit, the State of export may allow the export to proceed through the
State of transit.
5. In the case of a transboundary movement of wastes where the wastes are
legally defined as or considered to be hazardous wastes only:
(a) By the State of export, the requirements of paragraph 9 of this
Article that apply to the importer or disposer and the State of import
shall apply mutatis mutandis to the exporter and State of export,
respectively;
(b) By the State of import, or by the States of import and transit which
are Parties, the requirements of paragraphs 1, 3, 4 and 6 of this Article
that apply to the exporter and State of export shall apply mutatis mutandis
to the importer or disposer and State of import, respectively; or
(c) By any State of transit which is a Party, the provisions of paragra
BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL (1989)
This data access service is provided by the Center for International Earth Science Information Network (CIESIN), which operates the Socioeconomic Data and Applications Center (SEDAC) for the U.S. National Aeronautics and Space Administration (NASA).
Environmental Treaties and Resource Indicators (ENTRI) -- Full Text
Note: Additional material related to this treaty is available from the Basel Convention Secretariat or via the Basel Search Engines.
Summary of the "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal" is available from the UNEP Register of International Treaties and Other Agreements in the Field of the Environment.
See the ENTRI query system for information about the status of this treaty.
See the ENTRI thematic guide for more information about the relationships between environmental treaties, national resource indicators, and remotely sensed data.
BASEL CONVENTION ON THE CONTROL OF
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
AND THEIR DISPOSAL (1989)
Entered into Force May 5, 1992
PREAMBLE
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 their 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,
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
house-keeping 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 tit, 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 4
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.
(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 degrees 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.
Article 5
Designation of Competent Authorities and Focal Point
To facilitate the implementation of this Convention, the Parties shall:
1. Designate or establish one or more competent authorities and one focal
point. One competent authority shall be designated to receive the
notification in case of a State of transit.
2. Inform the Secretariat, within three months of the date of the entry
into force of this Convention for them, which agencies they have designated
as their focal point and their competent authorities.
3. Inform the Secretariat, within one month of the date of decision, of any
changes regarding the designation made by them under paragraph 2 above.
Article 6
Transboundary Movement between Parties
1. The State of export shall notify, or shall require the generator or
exporter to notify, in writing, through the channel of the competent
authority of the State of export, the competent authority of the States
concerned of any proposed transboundary movement of hazardous wastes or
other wastes Such notification shall contain the declarations and
information specified in Annex V A, written in a language acceptable to the
State of import. Only one notification needs to be sent to each State
concerned.
2. The State of import shall respond to the notifier in writing, consenting
to the movement with or without conditions, denying permission for the
movement, or requesting additional information. A copy of the final
response of the State of import shall be sent to the competent authorities
of the States concerned which are Parties.
3. The State of export shall not allow the generator or exporter to
commence the transboundary movement until it has received written
confirmation that:
(a) The notifier has received the written consent of the State of import;
and
(b) The notifier has received from the State of import confirmation of
the existence of a contract between the exporter and the disposer
specifying environmentally sound management of the wastes in question.
4. Each State of transit which is a Party shall promptly acknowledge to the
notifier receipt of the notification. It may subsequently respond to the
notifier in writing, within 60 days, consenting to the movement with or
without conditions, denying permission for the movement, or requesting
additional information. The State of export shall not allow the
transboundary movement to commence until it has received the written
consent of the State of transit. However, if at any time a Party decides
not to require prior written consent, either generally or under specific
conditions, for transit transboundary movements of hazardous wastes or
other wastes, or modifies its requirements in this respect, it shall
forthwith inform the other Parties of its decision pursuant to Article 13.
In this latter case, if no response is received by the State of export
within 60 days of the receipt of a given notification by the State of
transit, the State of export may allow the export to proceed through the
State of transit.
5. In the case of a transboundary movement of wastes where the wastes are
legally defined as or considered to be hazardous wastes only:
(a) By the State of export, the requirements of paragraph 9 of this
Article that apply to the importer or disposer and the State of import
shall apply mutatis mutandis to the exporter and State of export,
respectively;
(b) By the State of import, or by the States of import and transit which
are Parties, the requirements of paragraphs 1, 3, 4 and 6 of this Article
that apply to the exporter and State of export shall apply mutatis mutandis
to the importer or disposer and State of import, respectively; or
(c) By any State of transit which is a Party, the provisions of paragraph
4 shall apply to such State.
6. The State of export may, subject to the written consent of the States
concerned, allow the generator or the exporter to use a general
notification where hazardous wastes or other wastes having the same
physical and chemical characteristics are shipped regularly to the same
disposer via the same customs office of exit of the State of export via the
same customs office of entry of the State of import, and, in the case of
transit, via the same customs office of entry and exit of the State or
States of transit.
7. The States concerned may make their written consent to the use of the
general notification referred to in paragraph 6 subject to the supply of
certain information, such as the exact quantities or periodical lists of
hazardous wastes or other wastes to be shipped.
8. The general notification and written consent referred to in paragraphs 6
and 7 may cover multiple shipments of hazardous wastes or other wastes
during a maximum period of 12 months.
9. The Parties shall require that each person who takes charge of a
transboundary movement of hazardous wastes or other wastes sign the
movement document either upon delivery or receipt of the wastes in
question. They shall also require that the disposer 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 shall so notify the State of import.
10. The notification and response required by this Article shall be
transmitted to the competent authority of the Parties concerned or to such
governmental authority as may be appropriate in the case of non-Parties.
11. Any transboundary movement of hazardous wastes or other wastes shall be
covered by insurance, bond or other guarantee as may be required by the
State of import or any State of transit which is a Party.
Article 7
Transboundary Movement from a Party through
States which are not Parties
Paragraph 2 of Article 6 of the Convention shall apply mutatis mutandis to
transboundary movement of hazardous wastes or other wastes from a Party
through a State or States which are not Parties.
Article 8
Duty to Re-import
When a transboundary movement of hazardous wastes or other wastes to which
the consent of the States concerned has been given, subject to the
provisions of this Convention, cannot be completed in accordance with the
terms of the contract, the State of export shall ensure that the wastes in
question are taken back into the State of export, by the exporter, if
alternative arrangements cannot be made for their disposal in an
environmentally sound manner, within 90 days from the time that the
importing State informed the State of export and the Secretariat, or such
other period of time as the States concerned agree. To this end, the State
of export and any Party of transit shall not oppose, hinder or prevent the
return of those wastes to the State of export.
Article 9
Illegal Traffic
1. For the purpose of this Convention, any transboundary movement of
hazardous wastes or other wastes:
(a) without notification pursuant to the provisions of this Convention to
all States concerned; or
(b) without the consent pursuant to the provisions of this Convention of
a State concerned; or
(c) with consent obtained from States concerned through falsification,
misrepresentation or fraud; or
(d) that does not conform in a material way with the documents; or
(e) that results in deliberate disposal (e.g. dumping) of hazardous
wastes or other wastes in contravention of this Convention and of general
principles of international law, shall be deemed to be illegal traffic.
2. In case of a transboundary movement of hazardous wastes or oth
BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL (1989)
This data access service is provided by the Center for International Earth Science Information Network (CIESIN), which operates the Socioeconomic Data and Applications Center (SEDAC) for the U.S. National Aeronautics and Space Administration (NASA).
Environmental Treaties and Resource Indicators (ENTRI) -- Full Text
Note: Additional material related to this treaty is available from the Basel Convention Secretariat or via the Basel Search Engines.
Summary of the "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal" is available from the UNEP Register of International Treaties and Other Agreements in the Field of the Environment.
See the ENTRI query system for information about the status of this treaty.
See the ENTRI thematic guide for more information about the relationships between environmental treaties, national resource indicators, and remotely sensed data.
BASEL CONVENTION ON THE CONTROL OF
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
AND THEIR DISPOSAL (1989)
Entered into Force May 5, 1992
PREAMBLE
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 their 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,
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
house-keeping 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 tit, 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 4
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.
(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 degrees 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.
Article 5
Designation of Competent Authorities and Focal Point
To facilitate the implementation of this Convention, the Parties shall:
1. Designate or establish one or more competent authorities and one focal
point. One competent authority shall be designated to receive the
notification in case of a State of transit.
2. Inform the Secretariat, within three months of the date of the entry
into force of this Convention for them, which agencies they have designated
as their focal point and their competent authorities.
3. Inform the Secretariat, within one month of the date of decision, of any
changes regarding the designation made by them under paragraph 2 above.
Article 6
Transboundary Movement between Parties
1. The State of export shall notify, or shall require the generator or
exporter to notify, in writing, through the channel of the competent
authority of the State of export, the competent authority of the States
concerned of any proposed transboundary movement of hazardous wastes or
other wastes Such notification shall contain the declarations and
information specified in Annex V A, written in a language acceptable to the
State of import. Only one notification needs to be sent to each State
concerned.
2. The State of import shall respond to the notifier in writing, consenting
to the movement with or without conditions, denying permission for the
movement, or requesting additional information. A copy of the final
response of the State of import shall be sent to the competent authorities
of the States concerned which are Parties.
3. The State of export shall not allow the generator or exporter to
commence the transboundary movement until it has received written
confirmation that:
(a) The notifier has received the written consent of the State of import;
and
(b) The notifier has received from the State of import confirmation of
the existence of a contract between the exporter and the disposer
specifying environmentally sound management of the wastes in question.
4. Each State of transit which is a Party shall promptly acknowledge to the
notifier receipt of the notification. It may subsequently respond to the
notifier in writing, within 60 days, consenting to the movement with or
without conditions, denying permission for the movement, or requesting
additional information. The State of export shall not allow the
transboundary movement to commence until it has received the written
consent of the State of transit. However, if at any time a Party decides
not to require prior written consent, either generally or under specific
conditions, for transit transboundary movements of hazardous wastes or
other wastes, or modifies its requirements in this respect, it shall
forthwith inform the other Parties of its decision pursuant to Article 13.
In this latter case, if no response is received by the State of export
within 60 days of the receipt of a given notification by the State of
transit, the State of export may allow the export to proceed through the
State of transit.
5. In the case of a transboundary movement of wastes where the wastes are
legally defined as or considered to be hazardous wastes only:
(a) By the State of export, the requirements of paragraph 9 of this
Article that apply to the importer or disposer and the State of import
shall apply mutatis mutandis to the exporter and State of export,
respectively;
(b) By the State of import, or by the States of import and transit which
are Parties, the requirements of paragraphs 1, 3, 4 and 6 of this Article
that apply to the exporter and State of export shall apply mutatis mutandis
to the importer or disposer and State of import, respectively; or
(c) By any State of transit which is a Party, the provisions of paragraph
4 shall apply to such State.
6. The State of export may, subject to the written consent of the States
concerned, allow the generator or the exporter to use a general
notification where hazardous wastes or other wastes having the same
physical and chemical characteristics are shipped regularly to the same
disposer via the same customs office of exit of the State of export via the
same customs office of entry of the State of import, and, in the case of
transit, via the same customs office of entry and exit of the State or
States of transit.
7. The States concerned may make their written consent to the use of the
general notification referred to in paragraph 6 subject to the supply of
certain information, such as the exact quantities or periodical lists of
hazardous wastes or other wastes to be shipped.
8. The general notification and written consent referred to in paragraphs 6
and 7 may cover multiple shipments of hazardous wastes or other wastes
during a maximum period of 12 months.
9. The Parties shall require that each person who takes charge of a
transboundary movement of hazardous wastes or other wastes sign the
movement document either upon delivery or receipt of the wastes in
question. They shall also require that the disposer 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 shall so notify the State of import.
10. The notification and response required by this Article shall be
transmitted to the competent authority of the Parties concerned or to such
governmental authority as may be appropriate in the case of non-Parties.
11. Any transboundary movement of hazardous wastes or other wastes shall be
covered by insurance, bond or other guarantee as may be required by the
State of import or any State of transit which is a Party.
Article 7
Transboundary Movement from a Party through
States which are not Parties
Paragraph 2 of Article 6 of the Convention shall apply mutatis mutandis to
transboundary movement of hazardous wastes or other wastes from a Party
through a State or States which are not Parties.
Article 8
Duty to Re-import
When a transboundary movement of hazardous wastes or other wastes to which
the consent of the States concerned has been given, subject to the
provisions of this Convention, cannot be completed in accordance with the
terms of the contract, the State of export shall ensure that the wastes in
question are taken back into the State of export, by the exporter, if
alternative arrangements cannot be made for their disposal in an
environmentally sound manner, within 90 days from the time that the
importing State informed the State of export and the Secretariat, or such
other period of time as the States concerned agree. To this end, the State
of export and any Party of transit shall not oppose, hinder or prevent the
return of those wastes to the State of export.
Article 9
Illegal Traffic
1. For the purpose of this Convention, any transboundary movement of
hazardous wastes or other wastes:
(a) without notification pursuant to the provisions of this Convention to
all States concerned; or
(b) without the consent pursuant to the provisions of this Convention of
a State concerned; or
(c) with consent obtained from States concerned through falsification,
misrepresentation or fraud; or
(d) that does not conform in a material way with the documents; or
(e) that results in deliberate disposal (e.g. dumping) of hazardous
wastes or other wastes in contravention of this Convention and of general
principles of international law, shall be deemed to be illegal traffic.
2. In case of a transboundary movement of hazardous wastes or other wastes
deemed to be illegal traffic as the result of conduct on the part of the
exporter or generator, the State of export shall ensure that the wastes in
question are:
(a) taken back by the exporter or the generator or, if necessary, by
itself into the State of export, or, if impracticable,
(b) are otherwise disposed of in accordance with the provisions of this
Convention,
within 30 days from the time the State of export has been informed about
the illegal traffic or such other period of time as States concerned may
agree. To this end the Parties concerned shall not oppose, hinder or
prevent the return of those wastes to the State of export.
3. In the case of a transboundary movement of hazardous wastes or other
wastes deemed to be illegal traffic as the result of conduct on the part of
the importer or disposer, the State of import shall ensure that the wastes
in question are disposed of in an environmentally sound manner by the
importer or disposer or, if necessary, by itself within 30 days from the
time the illegal traffic has come to the attention of the State of import
or such other period of time as the States concerned may agree. To this
end, the Parties concerned shall co-operate, as necessary, in the disposal
of the wastes in an environmentally sound manner.
4. In cases where the responsibility for the illegal traffic cannot be
assigned either to the exporter or generator or to the importer or
disposer, the Parties concerned or other Parties, as appropriate, shall
ensure, through co-operation, that the wastes in question are disposed of
as soon as possible in an environmentally sound manner either in the State
of export or the State of import or elsewhere as appropriate.
5. Each Party shall introduce appropriate national/domestic legislation to
prevent and punish illegal traffic. The Parties shall co-operate with a
view to achieving the objects of this Article.
Article 10
International Co-operation
1. The Parties shall co-operate with each other in order to improve and
achieve environmentally sound management of hazardous wastes and other
wastes.
2. To this end, the Parties shall:
(a) Upon request, make available information, whether on a bilateral or
multilateral basis, with a view to promoting the environmentally sound
management of hazardous wastes and other wastes, including harmonization of
technical standards and practices for the adequate management of hazardous
wastes and other wastes;
(b) Co-operate in monitoring the effects of the management of hazardous
wastes on human health and the environment;
(c) Co-operate, subject to their national laws, regulations and policies,
in the development and implementation of new environmentally sound
low-waste technologies and the improvement of existing technologies with a
view to eliminating, as far as practicable, the generation of hazardous
wastes and other wastes and achieving more effective and efficient methods
of ensuring their management in an environmentally sound manner, including
the study of the economic, social and environmental effects of the adoption
of such new or improved technologies;
(d) Co-operate actively, subject to their national laws, regulations and
policies, in the transfer of technology and management systems related to
the environmentally sound management of hazardous wastes and other wastes.
They shall also co-operate in developing the technical capacity among
Parties, especially those which may need and request technical assistance
in this field;
(e) Co-operate in developing appropriate technical guidelines and/or
codes of practice.
3. The Parties shall employ appropriate means to cooperate in order to
assist developing countries in the implementation of subparagraphs a, b, c
and d of paragraph 2 of Article 4.
4. Taking into account the needs of developing countries, co-operation
between Parties and the competent international organizations is encouraged
to promote, inter alia, public awareness, the development of sound
management of hazardous wastes an
BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL (1989)
This data access service is provided by the Center for International Earth Science Information Network (CIESIN), which operates the Socioeconomic Data and Applications Center (SEDAC) for the U.S. National Aeronautics and Space Administration (NASA).
Environmental Treaties and Resource Indicators (ENTRI) -- Full Text
Note: Additional material related to this treaty is available from the Basel Convention Secretariat or via the Basel Search Engines.
Summary of the "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal" is available from the UNEP Register of International Treaties and Other Agreements in the Field of the Environment.
See the ENTRI query system for information about the status of this treaty.
See the ENTRI thematic guide for more information about the relationships between environmental treaties, national resource indicators, and remotely sensed data.
BASEL CONVENTION ON THE CONTROL OF
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
AND THEIR DISPOSAL (1989)
Entered into Force May 5, 1992
PREAMBLE
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 their 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,
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
house-keeping 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 tit, 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 4
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.
(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 degrees 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.
Article 5
Designation of Competent Authorities and Focal Point
To facilitate the implementation of this Convention, the Parties shall:
1. Designate or establish one or more competent authorities and one focal
point. One competent authority shall be designated to receive the
notification in case of a State of transit.
2. Inform the Secretariat, within three months of the date of the entry
into force of this Convention for them, which agencies they have designated
as their focal point and their competent authorities.
3. Inform the Secretariat, within one month of the date of decision, of any
changes regarding the designation made by them under paragraph 2 above.
Article 6
Transboundary Movement between Parties
1. The State of export shall notify, or shall require the generator or
exporter to notify, in writing, through the channel of the competent
authority of the State of export, the competent authority of the States
concerned of any proposed transboundary movement of hazardous wastes or
other wastes Such notification shall contain the declarations and
information specified in Annex V A, written in a language acceptable to the
State of import. Only one notification needs to be sent to each State
concerned.
2. The State of import shall respond to the notifier in writing, consenting
to the movement with or without conditions, denying permission for the
movement, or requesting additional information. A copy of the final
response of the State of import shall be sent to the competent authorities
of the States concerned which are Parties.
3. The State of export shall not allow the generator or exporter to
commence the transboundary movement until it has received written
confirmation that:
(a) The notifier has received the written consent of the State of import;
and
(b) The notifier has received from the State of import confirmation of
the existence of a contract between the exporter and the disposer
specifying environmentally sound management of the wastes in question.
4. Each State of transit which is a Party shall promptly acknowledge to the
notifier receipt of the notification. It may subsequently respond to the
notifier in writing, within 60 days, consenting to the movement with or
without conditions, denying permission for the movement, or requesting
additional information. The State of export shall not allow the
transboundary movement to commence until it has received the written
consent of the State of transit. However, if at any time a Party decides
not to require prior written consent, either generally or under specific
conditions, for transit transboundary movements of hazardous wastes or
other wastes, or modifies its requirements in this respect, it shall
forthwith inform the other Parties of its decision pursuant to Article 13.
In this latter case, if no response is received by the State of export
within 60 days of the receipt of a given notification by the State of
transit, the State of export may allow the export to proceed through the
State of transit.
5. In the case of a transboundary movement of wastes where the wastes are
legally defined as or considered to be hazardous wastes only:
(a) By the State of export, the requirements of paragraph 9 of this
Article that apply to the importer or disposer and the State of import
shall apply mutatis mutandis to the exporter and State of export,
respectively;
(b) By the State of import, or by the States of import and transit which
are Parties, the requirements of paragraphs 1, 3, 4 and 6 of this Article
that apply to the exporter and State of export shall apply mutatis mutandis
to the importer or disposer and State of import, respectively; or
(c) By any State of transit which is a Party, the provisions of paragraph
4 shall apply to such State.
6. The State of export may, subject to the written consent of the States
concerned, allow the generator or the exporter to use a general
notification where hazardous wastes or other wastes having the same
physical and chemical characteristics are shipped regularly to the same
disposer via the same customs office of exit of the State of export via the
same customs office of entry of the State of import, and, in the case of
transit, via the same customs office of entry and exit of the State or
States of transit.
7. The States concerned may make their written consent to the use of the
general notification referred to in paragraph 6 subject to the supply of
certain information, such as the exact quantities or periodical lists of
hazardous wastes or other wastes to be shipped.
8. The general notification and written consent referred to in paragraphs 6
and 7 may cover multiple shipments of hazardous wastes or other wastes
during a maximum period of 12 months.
9. The Parties shall require that each person who takes charge of a
transboundary movement of hazardous wastes or other wastes sign the
movement document either upon delivery or receipt of the wastes in
question. They shall also require that the disposer 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 shall so notify the State of import.
10. The notification and response required by this Article shall be
transmitted to the competent authority of the Parties concerned or to such
governmental authority as may be appropriate in the case of non-Parties.
11. Any transboundary movement of hazardous wastes or other wastes shall be
covered by insurance, bond or other guarantee as may be required by the
State of import or any State of transit which is a Party.
Article 7
Transboundary Movement from a Party through
States which are not Parties
Paragraph 2 of Article 6 of the Convention shall apply mutatis mutandis to
transboundary movement of hazardous wastes or other wastes from a Party
through a State or States which are not Parties.
Article 8
Duty to Re-import
When a transboundary movement of hazardous wastes or other wastes to which
the consent of the States concerned has been given, subject to the
provisions of this Convention, cannot be completed in accordance with the
terms of the contract, the State of export shall ensure that the wastes in
question are taken back into the State of export, by the exporter, if
alternative arrangements cannot be made for their disposal in an
environmentally sound manner, within 90 days from the time that the
importing State informed the State of export and the Secretariat, or such
other period of time as the States concerned agree. To this end, the State
of export and any Party of transit shall not oppose, hinder or prevent the
return of those wastes to the State of export.
Article 9
Illegal Traffic
1. For the purpose of this Convention, any transboundary movement of
hazardous wastes or other wastes:
(a) without notification pursuant to the provisions of this Convention to
all States concerned; or
(b) without the consent pursuant to the provisions of this Convention of
a State concerned; or
(c) with consent obtained from States concerned through falsification,
misrepresentation or fraud; or
(d) that does not conform in a material way with the documents; or
(e) that results in deliberate disposal (e.g. dumping) of hazardous
wastes or other wastes in contravention of this Convention and of general
principles of international law, shall be deemed to be illegal traffic.
2. In case of a transboundary movement of hazardous wastes or other wastes
deemed to be illegal traffic as the result of conduct on the part of the
exporter or generator, the State of export shall ensure that the wastes in
question are:
(a) taken back by the exporter or the generator or, if necessary, by
itself into the State of export, or, if impracticable,
(b) are otherwise disposed of in accordance with the provisions of this
Convention,
within 30 days from the time the State of export has been informed about
the illegal traffic or such other period of time as States concerned may
agree. To this end the Parties concerned shall not oppose, hinder or
prevent the return of those wastes to the State of export.
3. In the case of a transboundary movement of hazardous wastes or other
wastes deemed to be illegal traffic as the result of conduct on the part of
the importer or disposer, the State of import shall ensure that the wastes
in question are disposed of in an environmentally sound manner by the
importer or disposer or, if necessary, by itself within 30 days from the
time the illegal traffic has come to the attention of the State of import
or such other period of time as the States concerned may agree. To this
end, the Parties concerned shall co-operate, as necessary, in the disposal
of the wastes in an environmentally sound manner.
4. In cases where the responsibility for the illegal traffic cannot be
assigned either to the exporter or generator or to the importer or
disposer, the Parties concerned or other Parties, as appropriate, shall
ensure, through co-operation, that the wastes in question are disposed of
as soon as possible in an environmentally sound manner either in the State
of export or the State of import or elsewhere as appropriate.
5. Each Party shall introduce appropriate national/domestic legislation to
prevent and punish illegal traffic. The Parties shall co-operate with a
view to achieving the objects of this Article.
Article 10
International Co-operation
1. The Parties shall co-operate with each other in order to improve and
achieve environmentally sound management of hazardous wastes and other
wastes.
2. To this end, the Parties shall:
(a) Upon request, make available information, whether on a bilateral or
multilateral basis, with a view to promoting the environmentally sound
management of hazardous wastes and other wastes, including harmonization of
technical standards and practices for the adequate management of hazardous
wastes and other wastes;
(b) Co-operate in monitoring the effects of the management of hazardous
wastes on human health and the environment;
(c) Co-operate, subject to their national laws, regulations and policies,
in the development and implementation of new environmentally sound
low-waste technologies and the improvement of existing technologies with a
view to eliminating, as far as practicable, the generation of hazardous
wastes and other wastes and achieving more effective and efficient methods
of ensuring their management in an environmentally sound manner, including
the study of the economic, social and environmental effects of the adoption
of such new or improved technologies;
(d) Co-operate actively, subject to their national laws, regulations and
policies, in the transfer of technology and management systems related to
the environmentally sound management of hazardous wastes and other wastes.
They shall also co-operate in developing the technical capacity among
Parties, especially those which may need and request technical assistance
in this field;
(e) Co-operate in developing appropriate technical guidelines and/or
codes of practice.
3. The Parties shall employ appropriate means to cooperate in order to
assist developing countries in the implementation of subparagraphs a, b, c
and d of paragraph 2 of Article 4.
4. Taking into account the needs of developing countries, co-operation
between Parties and the competent international organizations is encouraged
to promote, inter alia, public awareness, the development of sound
management of hazardous wastes and other wastes and the adoption of new
low-waste technologies.
Article 11
Bilateral, Multilateral and Regional Agreements
1. Notwithstanding the provisions of Article 4 paragraph 5, Parties may
enter into bilateral, multilateral, or regional agreements or arrangements
regarding transboundary movement of hazardous wastes or other wastes with
Parties or non-Parties provided that such agreements or arrangements do not
derogate from the environmentally sound management of hazardous wastes and
other wastes as required by this Convention. These agreements or
arrangements shall stipulate provisions which are not less environmentally
sound than those provided for by this Convention in particular taking into
account the interests of developing countries.
2. Parties shall notify the Secretariat of any bilateral, multilateral or
regional agreements or arrangements referred to in paragraph 1 and those
which they have entered into prior to the entry into force of this
Convention for them, for the purpose of controlling transboundary movements
of hazardous wastes and other wastes which take place entirely among the
Parties to such agreements. The provisions of this Convention shall not
affect transboundary movements which take place pursuant to such agreements
provided that such agreements are compatible with the environmentally sound
management of hazardous wastes and other wastes as required by this
Convention.
Article 12
Consultations on Liability
The Parties shall co-operate with a view to adopting, as soon as
practicable, a protocol setting out appropriate rules and procedures in the
field of liability and compensation for damage resulting from the
transboundary movement and disposal of hazardous wastes and other wastes.
Article 13
Transmission of Information
1. The Parties shall, whenever it comes to their knowledge, ensure that, in
the case of an accident occurring during the transboundary movement of
hazardous wastes or other wastes or their disposal, which are likely to
present risks to human health and the environment in other States, those
states are immediately informed.
2. The Parties shall inform each other, through the Secretariat, of:
(a) Changes regarding the designation of competent authorities and/or
focal points, pursuant to Article 5;
(b) Changes in their national definition of hazardous wastes, pursuant to
Article 3; and, as soon as possible,
(c) Decisions made by them not to consent totally or partially to the
import of hazardous wastes or other wastes for disposal within the area
under their national jurisdiction;
(d) Decisions taken by them to limit or ban the export of hazardous
wastes or other wastes;
(e) Any other information required pursuant to paragraph 4 of this
Article.
3. The Parties, consistent with national laws and regulations, shall
transmit, through the Secretariat, to the Conference of the Parties
established under Article 15, before the end of each calendar year, a
report on the previous calendar year, containing the following information:
(a) Competent authorities and focal points that have been designated by
them pursuant to Article 5;
(b) Information regarding transboundary movements of hazardous wastes or
other wastes in which they have been involved, including:
(i) The amount of hazardous wastes and other wastes exported, their
category, characteristics, destination, any transit country and
disposal method as stated on the response to notification;
(ii) The amount of hazardous wastes and other wastes imported, their
category, characteristics, origin, and disposal methods;
(iii) Disposals which did not proceed as intended;
(iv) Efforts to achieve a reduction of the amount of hazardous wastes
or other wastes subject to transboundary movement;
(c) Information on the measures adopted by them in implementation of this
Convention;
(d) Information on available qualified statistic
BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL (1989)
This data access service is provided by the Center for International Earth Science Information Network (CIESIN), which operates the Socioeconomic Data and Applications Center (SEDAC) for the U.S. National Aeronautics and Space Administration (NASA).
Environmental Treaties and Resource Indicators (ENTRI) -- Full Text
Note: Additional material related to this treaty is available from the Basel Convention Secretariat or via the Basel Search Engines.
Summary of the "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal" is available from the UNEP Register of International Treaties and Other Agreements in the Field of the Environment.
See the ENTRI query system for information about the status of this treaty.
See the ENTRI thematic guide for more information about the relationships between environmental treaties, national resource indicators, and remotely sensed data.
BASEL CONVENTION ON THE CONTROL OF
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
AND THEIR DISPOSAL (1989)
Entered into Force May 5, 1992
PREAMBLE
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 their 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,
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
house-keeping 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 tit, 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 4
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.
(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 degrees 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.
Article 5
Designation of Competent Authorities and Focal Point
To facilitate the implementation of this Convention, the Parties shall:
1. Designate or establish one or more competent authorities and one focal
point. One competent authority shall be designated to receive the
notification in case of a State of transit.
2. Inform the Secretariat, within three months of the date of the entry
into force of this Convention for them, which agencies they have designated
as their focal point and their competent authorities.
3. Inform the Secretariat, within one month of the date of decision, of any
changes regarding the designation made by them under paragraph 2 above.
Article 6
Transboundary Movement between Parties
1. The State of export shall notify, or shall require the generator or
exporter to notify, in writing, through the channel of the competent
authority of the State of export, the competent authority of the States
concerned of any proposed transboundary movement of hazardous wastes or
other wastes Such notification shall contain the declarations and
information specified in Annex V A, written in a language acceptable to the
State of import. Only one notification needs to be sent to each State
concerned.
2. The State of import shall respond to the notifier in writing, consenting
to the movement with or without conditions, denying permission for the
movement, or requesting additional information. A copy of the final
response of the State of import shall be sent to the competent authorities
of the States concerned which are Parties.
3. The State of export shall not allow the generator or exporter to
commence the transboundary movement until it has received written
confirmation that:
(a) The notifier has received the written consent of the State of import;
and
(b) The notifier has received from the State of import confirmation of
the existence of a contract between the exporter and the disposer
specifying environmentally sound management of the wastes in question.
4. Each State of transit which is a Party shall promptly acknowledge to the
notifier receipt of the notification. It may subsequently respond to the
notifier in writing, within 60 days, consenting to the movement with or
without conditions, denying permission for the movement, or requesting
additional information. The State of export shall not allow the
transboundary movement to commence until it has received the written
consent of the State of transit. However, if at any time a Party decides
not to require prior written consent, either generally or under specific
conditions, for transit transboundary movements of hazardous wastes or
other wastes, or modifies its requirements in this respect, it shall
forthwith inform the other Parties of its decision pursuant to Article 13.
In this latter case, if no response is received by the State of export
within 60 days of the receipt of a given notification by the State of
transit, the State of export may allow the export to proceed through the
State of transit.
5. In the case of a transboundary movement of wastes where the wastes are
legally defined as or considered to be hazardous wastes only:
(a) By the State of export, the requirements of paragraph 9 of this
Article that apply to the importer or disposer and the State of import
shall apply mutatis mutandis to the exporter and State of export,
respectively;
(b) By the State of import, or by the States of import and transit which
are Parties, the requirements of paragraphs 1, 3, 4 and 6 of this Article
that apply to the exporter and State of export shall apply mutatis mutandis
to the importer or disposer and State of import, respectively; or
(c) By any State of transit which is a Party, the provisions of paragraph
4 shall apply to such State.
6. The State of export may, subject to the written consent of the States
concerned, allow the generator or the exporter to use a general
notification where hazardous wastes or other wastes having the same
physical and chemical characteristics are shipped regularly to the same
disposer via the same customs office of exit of the State of export via the
same customs office of entry of the State of import, and, in the case of
transit, via the same customs office of entry and exit of the State or
States of transit.
7. The States concerned may make their written consent to the use of the
general notification referred to in paragraph 6 subject to the supply of
certain information, such as the exact quantities or periodical lists of
hazardous wastes or other wastes to be shipped.
8. The general notification and written consent referred to in paragraphs 6
and 7 may cover multiple shipments of hazardous wastes or other wastes
during a maximum period of 12 months.
9. The Parties shall require that each person who takes charge of a
transboundary movement of hazardous wastes or other wastes sign the
movement document either upon delivery or receipt of the wastes in
question. They shall also require that the disposer 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 shall so notify the State of import.
10. The notification and response required by this Article shall be
transmitted to the competent authority of the Parties concerned or to such
governmental authority as may be appropriate in the case of non-Parties.
11. Any transboundary movement of hazardous wastes or other wastes shall be
covered by insurance, bond or other guarantee as may be required by the
State of import or any State of transit which is a Party.
Article 7
Transboundary Movement from a Party through
States which are not Parties
Paragraph 2 of Article 6 of the Convention shall apply mutatis mutandis to
transboundary movement of hazardous wastes or other wastes from a Party
through a State or States which are not Parties.
Article 8
Duty to Re-import
When a transboundary movement of hazardous wastes or other wastes to which
the consent of the States concerned has been given, subject to the
provisions of this Convention, cannot be completed in accordance with the
terms of the contract, the State of export shall ensure that the wastes in
question are taken back into the State of export, by the exporter, if
alternative arrangements cannot be made for their disposal in an
environmentally sound manner, within 90 days from the time that the
importing State informed the State of export and the Secretariat, or such
other period of time as the States concerned agree. To this end, the State
of export and any Party of transit shall not oppose, hinder or prevent the
return of those wastes to the State of export.
Article 9
Illegal Traffic
1. For the purpose of this Convention, any transboundary movement of
hazardous wastes or other wastes:
(a) without notification pursuant to the provisions of this Convention to
all States concerned; or
(b) without the consent pursuant to the provisions of this Convention of
a State concerned; or
(c) with consent obtained from States concerned through falsification,
misrepresentation or fraud; or
(d) that does not conform in a material way with the documents; or
(e) that results in deliberate disposal (e.g. dumping) of hazardous
wastes or other wastes in contravention of this Convention and of general
principles of international law, shall be deemed to be illegal traffic.
2. In case of a transboundary movement of hazardous wastes or other wastes
deemed to be illegal traffic as the result of conduct on the part of the
exporter or generator, the State of export shall ensure that the wastes in
question are:
(a) taken back by the exporter or the generator or, if necessary, by
itself into the State of export, or, if impracticable,
(b) are otherwise disposed of in accordance with the provisions of this
Convention,
within 30 days from the time the State of export has been informed about
the illegal traffic or such other period of time as States concerned may
agree. To this end the Parties concerned shall not oppose, hinder or
prevent the return of those wastes to the State of export.
3. In the case of a transboundary movement of hazardous wastes or other
wastes deemed to be illegal traffic as the result of conduct on the part of
the importer or disposer, the State of import shall ensure that the wastes
in question are disposed of in an environmentally sound manner by the
importer or disposer or, if necessary, by itself within 30 days from the
time the illegal traffic has come to the attention of the State of import
or such other period of time as the States concerned may agree. To this
end, the Parties concerned shall co-operate, as necessary, in the disposal
of the wastes in an environmentally sound manner.
4. In cases where the responsibility for the illegal traffic cannot be
assigned either to the exporter or generator or to the importer or
disposer, the Parties concerned or other Parties, as appropriate, shall
ensure, through co-operation, that the wastes in question are disposed of
as soon as possible in an environmentally sound manner either in the State
of export or the State of import or elsewhere as appropriate.
5. Each Party shall introduce appropriate national/domestic legislation to
prevent and punish illegal traffic. The Parties shall co-operate with a
view to achieving the objects of this Article.
Article 10
International Co-operation
1. The Parties shall co-operate with each other in order to improve and
achieve environmentally sound management of hazardous wastes and other
wastes.
2. To this end, the Parties shall:
(a) Upon request, make available information, whether on a bilateral or
multilateral basis, with a view to promoting the environmentally sound
management of hazardous wastes and other wastes, including harmonization of
technical standards and practices for the adequate management of hazardous
wastes and other wastes;
(b) Co-operate in monitoring the effects of the management of hazardous
wastes on human health and the environment;
(c) Co-operate, subject to their national laws, regulations and policies,
in the development and implementation of new environmentally sound
low-waste technologies and the improvement of existing technologies with a
view to eliminating, as far as practicable, the generation of hazardous
wastes and other wastes and achieving more effective and efficient methods
of ensuring their management in an environmentally sound manner, including
the study of the economic, social and environmental effects of the adoption
of such new or improved technologies;
(d) Co-operate actively, subject to their national laws, regulations and
policies, in the transfer of technology and management systems related to
the environmentally sound management of hazardous wastes and other wastes.
They shall also co-operate in developing the technical capacity among
Parties, especially those which may need and request technical assistance
in this field;
(e) Co-operate in developing appropriate technical guidelines and/or
codes of practice.
3. The Parties shall employ appropriate means to cooperate in order to
assist developing countries in the implementation of subparagraphs a, b, c
and d of paragraph 2 of Article 4.
4. Taking into account the needs of developing countries, co-operation
between Parties and the competent international organizations is encouraged
to promote, inter alia, public awareness, the development of sound
management of hazardous wastes and other wastes and the adoption of new
low-waste technologies.
Article 11
Bilateral, Multilateral and Regional Agreements
1. Notwithstanding the provisions of Article 4 paragraph 5, Parties may
enter into bilateral, multilateral, or regional agreements or arrangements
regarding transboundary movement of hazardous wastes or other wastes with
Parties or non-Parties provided that such agreements or arrangements do not
derogate from the environmentally sound management of hazardous wastes and
other wastes as required by this Convention. These agreements or
arrangements shall stipulate provisions which are not less environmentally
sound than those provided for by this Convention in particular taking into
account the interests of developing countries.
2. Parties shall notify the Secretariat of any bilateral, multilateral or
regional agreements or arrangements referred to in paragraph 1 and those
which they have entered into prior to the entry into force of this
Convention for them, for the purpose of controlling transboundary movements
of hazardous wastes and other wastes which take place entirely among the
Parties to such agreements. The provisions of this Convention shall not
affect transboundary movements which take place pursuant to such agreements
provided that such agreements are compatible with the environmentally sound
management of hazardous wastes and other wastes as required by this
Convention.
Article 12
Consultations on Liability
The Parties shall co-operate with a view to adopting, as soon as
practicable, a protocol setting out appropriate rules and procedures in the
field of liability and compensation for damage resulting from the
transboundary movement and disposal of hazardous wastes and other wastes.
Article 13
Transmission of Information
1. The Parties shall, whenever it comes to their knowledge, ensure that, in
the case of an accident occurring during the transboundary movement of
hazardous wastes or other wastes or their disposal, which are likely to
present risks to human health and the environment in other States, those
states are immediately informed.
2. The Parties shall inform each other, through the Secretariat, of:
(a) Changes regarding the designation of competent authorities and/or
focal points, pursuant to Article 5;
(b) Changes in their national definition of hazardous wastes, pursuant to
Article 3; and, as soon as possible,
(c) Decisions made by them not to consent totally or partially to the
import of hazardous wastes or other wastes for disposal within the area
under their national jurisdiction;
(d) Decisions taken by them to limit or ban the export of hazardous
wastes or other wastes;
(e) Any other information required pursuant to paragraph 4 of this
Article.
3. The Parties, consistent with national laws and regulations, shall
transmit, through the Secretariat, to the Conference of the Parties
established under Article 15, before the end of each calendar year, a
report on the previous calendar year, containing the following information:
(a) Competent authorities and focal points that have been designated by
them pursuant to Article 5;
(b) Information regarding transboundary movements of hazardous wastes or
other wastes in which they have been involved, including:
(i) The amount of hazardous wastes and other wastes exported, their
category, characteristics, destination, any transit country and
disposal method as stated on the response to notification;
(ii) The amount of hazardous wastes and other wastes imported, their
category, characteristics, origin, and disposal methods;
(iii) Disposals which did not proceed as intended;
(iv) Efforts to achieve a reduction of the amount of hazardous wastes
or other wastes subject to transboundary movement;
(c) Information on the measures adopted by them in implementation of this
Convention;
(d) Information on available qualified statistics which have been
compiled by them on the effects on human health and the environment of the
generation, transportation and disposal of hazardous wastes or other
wastes;
(e) Information concerning bilateral, multilateral and regional
agreements and arrangements entered into pursuant to Article 11 of this
Convention;
(f) Information on accidents occurring during the transboundary movement
and disposal of hazardous wastes and other wastes and on the measures
undertaken to deal with them;
(g) Information on disposal options operated within the area of their
national jurisdiction;
(h) Information on measures undertaken for development of technologies
for the reduction and/or elimination of production of hazardous wastes and
other wastes; and
(i) Such other matters as the Conference of the Parties shall deem
relevant.
4. The Parties, consistent with national laws and regulations, shall ensure
that copies of each notification concerning any given transboundary
movement of hazardous wastes or other wastes, and the response to it, are
sent to the Secretariat when a Party considers that its environment may be
affected by that transboundary movement has requested that this should be
done.
Article 14
Financial Aspects
1. The Parties agree that, according to the specific needs of different
regions and subregions, regional or sub-regional centres for training and
technology transfers regarding the management of hazardous wastes and other
wastes and the minimization of their generation should be established. The
Parties shall decide on the establishment of appropriate funding mechanisms
of a voluntary nature.
2. The Parties shall consider the establishment of a revolving fund to
assist on an interim basis in case of emergency situations to minimize
damage from accidents arising from transboundary movements of hazardous
wastes and other wastes or during the disposal of those wastes.
Article 15
Conference of the Parties
1. A Conference of the Parties is hereby established. The first meeting of
the Conference of the Parties shall be convened by the Executive Director
of UNEP not later than one year after the entry into force of this
Convention. Thereafter, ordinary meetings of the Conference of the Parties
shall be held at regular intervals to be determined by the Conference at
its first meeting.
2. Extraordinary meetings of the Conference of the Parties shall be held at
such other times as may be deemed necessary by the Conference, or at the
written request of any Party, provided that, within six months of the
request being communicated to them by the Secretariat, it is supported by
at least one third of the Parties.
3. The Conference of the Parties shall by consensus agree upon and adopt
rules of procedure for itself and for any subsidiary body it may establish,
as well as financial rules to determine in particular the financial
participation of the Parties under this Convention.
4. The Parties at their first meeting shall consider any additional
measures needed to assist them in fulfilling their responsibilities with
respect to the protection and the preservation of the marine environment in
the context of this Convention.
5. The Conference of the Parties shall keep under continuous review and
evaluation the effective implementation of this Convention, and, in
addition, shall:
(a) Promote the harmonization of appropriate policies, strategies and
measures for minimizing harm to human health and the environment by
hazardous wastes and other wastes;
(b) Consider and adopt, as required, amendments to this Convention and
its annexes, taking into consideration, inter alia, available scientific,
technical, economic and environmental information;
(c) Consider and undertake any additional action that may be required for
the achievement of the purposes of this Convention in the light of
experience gained in its operation and in the operation of the agreements
and arrangements envisaged in Article 11;
BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL (1989)
This data access service is provided by the Center for International Earth Science Information Network (CIESIN), which operates the Socioeconomic Data and Applications Center (SEDAC) for the U.S. National Aeronautics and Space Administration (NASA).
Environmental Treaties and Resource Indicators (ENTRI) -- Full Text
Note: Additional material related to this treaty is available from the Basel Convention Secretariat or via the Basel Search Engines.
Summary of the "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal" is available from the UNEP Register of International Treaties and Other Agreements in the Field of the Environment.
See the ENTRI query system for information about the status of this treaty.
See the ENTRI thematic guide for more information about the relationships between environmental treaties, national resource indicators, and remotely sensed data.
BASEL CONVENTION ON THE CONTROL OF
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
AND THEIR DISPOSAL (1989)
Entered into Force May 5, 1992
PREAMBLE
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 their 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,
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
house-keeping 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 tit, 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 4
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.
(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 degrees 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.
Article 5
Designation of Competent Authorities and Focal Point
To facilitate the implementation of this Convention, the Parties shall:
1. Designate or establish one or more competent authorities and one focal
point. One competent authority shall be designated to receive the
notification in case of a State of transit.
2. Inform the Secretariat, within three months of the date of the entry
into force of this Convention for them, which agencies they have designated
as their focal point and their competent authorities.
3. Inform the Secretariat, within one month of the date of decision, of any
changes regarding the designation made by them under paragraph 2 above.
Article 6
Transboundary Movement between Parties
1. The State of export shall notify, or shall require the generator or
exporter to notify, in writing, through the channel of the competent
authority of the State of export, the competent authority of the States
concerned of any proposed transboundary movement of hazardous wastes or
other wastes Such notification shall contain the declarations and
information specified in Annex V A, written in a language acceptable to the
State of import. Only one notification needs to be sent to each State
concerned.
2. The State of import shall respond to the notifier in writing, consenting
to the movement with or without conditions, denying permission for the
movement, or requesting additional information. A copy of the final
response of the State of import shall be sent to the competent authorities
of the States concerned which are Parties.
3. The State of export shall not allow the generator or exporter to
commence the transboundary movement until it has received written
confirmation that:
(a) The notifier has received the written consent of the State of import;
and
(b) The notifier has received from the State of import confirmation of
the existence of a contract between the exporter and the disposer
specifying environmentally sound management of the wastes in question.
4. Each State of transit which is a Party shall promptly acknowledge to the
notifier receipt of the notification. It may subsequently respond to the
notifier in writing, within 60 days, consenting to the movement with or
without conditions, denying permission for the movement, or requesting
additional information. The State of export shall not allow the
transboundary movement to commence until it has received the written
consent of the State of transit. However, if at any time a Party decides
not to require prior written consent, either generally or under specific
conditions, for transit transboundary movements of hazardous wastes or
other wastes, or modifies its requirements in this respect, it shall
forthwith inform the other Parties of its decision pursuant to Article 13.
In this latter case, if no response is received by the State of export
within 60 days of the receipt of a given notification by the State of
transit, the State of export may allow the export to proceed through the
State of transit.
5. In the case of a transboundary movement of wastes where the wastes are
legally defined as or considered to be hazardous wastes only:
(a) By the State of export, the requirements of paragraph 9 of this
Article that apply to the importer or disposer and the State of import
shall apply mutatis mutandis to the exporter and State of export,
respectively;
(b) By the State of import, or by the States of import and transit which
are Parties, the requirements of paragraphs 1, 3, 4 and 6 of this Article
that apply to the exporter and State of export shall apply mutatis mutandis
to the importer or disposer and State of import, respectively; or
(c) By any State of transit which is a Party, the provisions of paragraph
4 shall apply to such State.
6. The State of export may, subject to the written consent of the States
concerned, allow the generator or the exporter to use a general
notification where hazardous wastes or other wastes having the same
physical and chemical characteristics are shipped regularly to the same
disposer via the same customs office of exit of the State of export via the
same customs office of entry of the State of import, and, in the case of
transit, via the same customs office of entry and exit of the State or
States of transit.
7. The States concerned may make their written consent to the use of the
general notification referred to in paragraph 6 subject to the supply of
certain information, such as the exact quantities or periodical lists of
hazardous wastes or other wastes to be shipped.
8. The general notification and written consent referred to in paragraphs 6
and 7 may cover multiple shipments of hazardous wastes or other wastes
during a maximum period of 12 months.
9. The Parties shall require that each person who takes charge of a
transboundary movement of hazardous wastes or other wastes sign the
movement document either upon delivery or receipt of the wastes in
question. They shall also require that the disposer 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 shall so notify the State of import.
10. The notification and response required by this Article shall be
transmitted to the competent authority of the Parties concerned or to such
governmental authority as may be appropriate in the case of non-Parties.
11. Any transboundary movement of hazardous wastes or other wastes shall be
covered by insurance, bond or other guarantee as may be required by the
State of import or any State of transit which is a Party.
Article 7
Transboundary Movement from a Party through
States which are not Parties
Paragraph 2 of Article 6 of the Convention shall apply mutatis mutandis to
transboundary movement of hazardous wastes or other wastes from a Party
through a State or States which are not Parties.
Article 8
Duty to Re-import
When a transboundary movement of hazardous wastes or other wastes to which
the consent of the States concerned has been given, subject to the
provisions of this Convention, cannot be completed in accordance with the
terms of the contract, the State of export shall ensure that the wastes in
question are taken back into the State of export, by the exporter, if
alternative arrangements cannot be made for their disposal in an
environmentally sound manner, within 90 days from the time that the
importing State informed the State of export and the Secretariat, or such
other period of time as the States concerned agree. To this end, the State
of export and any Party of transit shall not oppose, hinder or prevent the
return of those wastes to the State of export.
Article 9
Illegal Traffic
1. For the purpose of this Convention, any transboundary movement of
hazardous wastes or other wastes:
(a) without notification pursuant to the provisions of this Convention to
all States concerned; or
(b) without the consent pursuant to the provisions of this Convention of
a State concerned; or
(c) with consent obtained from States concerned through falsification,
misrepresentation or fraud; or
(d) that does not conform in a material way with the documents; or
(e) that results in deliberate disposal (e.g. dumping) of hazardous
wastes or other wastes in contravention of this Convention and of general
principles of international law, shall be deemed to be illegal traffic.
2. In case of a transboundary movement of hazardous wastes or other wastes
deemed to be illegal traffic as the result of conduct on the part of the
exporter or generator, the State of export shall ensure that the wastes in
question are:
(a) taken back by the exporter or the generator or, if necessary, by
itself into the State of export, or, if impracticable,
(b) are otherwise disposed of in accordance with the provisions of this
Convention,
within 30 days from the time the State of export has been informed about
the illegal traffic or such other period of time as States concerned may
agree. To this end the Parties concerned shall not oppose, hinder or
prevent the return of those wastes to the State of export.
3. In the case of a transboundary movement of hazardous wastes or other
wastes deemed to be illegal traffic as the result of conduct on the part of
the importer or disposer, the State of import shall ensure that the wastes
in question are disposed of in an environmentally sound manner by the
importer or disposer or, if necessary, by itself within 30 days from the
time the illegal traffic has come to the attention of the State of import
or such other period of time as the States concerned may agree. To this
end, the Parties concerned shall co-operate, as necessary, in the disposal
of the wastes in an environmentally sound manner.
4. In cases where the responsibility for the illegal traffic cannot be
assigned either to the exporter or generator or to the importer or
disposer, the Parties concerned or other Parties, as appropriate, shall
ensure, through co-operation, that the wastes in question are disposed of
as soon as possible in an environmentally sound manner either in the State
of export or the State of import or elsewhere as appropriate.
5. Each Party shall introduce appropriate national/domestic legislation to
prevent and punish illegal traffic. The Parties shall co-operate with a
view to achieving the objects of this Article.
Article 10
International Co-operation
1. The Parties shall co-operate with each other in order to improve and
achieve environmentally sound management of hazardous wastes and other
wastes.
2. To this end, the Parties shall:
(a) Upon request, make available information, whether on a bilateral or
multilateral basis, with a view to promoting the environmentally sound
management of hazardous wastes and other wastes, including harmonization of
technical standards and practices for the adequate management of hazardous
wastes and other wastes;
(b) Co-operate in monitoring the effects of the management of hazardous
wastes on human health and the environment;
(c) Co-operate, subject to their national laws, regulations and policies,
in the development and implementation of new environmentally sound
low-waste technologies and the improvement of existing technologies with a
view to eliminating, as far as practicable, the generation of hazardous
wastes and other wastes and achieving more effective and efficient methods
of ensuring their management in an environmentally sound manner, including
the study of the economic, social and environmental effects of the adoption
of such new or improved technologies;
(d) Co-operate actively, subject to their national laws, regulations and
policies, in the transfer of technology and management systems related to
the environmentally sound management of hazardous wastes and other wastes.
They shall also co-operate in developing the technical capacity among
Parties, especially those which may need and request technical assistance
in this field;
(e) Co-operate in developing appropriate technical guidelines and/or
codes of practice.
3. The Parties shall employ appropriate means to cooperate in order to
assist developing countries in the implementation of subparagraphs a, b, c
and d of paragraph 2 of Article 4.
4. Taking into account the needs of developing countries, co-operation
between Parties and the competent international organizations is encouraged
to promote, inter alia, public awareness, the development of sound
management of hazardous wastes and other wastes and the adoption of new
low-waste technologies.
Article 11
Bilateral, Multilateral and Regional Agreements
1. Notwithstanding the provisions of Article 4 paragraph 5, Parties may
enter into bilateral, multilateral, or regional agreements or arrangements
regarding transboundary movement of hazardous wastes or other wastes with
Parties or non-Parties provided that such agreements or arrangements do not
derogate from the environmentally sound management of hazardous wastes and
other wastes as required by this Convention. These agreements or
arrangements shall stipulate provisions which are not less environmentally
sound than those provided for by this Convention in particular taking into
account the interests of developing countries.
2. Parties shall notify the Secretariat of any bilateral, multilateral or
regional agreements or arrangements referred to in paragraph 1 and those
which they have entered into prior to the entry into force of this
Convention for them, for the purpose of controlling transboundary movements
of hazardous wastes and other wastes which take place entirely among the
Parties to such agreements. The provisions of this Convention shall not
affect transboundary movements which take place pursuant to such agreements
provided that such agreements are compatible with the environmentally sound
management of hazardous wastes and other wastes as required by this
Convention.
Article 12
Consultations on Liability
The Parties shall co-operate with a view to adopting, as soon as
practicable, a protocol setting out appropriate rules and procedures in the
field of liability and compensation for damage resulting from the
transboundary movement and disposal of hazardous wastes and other wastes.
Article 13
Transmission of Information
1. The Parties shall, whenever it comes to their knowledge, ensure that, in
the case of an accident occurring during the transboundary movement of
hazardous wastes or other wastes or their disposal, which are likely to
present risks to human health and the environment in other States, those
states are immediately informed.
2. The Parties shall inform each other, through the Secretariat, of:
(a) Changes regarding the designation of competent authorities and/or
focal points, pursuant to Article 5;
(b) Changes in their national definition of hazardous wastes, pursuant to
Article 3; and, as soon as possible,
(c) Decisions made by them not to consent totally or partially to the
import of hazardous wastes or other wastes for disposal within the area
under their national jurisdiction;
(d) Decisions taken by them to limit or ban the export of hazardous
wastes or other wastes;
(e) Any other information required pursuant to paragraph 4 of this
Article.
3. The Parties, consistent with national laws and regulations, shall
transmit, through the Secretariat, to the Conference of the Parties
established under Article 15, before the end of each calendar year, a
report on the previous calendar year, containing the following information:
(a) Competent authorities and focal points that have been designated by
them pursuant to Article 5;
(b) Information regarding transboundary movements of hazardous wastes or
other wastes in which they have been involved, including:
(i) The amount of hazardous wastes and other wastes exported, their
category, characteristics, destination, any transit country and
disposal method as stated on the response to notification;
(ii) The amount of hazardous wastes and other wastes imported, their
category, characteristics, origin, and disposal methods;
(iii) Disposals which did not proceed as intended;
(iv) Efforts to achieve a reduction of the amount of hazardous wastes
or other wastes subject to transboundary movement;
(c) Information on the measures adopted by them in implementation of this
Convention;
(d) Information on available qualified statistics which have been
compiled by them on the effects on human health and the environment of the
generation, transportation and disposal of hazardous wastes or other
wastes;
(e) Information concerning bilateral, multilateral and regional
agreements and arrangements entered into pursuant to Article 11 of this
Convention;
(f) Information on accidents occurring during the transboundary movement
and disposal of hazardous wastes and other wastes and on the measures
undertaken to deal with them;
(g) Information on disposal options operated within the area of their
national jurisdiction;
(h) Information on measures undertaken for development of technologies
for the reduction and/or elimination of production of hazardous wastes and
other wastes; and
(i) Such other matters as the Conference of the Parties shall deem
relevant.
4. The Parties, consistent with national laws and regulations, shall ensure
that copies of each notification concerning any given transboundary
movement of hazardous wastes or other wastes, and the response to it, are
sent to the Secretariat when a Party considers that its environment may be
affected by that transboundary movement has requested that this should be
done.
Article 14
Financial Aspects
1. The Parties agree that, according to the specific needs of different
regions and subregions, regional or sub-regional centres for training and
technology transfers regarding the management of hazardous wastes and other
wastes and the minimization of their generation should be established. The
Parties shall decide on the establishment of appropriate funding mechanisms
of a voluntary nature.
2. The Parties shall consider the establishment of a revolving fund to
assist on an interim basis in case of emergency situations to minimize
damage from accidents arising from transboundary movements of hazardous
wastes and other wastes or during the disposal of those wastes.
Article 15
Conference of the Parties
1. A Conference of the Parties is hereby established. The first meeting of
the Conference of the Parties shall be convened by the Executive Director
of UNEP not later than one year after the entry into force of this
Convention. Thereafter, ordinary meetings of the Conference of the Parties
shall be held at regular intervals to be determined by the Conference at
its first meeting.
2. Extraordinary meetings of the Conference of the Parties shall be held at
such other times as may be deemed necessary by the Conference, or at the
written request of any Party, provided that, within six months of the
request being communicated to them by the Secretariat, it is supported by
at least one third of the Parties.
3. The Conference of the Parties shall by consensus agree upon and adopt
rules of procedure for itself and for any subsidiary body it may establish,
as well as financial rules to determine in particular the financial
participation of the Parties under this Convention.
4. The Parties at their first meeting shall consider any additional
measures needed to assist them in fulfilling their responsibilities with
respect to the protection and the preservation of the marine environment in
the context of this Convention.
5. The Conference of the Parties shall keep under continuous review and
evaluation the effective implementation of this Convention, and, in
addition, shall:
(a) Promote the harmonization of appropriate policies, strategies and
measures for minimizing harm to human health and the environment by
hazardous wastes and other wastes;
(b) Consider and adopt, as required, amendments to this Convention and
its annexes, taking into consideration, inter alia, available scientific,
technical, economic and environmental information;
(c) Consider and undertake any additional action that may be required for
the achievement of the purposes of this Convention in the light of
experience gained in its operation and in the operation of the agreements
and arrangements envisaged in Article 11;
(d) Consider and adopt protocols as required; and
(e) Establish such subsidiary bodies as are deemed necessary for the
implementation of this Convention.
6. The United Nations, its specialized agencies, as well as any State not
party to this Convention, may be represented as observers at meetings of
the Conference of the Parties. Any other body or agency, whether national
or international, governmental or non-governmental, qualified in fields
relating to hazardous wastes or other wastes which has informed the
Secretariat of its wish to be represented as an observer at a meeting of
the Conference of the Parties, may be admitted unless at least one third of
the Parties present object. The admission and participation of observers
shall be subject to the rules of procedure adopted by the conference of the
Parties.
7. The Conference of the Parties shall undertake three years after the
entry into force of this Convention, and at least every six years
thereafter, an evaluation of its effectiveness and, if deemed necessary, to
consider the adoption of a complete or partial ban of transboundary
movements of hazardous wastes and other wastes in light of the latest
scientific, environmental, technical and economic information.
Article 16
Secretariat
1. The functions of the Secretariat shall be:
(a) To arrange for and service meetings provided for in Articles 15 and
17;
(b) To prepare and transmit reports based upon information received in
accordance with Articles 3, 4, 6, 11 and 13 as well as upon information
derived from meetings of subsidiary bodies established under Article 15 as
well as upon, as appropriate, information provided by relevant
intergovernmental and non-governmental entities;
(c) To prepare reports on its activities carried out in implementation of
its functions under this Convention and present them to the Conference of
the Parties;
(d) To ensure the necessary coordination with relevant international
bodies, and in particular to enter into such administrative and contractual
arrangements as may be required for the effective discharge of its
functions;
(e) To communicate with focal points and competent authorities
established by the Parties in accordance with Article 5 of this Convention;
(f) To compile information concerning authorized national sites and
facilities of Parties available for the disposal of their hazardous wastes
and other wastes and to circulate this information among Parties;
(g) To receive and convey information from and to Parties on;
-- sources of technical assistance and training;
-- available technical and scientific know-how;
-- sources of advice and expertise; and
-- availability of resources
with a view to assisting them, upon request, in such areas as:
-- the handling of the notification system of this Convention;
-- the management of hazardous wastes and other wastes;
-- environmentally sound technologies relating to hazardous wastes and
other wastes, such as low- and non-waste technology;
-- the assessment of disposal capabilities and sites;
-- the monitoring of hazardous wastes and other wastes; and
-- emergency responses;
(h) To provide Parties, upon request, with information on consultants or
consulting firms having the necessary technical competence in the field,
which can assist them to examine a notification for a transboundary
movement, the concurrence of a shipment of hazardous wastes or other wastes
with the relevant notification, and/or the fact that the proposed disposal
facilities for hazardous wastes or other wastes are environmentally sound,
when they have reason to believe that the wastes in question will not be
managed in an environmentally sound manner. Any such examination would not
be at the expense of the Secretariat;
(i) To assist Parties upon request in their identification of cases of
illegal traffic and to circulate immediately to the Parties concerned any
information it has received regarding illegal traffic;
(j) To co-operate with Parties
BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL (1989)
This data access service is provided by the Center for International Earth Science Information Network (CIESIN), which operates the Socioeconomic Data and Applications Center (SEDAC) for the U.S. National Aeronautics and Space Administration (NASA).
Environmental Treaties and Resource Indicators (ENTRI) -- Full Text
Note: Additional material related to this treaty is available from the Basel Convention Secretariat or via the Basel Search Engines.
Summary of the "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal" is available from the UNEP Register of International Treaties and Other Agreements in the Field of the Environment.
See the ENTRI query system for information about the status of this treaty.
See the ENTRI thematic guide for more information about the relationships between environmental treaties, national resource indicators, and remotely sensed data.
BASEL CONVENTION ON THE CONTROL OF
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
AND THEIR DISPOSAL (1989)
Entered into Force May 5, 1992
PREAMBLE
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 their 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,
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
house-keeping 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 tit, 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 4
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.
(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 degrees 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.
Article 5
Designation of Competent Authorities and Focal Point
To facilitate the implementation of this Convention, the Parties shall:
1. Designate or establish one or more competent authorities and one focal
point. One competent authority shall be designated to receive the
notification in case of a State of transit.
2. Inform the Secretariat, within three months of the date of the entry
into force of this Convention for them, which agencies they have designated
as their focal point and their competent authorities.
3. Inform the Secretariat, within one month of the date of decision, of any
changes regarding the designation made by them under paragraph 2 above.
Article 6
Transboundary Movement between Parties
1. The State of export shall notify, or shall require the generator or
exporter to notify, in writing, through the channel of the competent
authority of the State of export, the competent authority of the States
concerned of any proposed transboundary movement of hazardous wastes or
other wastes Such notification shall contain the declarations and
information specified in Annex V A, written in a language acceptable to the
State of import. Only one notification needs to be sent to each State
concerned.
2. The State of import shall respond to the notifier in writing, consenting
to the movement with or without conditions, denying permission for the
movement, or requesting additional information. A copy of the final
response of the State of import shall be sent to the competent authorities
of the States concerned which are Parties.
3. The State of export shall not allow the generator or exporter to
commence the transboundary movement until it has received written
confirmation that:
(a) The notifier has received the written consent of the State of import;
and
(b) The notifier has received from the State of import confirmation of
the existence of a contract between the exporter and the disposer
specifying environmentally sound management of the wastes in question.
4. Each State of transit which is a Party shall promptly acknowledge to the
notifier receipt of the notification. It may subsequently respond to the
notifier in writing, within 60 days, consenting to the movement with or
without conditions, denying permission for the movement, or requesting
additional information. The State of export shall not allow the
transboundary movement to commence until it has received the written
consent of the State of transit. However, if at any time a Party decides
not to require prior written consent, either generally or under specific
conditions, for transit transboundary movements of hazardous wastes or
other wastes, or modifies its requirements in this respect, it shall
forthwith inform the other Parties of its decision pursuant to Article 13.
In this latter case, if no response is received by the State of export
within 60 days of the receipt of a given notification by the State of
transit, the State of export may allow the export to proceed through the
State of transit.
5. In the case of a transboundary movement of wastes where the wastes are
legally defined as or considered to be hazardous wastes only:
(a) By the State of export, the requirements of paragraph 9 of this
Article that apply to the importer or disposer and the State of import
shall apply mutatis mutandis to the exporter and State of export,
respectively;
(b) By the State of import, or by the States of import and transit which
are Parties, the requirements of paragraphs 1, 3, 4 and 6 of this Article
that apply to the exporter and State of export shall apply mutatis mutandis
to the importer or disposer and State of import, respectively; or
(c) By any State of transit which is a Party, the provisions of paragraph
4 shall apply to such State.
6. The State of export may, subject to the written consent of the States
concerned, allow the generator or the exporter to use a general
notification where hazardous wastes or other wastes having the same
physical and chemical characteristics are shipped regularly to the same
disposer via the same customs office of exit of the State of export via the
same customs office of entry of the State of import, and, in the case of
transit, via the same customs office of entry and exit of the State or
States of transit.
7. The States concerned may make their written consent to the use of the
general notification referred to in paragraph 6 subject to the supply of
certain information, such as the exact quantities or periodical lists of
hazardous wastes or other wastes to be shipped.
8. The general notification and written consent referred to in paragraphs 6
and 7 may cover multiple shipments of hazardous wastes or other wastes
during a maximum period of 12 months.
9. The Parties shall require that each person who takes charge of a
transboundary movement of hazardous wastes or other wastes sign the
movement document either upon delivery or receipt of the wastes in
question. They shall also require that the disposer 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 shall so notify the State of import.
10. The notification and response required by this Article shall be
transmitted to the competent authority of the Parties concerned or to such
governmental authority as may be appropriate in the case of non-Parties.
11. Any transboundary movement of hazardous wastes or other wastes shall be
covered by insurance, bond or other guarantee as may be required by the
State of import or any State of transit which is a Party.
Article 7
Transboundary Movement from a Party through
States which are not Parties
Paragraph 2 of Article 6 of the Convention shall apply mutatis mutandis to
transboundary movement of hazardous wastes or other wastes from a Party
through a State or States which are not Parties.
Article 8
Duty to Re-import
When a transboundary movement of hazardous wastes or other wastes to which
the consent of the States concerned has been given, subject to the
provisions of this Convention, cannot be completed in accordance with the
terms of the contract, the State of export shall ensure that the wastes in
question are taken back into the State of export, by the exporter, if
alternative arrangements cannot be made for their disposal in an
environmentally sound manner, within 90 days from the time that the
importing State informed the State of export and the Secretariat, or such
other period of time as the States concerned agree. To this end, the State
of export and any Party of transit shall not oppose, hinder or prevent the
return of those wastes to the State of export.
Article 9
Illegal Traffic
1. For the purpose of this Convention, any transboundary movement of
hazardous wastes or other wastes:
(a) without notification pursuant to the provisions of this Convention to
all States concerned; or
(b) without the consent pursuant to the provisions of this Convention of
a State concerned; or
(c) with consent obtained from States concerned through falsification,
misrepresentation or fraud; or
(d) that does not conform in a material way with the documents; or
(e) that results in deliberate disposal (e.g. dumping) of hazardous
wastes or other wastes in contravention of this Convention and of general
principles of international law, shall be deemed to be illegal traffic.
2. In case of a transboundary movement of hazardous wastes or other wastes
deemed to be illegal traffic as the result of conduct on the part of the
exporter or generator, the State of export shall ensure that the wastes in
question are:
(a) taken back by the exporter or the generator or, if necessary, by
itself into the State of export, or, if impracticable,
(b) are otherwise disposed of in accordance with the provisions of this
Convention,
within 30 days from the time the State of export has been informed about
the illegal traffic or such other period of time as States concerned may
agree. To this end the Parties concerned shall not oppose, hinder or
prevent the return of those wastes to the State of export.
3. In the case of a transboundary movement of hazardous wastes or other
wastes deemed to be illegal traffic as the result of conduct on the part of
the importer or disposer, the State of import shall ensure that the wastes
in question are disposed of in an environmentally sound manner by the
importer or disposer or, if necessary, by itself within 30 days from the
time the illegal traffic has come to the attention of the State of import
or such other period of time as the States concerned may agree. To this
end, the Parties concerned shall co-operate, as necessary, in the disposal
of the wastes in an environmentally sound manner.
4. In cases where the responsibility for the illegal traffic cannot be
assigned either to the exporter or generator or to the importer or
disposer, the Parties concerned or other Parties, as appropriate, shall
ensure, through co-operation, that the wastes in question are disposed of
as soon as possible in an environmentally sound manner either in the State
of export or the State of import or elsewhere as appropriate.
5. Each Party shall introduce appropriate national/domestic legislation to
prevent and punish illegal traffic. The Parties shall co-operate with a
view to achieving the objects of this Article.
Article 10
International Co-operation
1. The Parties shall co-operate with each other in order to improve and
achieve environmentally sound management of hazardous wastes and other
wastes.
2. To this end, the Parties shall:
(a) Upon request, make available information, whether on a bilateral or
multilateral basis, with a view to promoting the environmentally sound
management of hazardous wastes and other wastes, including harmonization of
technical standards and practices for the adequate management of hazardous
wastes and other wastes;
(b) Co-operate in monitoring the effects of the management of hazardous
wastes on human health and the environment;
(c) Co-operate, subject to their national laws, regulations and policies,
in the development and implementation of new environmentally sound
low-waste technologies and the improvement of existing technologies with a
view to eliminating, as far as practicable, the generation of hazardous
wastes and other wastes and achieving more effective and efficient methods
of ensuring their management in an environmentally sound manner, including
the study of the economic, social and environmental effects of the adoption
of such new or improved technologies;
(d) Co-operate actively, subject to their national laws, regulations and
policies, in the transfer of technology and management systems related to
the environmentally sound management of hazardous wastes and other wastes.
They shall also co-operate in developing the technical capacity among
Parties, especially those which may need and request technical assistance
in this field;
(e) Co-operate in developing appropriate technical guidelines and/or
codes of practice.
3. The Parties shall employ appropriate means to cooperate in order to
assist developing countries in the implementation of subparagraphs a, b, c
and d of paragraph 2 of Article 4.
4. Taking into account the needs of developing countries, co-operation
between Parties and the competent international organizations is encouraged
to promote, inter alia, public awareness, the development of sound
management of hazardous wastes and other wastes and the adoption of new
low-waste technologies.
Article 11
Bilateral, Multilateral and Regional Agreements
1. Notwithstanding the provisions of Article 4 paragraph 5, Parties may
enter into bilateral, multilateral, or regional agreements or arrangements
regarding transboundary movement of hazardous wastes or other wastes with
Parties or non-Parties provided that such agreements or arrangements do not
derogate from the environmentally sound management of hazardous wastes and
other wastes as required by this Convention. These agreements or
arrangements shall stipulate provisions which are not less environmentally
sound than those provided for by this Convention in particular taking into
account the interests of developing countries.
2. Parties shall notify the Secretariat of any bilateral, multilateral or
regional agreements or arrangements referred to in paragraph 1 and those
which they have entered into prior to the entry into force of this
Convention for them, for the purpose of controlling transboundary movements
of hazardous wastes and other wastes which take place entirely among the
Parties to such agreements. The provisions of this Convention shall not
affect transboundary movements which take place pursuant to such agreements
provided that such agreements are compatible with the environmentally sound
management of hazardous wastes and other wastes as required by this
Convention.
Article 12
Consultations on Liability
The Parties shall co-operate with a view to adopting, as soon as
practicable, a protocol setting out appropriate rules and procedures in the
field of liability and compensation for damage resulting from the
transboundary movement and disposal of hazardous wastes and other wastes.
Article 13
Transmission of Information
1. The Parties shall, whenever it comes to their knowledge, ensure that, in
the case of an accident occurring during the transboundary movement of
hazardous wastes or other wastes or their disposal, which are likely to
present risks to human health and the environment in other States, those
states are immediately informed.
2. The Parties shall inform each other, through the Secretariat, of:
(a) Changes regarding the designation of competent authorities and/or
focal points, pursuant to Article 5;
(b) Changes in their national definition of hazardous wastes, pursuant to
Article 3; and, as soon as possible,
(c) Decisions made by them not to consent totally or partially to the
import of hazardous wastes or other wastes for disposal within the area
under their national jurisdiction;
(d) Decisions taken by them to limit or ban the export of hazardous
wastes or other wastes;
(e) Any other information required pursuant to paragraph 4 of this
Article.
3. The Parties, consistent with national laws and regulations, shall
transmit, through the Secretariat, to the Conference of the Parties
established under Article 15, before the end of each calendar year, a
report on the previous calendar year, containing the following information:
(a) Competent authorities and focal points that have been designated by
them pursuant to Article 5;
(b) Information regarding transboundary movements of hazardous wastes or
other wastes in which they have been involved, including:
(i) The amount of hazardous wastes and other wastes exported, their
category, characteristics, destination, any transit country and
disposal method as stated on the response to notification;
(ii) The amount of hazardous wastes and other wastes imported, their
category, characteristics, origin, and disposal methods;
(iii) Disposals which did not proceed as intended;
(iv) Efforts to achieve a reduction of the amount of hazardous wastes
or other wastes subject to transboundary movement;
(c) Information on the measures adopted by them in implementation of this
Convention;
(d) Information on available qualified statistics which have been
compiled by them on the effects on human health and the environment of the
generation, transportation and disposal of hazardous wastes or other
wastes;
(e) Information concerning bilateral, multilateral and regional
agreements and arrangements entered into pursuant to Article 11 of this
Convention;
(f) Information on accidents occurring during the transboundary movement
and disposal of hazardous wastes and other wastes and on the measures
undertaken to deal with them;
(g) Information on disposal options operated within the area of their
national jurisdiction;
(h) Information on measures undertaken for development of technologies
for the reduction and/or elimination of production of hazardous wastes and
other wastes; and
(i) Such other matters as the Conference of the Parties shall deem
relevant.
4. The Parties, consistent with national laws and regulations, shall ensure
that copies of each notification concerning any given transboundary
movement of hazardous wastes or other wastes, and the response to it, are
sent to the Secretariat when a Party considers that its environment may be
affected by that transboundary movement has requested that this should be
done.
Article 14
Financial Aspects
1. The Parties agree that, according to the specific needs of different
regions and subregions, regional or sub-regional centres for training and
technology transfers regarding the management of hazardous wastes and other
wastes and the minimization of their generation should be established. The
Parties shall decide on the establishment of appropriate funding mechanisms
of a voluntary nature.
2. The Parties shall consider the establishment of a revolving fund to
assist on an interim basis in case of emergency situations to minimize
damage from accidents arising from transboundary movements of hazardous
wastes and other wastes or during the disposal of those wastes.
Article 15
Conference of the Parties
1. A Conference of the Parties is hereby established. The first meeting of
the Conference of the Parties shall be convened by the Executive Director
of UNEP not later than one year after the entry into force of this
Convention. Thereafter, ordinary meetings of the Conference of the Parties
shall be held at regular intervals to be determined by the Conference at
its first meeting.
2. Extraordinary meetings of the Conference of the Parties shall be held at
such other times as may be deemed necessary by the Conference, or at the
written request of any Party, provided that, within six months of the
request being communicated to them by the Secretariat, it is supported by
at least one third of the Parties.
3. The Conference of the Parties shall by consensus agree upon and adopt
rules of procedure for itself and for any subsidiary body it may establish,
as well as financial rules to determine in particular the financial
participation of the Parties under this Convention.
4. The Parties at their first meeting shall consider any additional
measures needed to assist them in fulfilling their responsibilities with
respect to the protection and the preservation of the marine environment in
the context of this Convention.
5. The Conference of the Parties shall keep under continuous review and
evaluation the effective implementation of this Convention, and, in
addition, shall:
(a) Promote the harmonization of appropriate policies, strategies and
measures for minimizing harm to human health and the environment by
hazardous wastes and other wastes;
(b) Consider and adopt, as required, amendments to this Convention and
its annexes, taking into consideration, inter alia, available scientific,
technical, economic and environmental information;
(c) Consider and undertake any additional action that may be required for
the achievement of the purposes of this Convention in the light of
experience gained in its operation and in the operation of the agreements
and arrangements envisaged in Article 11;
(d) Consider and adopt protocols as required; and
(e) Establish such subsidiary bodies as are deemed necessary for the
implementation of this Convention.
6. The United Nations, its specialized agencies, as well as any State not
party to this Convention, may be represented as observers at meetings of
the Conference of the Parties. Any other body or agency, whether national
or international, governmental or non-governmental, qualified in fields
relating to hazardous wastes or other wastes which has informed the
Secretariat of its wish to be represented as an observer at a meeting of
the Conference of the Parties, may be admitted unless at least one third of
the Parties present object. The admission and participation of observers
shall be subject to the rules of procedure adopted by the conference of the
Parties.
7. The Conference of the Parties shall undertake three years after the
entry into force of this Convention, and at least every six years
thereafter, an evaluation of its effectiveness and, if deemed necessary, to
consider the adoption of a complete or partial ban of transboundary
movements of hazardous wastes and other wastes in light of the latest
scientific, environmental, technical and economic information.
Article 16
Secretariat
1. The functions of the Secretariat shall be:
(a) To arrange for and service meetings provided for in Articles 15 and
17;
(b) To prepare and transmit reports based upon information received in
accordance with Articles 3, 4, 6, 11 and 13 as well as upon information
derived from meetings of subsidiary bodies established under Article 15 as
well as upon, as appropriate, information provided by relevant
intergovernmental and non-governmental entities;
(c) To prepare reports on its activities carried out in implementation of
its functions under this Convention and present them to the Conference of
the Parties;
(d) To ensure the necessary coordination with relevant international
bodies, and in particular to enter into such administrative and contractual
arrangements as may be required for the effective discharge of its
functions;
(e) To communicate with focal points and competent authorities
established by the Parties in accordance with Article 5 of this Convention;
(f) To compile information concerning authorized national sites and
facilities of Parties available for the disposal of their hazardous wastes
and other wastes and to circulate this information among Parties;
(g) To receive and convey information from and to Parties on;
-- sources of technical assistance and training;
-- available technical and scientific know-how;
-- sources of advice and expertise; and
-- availability of resources
with a view to assisting them, upon request, in such areas as:
-- the handling of the notification system of this Convention;
-- the management of hazardous wastes and other wastes;
-- environmentally sound technologies relating to hazardous wastes and
other wastes, such as low- and non-waste technology;
-- the assessment of disposal capabilities and sites;
-- the monitoring of hazardous wastes and other wastes; and
-- emergency responses;
(h) To provide Parties, upon request, with information on consultants or
consulting firms having the necessary technical competence in the field,
which can assist them to examine a notification for a transboundary
movement, the concurrence of a shipment of hazardous wastes or other wastes
with the relevant notification, and/or the fact that the proposed disposal
facilities for hazardous wastes or other wastes are environmentally sound,
when they have reason to believe that the wastes in question will not be
managed in an environmentally sound manner. Any such examination would not
be at the expense of the Secretariat;
(i) To assist Parties upon request in their identification of cases of
illegal traffic and to circulate immediately to the Parties concerned any
information it has received regarding illegal traffic;
(j) To co-operate with Parties and with relevant and competent
international organizations and agencies in the provision of experts and
equipment for the purpose of rapid assistance to States in the event of an
emergency situation; and
(k) To perform such other functions relevant to the purposes of this
Convention as may be determined by the Conference of the Parties.
2. The secretariat functions will be carried out on an interim basis by
UNEP until the completion of the first meeting of the Conference of the
Parties held pursuant to Article 15.
3. At its first meeting, the Conference of the Parties shall designate the
Secretariat from among those existing competent intergovernmental
organizations which have signified their willingness to carry out the
secretariat functions under this Convention. At this meeting, the
Conference of the Parties shall also evaluate the implementation by the
interim Secretariat of the functions assigned to it, in particular under
paragraph 1 above, and decide upon the structures appropriate for those
functions.
Article 17
Amendment of the Convention
1. Any Party may propose amendments to this Convention and any Party to a
protocol may propose amendments to that protocol. Such amendments shall
take due account, inter alia, of relevant scientific and technical
considerations.
2. Amendments to this Convention shall be adopted at a meeting of the
Conference of the Parties. Amendments to any protocol shall be adopted at a
meeting of the Parties to the protocol in question. The text of any
proposed amendment to this Convention or to any protocol, except as may
otherwise be provided in such protocol, shall be communicated to the
Parties by the Secretariat at least six months before the meeting at which
it is proposed for adoption. The Secretariat shall also communicate
proposed amendments to the Signatories to this Convention for information.
3. The Parties shall make every effort to reach agreement on any proposed
amendment to this Convention by consensus. If all efforts at consensus have
been exhausted, and no agreement reached, the amendment shall as a last
resort be adopted by a three-fourths majority vote of the Parties present
and voting at the meeting, and shall be submitted by the Depositary to all
Parties for ratification, approval, formal confirmation or acceptance.
4. The procedure mentioned in paragraph 3 above shall apply to amendments
to any protocol, except that a two-thirds majority of the Parties to that
protocol present and voting at the meeting shall suffice for their
adoption.
5. Instruments of ratification, approval, formal confirmation or acceptance
of amendments shall be deposited with the Depositary. Amendments adopted in
accordance with paragraphs 3 or 4 above shall enter into force between
Parties having accepted them on the ninetieth day after the receipt by the
Depositary of their instrument of ratification, approval, formal
confirmation or acceptance by at least three-fourths of the Parties who
accepted the amendments to the protocol concerned, except as may otherwise
be provided in such protocol. The amendments shall enter into force for any
other Party on the ninetieth day after that Party deposits its instrument
of ratification, approval, formal confirmation or acceptance of the
amendments.
6. For the purpose of this Article, "Parties present and voting" means
Parties present and casting an affirmative or negative vote.
Article 18
Adoption and Amendment of Annexes
1. The annexes to this Convention or to any protocol shall form an integral
part of this Convention or of such protocol, as the case may be and, unless
expressly provided otherwise, a reference to this Convention or its
protocols constitutes at the same time a reference to any annexes thereto.
Such annexes shall be restricted to scientific, technical and
administrative matters.
2. Except as may be otherwise provided in any protocol with respect to its
annexes, the following procedure shall apply to the proposal, adoption an
BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL (1989)
This data access service is provided by the Center for International Earth Science Information Network (CIESIN), which operates the Socioeconomic Data and Applications Center (SEDAC) for the U.S. National Aeronautics and Space Administration (NASA).
Environmental Treaties and Resource Indicators (ENTRI) -- Full Text
Note: Additional material related to this treaty is available from the Basel Convention Secretariat or via the Basel Search Engines.
Summary of the "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal" is available from the UNEP Register of International Treaties and Other Agreements in the Field of the Environment.
See the ENTRI query system for information about the status of this treaty.
See the ENTRI thematic guide for more information about the relationships between environmental treaties, national resource indicators, and remotely sensed data.
BASEL CONVENTION ON THE CONTROL OF
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
AND THEIR DISPOSAL (1989)
Entered into Force May 5, 1992
PREAMBLE
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 their 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,
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
house-keeping 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 tit, 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 4
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.
(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 degrees 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.
Article 5
Designation of Competent Authorities and Focal Point
To facilitate the implementation of this Convention, the Parties shall:
1. Designate or establish one or more competent authorities and one focal
point. One competent authority shall be designated to receive the
notification in case of a State of transit.
2. Inform the Secretariat, within three months of the date of the entry
into force of this Convention for them, which agencies they have designated
as their focal point and their competent authorities.
3. Inform the Secretariat, within one month of the date of decision, of any
changes regarding the designation made by them under paragraph 2 above.
Article 6
Transboundary Movement between Parties
1. The State of export shall notify, or shall require the generator or
exporter to notify, in writing, through the channel of the competent
authority of the State of export, the competent authority of the States
concerned of any proposed transboundary movement of hazardous wastes or
other wastes Such notification shall contain the declarations and
information specified in Annex V A, written in a language acceptable to the
State of import. Only one notification needs to be sent to each State
concerned.
2. The State of import shall respond to the notifier in writing, consenting
to the movement with or without conditions, denying permission for the
movement, or requesting additional information. A copy of the final
response of the State of import shall be sent to the competent authorities
of the States concerned which are Parties.
3. The State of export shall not allow the generator or exporter to
commence the transboundary movement until it has received written
confirmation that:
(a) The notifier has received the written consent of the State of import;
and
(b) The notifier has received from the State of import confirmation of
the existence of a contract between the exporter and the disposer
specifying environmentally sound management of the wastes in question.
4. Each State of transit which is a Party shall promptly acknowledge to the
notifier receipt of the notification. It may subsequently respond to the
notifier in writing, within 60 days, consenting to the movement with or
without conditions, denying permission for the movement, or requesting
additional information. The State of export shall not allow the
transboundary movement to commence until it has received the written
consent of the State of transit. However, if at any time a Party decides
not to require prior written consent, either generally or under specific
conditions, for transit transboundary movements of hazardous wastes or
other wastes, or modifies its requirements in this respect, it shall
forthwith inform the other Parties of its decision pursuant to Article 13.
In this latter case, if no response is received by the State of export
within 60 days of the receipt of a given notification by the State of
transit, the State of export may allow the export to proceed through the
State of transit.
5. In the case of a transboundary movement of wastes where the wastes are
legally defined as or considered to be hazardous wastes only:
(a) By the State of export, the requirements of paragraph 9 of this
Article that apply to the importer or disposer and the State of import
shall apply mutatis mutandis to the exporter and State of export,
respectively;
(b) By the State of import, or by the States of import and transit which
are Parties, the requirements of paragraphs 1, 3, 4 and 6 of this Article
that apply to the exporter and State of export shall apply mutatis mutandis
to the importer or disposer and State of import, respectively; or
(c) By any State of transit which is a Party, the provisions of paragraph
4 shall apply to such State.
6. The State of export may, subject to the written consent of the States
concerned, allow the generator or the exporter to use a general
notification where hazardous wastes or other wastes having the same
physical and chemical characteristics are shipped regularly to the same
disposer via the same customs office of exit of the State of export via the
same customs office of entry of the State of import, and, in the case of
transit, via the same customs office of entry and exit of the State or
States of transit.
7. The States concerned may make their written consent to the use of the
general notification referred to in paragraph 6 subject to the supply of
certain information, such as the exact quantities or periodical lists of
hazardous wastes or other wastes to be shipped.
8. The general notification and written consent referred to in paragraphs 6
and 7 may cover multiple shipments of hazardous wastes or other wastes
during a maximum period of 12 months.
9. The Parties shall require that each person who takes charge of a
transboundary movement of hazardous wastes or other wastes sign the
movement document either upon delivery or receipt of the wastes in
question. They shall also require that the disposer 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 shall so notify the State of import.
10. The notification and response required by this Article shall be
transmitted to the competent authority of the Parties concerned or to such
governmental authority as may be appropriate in the case of non-Parties.
11. Any transboundary movement of hazardous wastes or other wastes shall be
covered by insurance, bond or other guarantee as may be required by the
State of import or any State of transit which is a Party.
Article 7
Transboundary Movement from a Party through
States which are not Parties
Paragraph 2 of Article 6 of the Convention shall apply mutatis mutandis to
transboundary movement of hazardous wastes or other wastes from a Party
through a State or States which are not Parties.
Article 8
Duty to Re-import
When a transboundary movement of hazardous wastes or other wastes to which
the consent of the States concerned has been given, subject to the
provisions of this Convention, cannot be completed in accordance with the
terms of the contract, the State of export shall ensure that the wastes in
question are taken back into the State of export, by the exporter, if
alternative arrangements cannot be made for their disposal in an
environmentally sound manner, within 90 days from the time that the
importing State informed the State of export and the Secretariat, or such
other period of time as the States concerned agree. To this end, the State
of export and any Party of transit shall not oppose, hinder or prevent the
return of those wastes to the State of export.
Article 9
Illegal Traffic
1. For the purpose of this Convention, any transboundary movement of
hazardous wastes or other wastes:
(a) without notification pursuant to the provisions of this Convention to
all States concerned; or
(b) without the consent pursuant to the provisions of this Convention of
a State concerned; or
(c) with consent obtained from States concerned through falsification,
misrepresentation or fraud; or
(d) that does not conform in a material way with the documents; or
(e) that results in deliberate disposal (e.g. dumping) of hazardous
wastes or other wastes in contravention of this Convention and of general
principles of international law, shall be deemed to be illegal traffic.
2. In case of a transboundary movement of hazardous wastes or other wastes
deemed to be illegal traffic as the result of conduct on the part of the
exporter or generator, the State of export shall ensure that the wastes in
question are:
(a) taken back by the exporter or the generator or, if necessary, by
itself into the State of export, or, if impracticable,
(b) are otherwise disposed of in accordance with the provisions of this
Convention,
within 30 days from the time the State of export has been informed about
the illegal traffic or such other period of time as States concerned may
agree. To this end the Parties concerned shall not oppose, hinder or
prevent the return of those wastes to the State of export.
3. In the case of a transboundary movement of hazardous wastes or other
wastes deemed to be illegal traffic as the result of conduct on the part of
the importer or disposer, the State of import shall ensure that the wastes
in question are disposed of in an environmentally sound manner by the
importer or disposer or, if necessary, by itself within 30 days from the
time the illegal traffic has come to the attention of the State of import
or such other period of time as the States concerned may agree. To this
end, the Parties concerned shall co-operate, as necessary, in the disposal
of the wastes in an environmentally sound manner.
4. In cases where the responsibility for the illegal traffic cannot be
assigned either to the exporter or generator or to the importer or
disposer, the Parties concerned or other Parties, as appropriate, shall
ensure, through co-operation, that the wastes in question are disposed of
as soon as possible in an environmentally sound manner either in the State
of export or the State of import or elsewhere as appropriate.
5. Each Party shall introduce appropriate national/domestic legislation to
prevent and punish illegal traffic. The Parties shall co-operate with a
view to achieving the objects of this Article.
Article 10
International Co-operation
1. The Parties shall co-operate with each other in order to improve and
achieve environmentally sound management of hazardous wastes and other
wastes.
2. To this end, the Parties shall:
(a) Upon request, make available information, whether on a bilateral or
multilateral basis, with a view to promoting the environmentally sound
management of hazardous wastes and other wastes, including harmonization of
technical standards and practices for the adequate management of hazardous
wastes and other wastes;
(b) Co-operate in monitoring the effects of the management of hazardous
wastes on human health and the environment;
(c) Co-operate, subject to their national laws, regulations and policies,
in the development and implementation of new environmentally sound
low-waste technologies and the improvement of existing technologies with a
view to eliminating, as far as practicable, the generation of hazardous
wastes and other wastes and achieving more effective and efficient methods
of ensuring their management in an environmentally sound manner, including
the study of the economic, social and environmental effects of the adoption
of such new or improved technologies;
(d) Co-operate actively, subject to their national laws, regulations and
policies, in the transfer of technology and management systems related to
the environmentally sound management of hazardous wastes and other wastes.
They shall also co-operate in developing the technical capacity among
Parties, especially those which may need and request technical assistance
in this field;
(e) Co-operate in developing appropriate technical guidelines and/or
codes of practice.
3. The Parties shall employ appropriate means to cooperate in order to
assist developing countries in the implementation of subparagraphs a, b, c
and d of paragraph 2 of Article 4.
4. Taking into account the needs of developing countries, co-operation
between Parties and the competent international organizations is encouraged
to promote, inter alia, public awareness, the development of sound
management of hazardous wastes and other wastes and the adoption of new
low-waste technologies.
Article 11
Bilateral, Multilateral and Regional Agreements
1. Notwithstanding the provisions of Article 4 paragraph 5, Parties may
enter into bilateral, multilateral, or regional agreements or arrangements
regarding transboundary movement of hazardous wastes or other wastes with
Parties or non-Parties provided that such agreements or arrangements do not
derogate from the environmentally sound management of hazardous wastes and
other wastes as required by this Convention. These agreements or
arrangements shall stipulate provisions which are not less environmentally
sound than those provided for by this Convention in particular taking into
account the interests of developing countries.
2. Parties shall notify the Secretariat of any bilateral, multilateral or
regional agreements or arrangements referred to in paragraph 1 and those
which they have entered into prior to the entry into force of this
Convention for them, for the purpose of controlling transboundary movements
of hazardous wastes and other wastes which take place entirely among the
Parties to such agreements. The provisions of this Convention shall not
affect transboundary movements which take place pursuant to such agreements
provided that such agreements are compatible with the environmentally sound
management of hazardous wastes and other wastes as required by this
Convention.
Article 12
Consultations on Liability
The Parties shall co-operate with a view to adopting, as soon as
practicable, a protocol setting out appropriate rules and procedures in the
field of liability and compensation for damage resulting from the
transboundary movement and disposal of hazardous wastes and other wastes.
Article 13
Transmission of Information
1. The Parties shall, whenever it comes to their knowledge, ensure that, in
the case of an accident occurring during the transboundary movement of
hazardous wastes or other wastes or their disposal, which are likely to
present risks to human health and the environment in other States, those
states are immediately informed.
2. The Parties shall inform each other, through the Secretariat, of:
(a) Changes regarding the designation of competent authorities and/or
focal points, pursuant to Article 5;
(b) Changes in their national definition of hazardous wastes, pursuant to
Article 3; and, as soon as possible,
(c) Decisions made by them not to consent totally or partially to the
import of hazardous wastes or other wastes for disposal within the area
under their national jurisdiction;
(d) Decisions taken by them to limit or ban the export of hazardous
wastes or other wastes;
(e) Any other information required pursuant to paragraph 4 of this
Article.
3. The Parties, consistent with national laws and regulations, shall
transmit, through the Secretariat, to the Conference of the Parties
established under Article 15, before the end of each calendar year, a
report on the previous calendar year, containing the following information:
(a) Competent authorities and focal points that have been designated by
them pursuant to Article 5;
(b) Information regarding transboundary movements of hazardous wastes or
other wastes in which they have been involved, including:
(i) The amount of hazardous wastes and other wastes exported, their
category, characteristics, destination, any transit country and
disposal method as stated on the response to notification;
(ii) The amount of hazardous wastes and other wastes imported, their
category, characteristics, origin, and disposal methods;
(iii) Disposals which did not proceed as intended;
(iv) Efforts to achieve a reduction of the amount of hazardous wastes
or other wastes subject to transboundary movement;
(c) Information on the measures adopted by them in implementation of this
Convention;
(d) Information on available qualified statistics which have been
compiled by them on the effects on human health and the environment of the
generation, transportation and disposal of hazardous wastes or other
wastes;
(e) Information concerning bilateral, multilateral and regional
agreements and arrangements entered into pursuant to Article 11 of this
Convention;
(f) Information on accidents occurring during the transboundary movement
and disposal of hazardous wastes and other wastes and on the measures
undertaken to deal with them;
(g) Information on disposal options operated within the area of their
national jurisdiction;
(h) Information on measures undertaken for development of technologies
for the reduction and/or elimination of production of hazardous wastes and
other wastes; and
(i) Such other matters as the Conference of the Parties shall deem
relevant.
4. The Parties, consistent with national laws and regulations, shall ensure
that copies of each notification concerning any given transboundary
movement of hazardous wastes or other wastes, and the response to it, are
sent to the Secretariat when a Party considers that its environment may be
affected by that transboundary movement has requested that this should be
done.
Article 14
Financial Aspects
1. The Parties agree that, according to the specific needs of different
regions and subregions, regional or sub-regional centres for training and
technology transfers regarding the management of hazardous wastes and other
wastes and the minimization of their generation should be established. The
Parties shall decide on the establishment of appropriate funding mechanisms
of a voluntary nature.
2. The Parties shall consider the establishment of a revolving fund to
assist on an interim basis in case of emergency situations to minimize
damage from accidents arising from transboundary movements of hazardous
wastes and other wastes or during the disposal of those wastes.
Article 15
Conference of the Parties
1. A Conference of the Parties is hereby established. The first meeting of
the Conference of the Parties shall be convened by the Executive Director
of UNEP not later than one year after the entry into force of this
Convention. Thereafter, ordinary meetings of the Conference of the Parties
shall be held at regular intervals to be determined by the Conference at
its first meeting.
2. Extraordinary meetings of the Conference of the Parties shall be held at
such other times as may be deemed necessary by the Conference, or at the
written request of any Party, provided that, within six months of the
request being communicated to them by the Secretariat, it is supported by
at least one third of the Parties.
3. The Conference of the Parties shall by consensus agree upon and adopt
rules of procedure for itself and for any subsidiary body it may establish,
as well as financial rules to determine in particular the financial
participation of the Parties under this Convention.
4. The Parties at their first meeting shall consider any additional
measures needed to assist them in fulfilling their responsibilities with
respect to the protection and the preservation of the marine environment in
the context of this Convention.
5. The Conference of the Parties shall keep under continuous review and
evaluation the effective implementation of this Convention, and, in
addition, shall:
(a) Promote the harmonization of appropriate policies, strategies and
measures for minimizing harm to human health and the environment by
hazardous wastes and other wastes;
(b) Consider and adopt, as required, amendments to this Convention and
its annexes, taking into consideration, inter alia, available scientific,
technical, economic and environmental information;
(c) Consider and undertake any additional action that may be required for
the achievement of the purposes of this Convention in the light of
experience gained in its operation and in the operation of the agreements
and arrangements envisaged in Article 11;
(d) Consider and adopt protocols as required; and
(e) Establish such subsidiary bodies as are deemed necessary for the
implementation of this Convention.
6. The United Nations, its specialized agencies, as well as any State not
party to this Convention, may be represented as observers at meetings of
the Conference of the Parties. Any other body or agency, whether national
or international, governmental or non-governmental, qualified in fields
relating to hazardous wastes or other wastes which has informed the
Secretariat of its wish to be represented as an observer at a meeting of
the Conference of the Parties, may be admitted unless at least one third of
the Parties present object. The admission and participation of observers
shall be subject to the rules of procedure adopted by the conference of the
Parties.
7. The Conference of the Parties shall undertake three years after the
entry into force of this Convention, and at least every six years
thereafter, an evaluation of its effectiveness and, if deemed necessary, to
consider the adoption of a complete or partial ban of transboundary
movements of hazardous wastes and other wastes in light of the latest
scientific, environmental, technical and economic information.
Article 16
Secretariat
1. The functions of the Secretariat shall be:
(a) To arrange for and service meetings provided for in Articles 15 and
17;
(b) To prepare and transmit reports based upon information received in
accordance with Articles 3, 4, 6, 11 and 13 as well as upon information
derived from meetings of subsidiary bodies established under Article 15 as
well as upon, as appropriate, information provided by relevant
intergovernmental and non-governmental entities;
(c) To prepare reports on its activities carried out in implementation of
its functions under this Convention and present them to the Conference of
the Parties;
(d) To ensure the necessary coordination with relevant international
bodies, and in particular to enter into such administrative and contractual
arrangements as may be required for the effective discharge of its
functions;
(e) To communicate with focal points and competent authorities
established by the Parties in accordance with Article 5 of this Convention;
(f) To compile information concerning authorized national sites and
facilities of Parties available for the disposal of their hazardous wastes
and other wastes and to circulate this information among Parties;
(g) To receive and convey information from and to Parties on;
-- sources of technical assistance and training;
-- available technical and scientific know-how;
-- sources of advice and expertise; and
-- availability of resources
with a view to assisting them, upon request, in such areas as:
-- the handling of the notification system of this Convention;
-- the management of hazardous wastes and other wastes;
-- environmentally sound technologies relating to hazardous wastes and
other wastes, such as low- and non-waste technology;
-- the assessment of disposal capabilities and sites;
-- the monitoring of hazardous wastes and other wastes; and
-- emergency responses;
(h) To provide Parties, upon request, with information on consultants or
consulting firms having the necessary technical competence in the field,
which can assist them to examine a notification for a transboundary
movement, the concurrence of a shipment of hazardous wastes or other wastes
with the relevant notification, and/or the fact that the proposed disposal
facilities for hazardous wastes or other wastes are environmentally sound,
when they have reason to believe that the wastes in question will not be
managed in an environmentally sound manner. Any such examination would not
be at the expense of the Secretariat;
(i) To assist Parties upon request in their identification of cases of
illegal traffic and to circulate immediately to the Parties concerned any
information it has received regarding illegal traffic;
(j) To co-operate with Parties and with relevant and competent
international organizations and agencies in the provision of experts and
equipment for the purpose of rapid assistance to States in the event of an
emergency situation; and
(k) To perform such other functions relevant to the purposes of this
Convention as may be determined by the Conference of the Parties.
2. The secretariat functions will be carried out on an interim basis by
UNEP until the completion of the first meeting of the Conference of the
Parties held pursuant to Article 15.
3. At its first meeting, the Conference of the Parties shall designate the
Secretariat from among those existing competent intergovernmental
organizations which have signified their willingness to carry out the
secretariat functions under this Convention. At this meeting, the
Conference of the Parties shall also evaluate the implementation by the
interim Secretariat of the functions assigned to it, in particular under
paragraph 1 above, and decide upon the structures appropriate for those
functions.
Article 17
Amendment of the Convention
1. Any Party may propose amendments to this Convention and any Party to a
protocol may propose amendments to that protocol. Such amendments shall
take due account, inter alia, of relevant scientific and technical
considerations.
2. Amendments to this Convention shall be adopted at a meeting of the
Conference of the Parties. Amendments to any protocol shall be adopted at a
meeting of the Parties to the protocol in question. The text of any
proposed amendment to this Convention or to any protocol, except as may
otherwise be provided in such protocol, shall be communicated to the
Parties by the Secretariat at least six months before the meeting at which
it is proposed for adoption. The Secretariat shall also communicate
proposed amendments to the Signatories to this Convention for information.
3. The Parties shall make every effort to reach agreement on any proposed
amendment to this Convention by consensus. If all efforts at consensus have
been exhausted, and no agreement reached, the amendment shall as a last
resort be adopted by a three-fourths majority vote of the Parties present
and voting at the meeting, and shall be submitted by the Depositary to all
Parties for ratification, approval, formal confirmation or acceptance.
4. The procedure mentioned in paragraph 3 above shall apply to amendments
to any protocol, except that a two-thirds majority of the Parties to that
protocol present and voting at the meeting shall suffice for their
adoption.
5. Instruments of ratification, approval, formal confirmation or acceptance
of amendments shall be deposited with the Depositary. Amendments adopted in
accordance with paragraphs 3 or 4 above shall enter into force between
Parties having accepted them on the ninetieth day after the receipt by the
Depositary of their instrument of ratification, approval, formal
confirmation or acceptance by at least three-fourths of the Parties who
accepted the amendments to the protocol concerned, except as may otherwise
be provided in such protocol. The amendments shall enter into force for any
other Party on the ninetieth day after that Party deposits its instrument
of ratification, approval, formal confirmation or acceptance of the
amendments.
6. For the purpose of this Article, "Parties present and voting" means
Parties present and casting an affirmative or negative vote.
Article 18
Adoption and Amendment of Annexes
1. The annexes to this Convention or to any protocol shall form an integral
part of this Convention or of such protocol, as the case may be and, unless
expressly provided otherwise, a reference to this Convention or its
protocols constitutes at the same time a reference to any annexes thereto.
Such annexes shall be restricted to scientific, technical and
administrative matters.
2. Except as may be otherwise provided in any protocol with respect to its
annexes, the following procedure shall apply to the proposal, adoption and
entry into force of additional annexes to this Convention or of annexes to
a protocol:
(a) Annexes to this Convention and its protocols shall be proposed and
adopted according to the procedure laid down in Article 17, paragraphs 2, 3
and 4;
(b) Any Party that is unable to accept an additional annex to this
Convention or an annex to any protocol to which it is party shall so notify
the Depositary, in writing, within six months from the date of the
communication of the adoption by the Depositary. The Depositary shall
without delay notify all Parties of any such notification received. A Party
may at any time substitute an acceptance for a previous declaration of
objection and the annexes shall thereupon enter into force for that Party;
(c) On the expiry of six months from the date of the circulation of the
communication by the Depositary, the annex shall become effective for all
Parties to this Convention or to any protocol concerned, which have not
submitted a notification in accordance with the provision of subparagraph
(b) above.
3. The proposal, adoption and entry into force of amendments to annexes to
this Convention or to any protocol shall be subject to the same procedure
as for the proposal, adoption and entry into force of annexes to the
Convention or annexes to a protocol. Annexes and amendments thereto shall
take due account, inter alia, of relevant scientific and technical
considerations.
4. If an additional annex or an amendment to an annex involves an amendment
to this Convention or to any protocol, the additional annex or amended
annex shall not enter into force until such time as the amendment to this
Convention or to the protocol enters into force.
Article 19
Verification
Any Party which has reason to believe that another Party is acting or has
acted in breach of its obligations under this Convention may inform the
Secretariat thereof, and in such an event, shall simultaneously and
immediately inform, directly or through the Secretariat, the Party against
whom the allegations are made. All relevant information should be submitted
by the Secretariat to the Parties.
Article 20
Settlement of Disputes
1. In case of a dispute between Parties as to the interpretation or
application of, or compliance with, this Convention or any protocol
thereto, they shall seek a settlement of the dispute through negotiation or
any other peaceful means of their own choice.
2. If the Parties concerned cannot settle their dispute through the means
mentioned in the preceding paragraph, the dispute, if the parties to the
dispute agree, shall be submitted to the International Court of Justice or
to arbitration under the conditions set out in Annex VI on Arbitration.
However, failure to reach common agreement on submission of the dispute to
the International Court of Justice or to arbitration shall not absolve the
Parties from the responsibility of continuing to seek to resolve it by the
means referred to in paragraph 1.
3. When ratifying, accepting, approving, formally confirming or acceding to
this Convention, or at any time thereafter, a State or political and/or
economic integration organization may declare that it recognizes as
compulsory ipso facto and without special agreement, in relation to any
Party accepting the same obligation:
(a) submission of the dispute to the International Court of Justice;
and/or
(b) arbitration in accordance with the procedures set out in Annex VI.
Such declaration shall be notified in writing to the Secretariat which
shall communicate it to the Parties.
Article 21
Signature
This Convention shall be open for signature by States, by Namibia
represented by the United Nations Council for Namibia and by political
and/or economic integration organizations, in Basel on 22 March 1989, at
the Federal Department of Foreign Affairs of Switzerland in Berne from 23
March 1989 to 30 June 1989, and at United Nations He
BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL (1989)
This data access service is provided by the Center for International Earth Science Information Network (CIESIN), which operates the Socioeconomic Data and Applications Center (SEDAC) for the U.S. National Aeronautics and Space Administration (NASA).
Environmental Treaties and Resource Indicators (ENTRI) -- Full Text
Note: Additional material related to this treaty is available from the Basel Convention Secretariat or via the Basel Search Engines.
Summary of the "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal" is available from the UNEP Register of International Treaties and Other Agreements in the Field of the Environment.
See the ENTRI query system for information about the status of this treaty.
See the ENTRI thematic guide for more information about the relationships between environmental treaties, national resource indicators, and remotely sensed data.
BASEL CONVENTION ON THE CONTROL OF
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
AND THEIR DISPOSAL (1989)
Entered into Force May 5, 1992
PREAMBLE
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 their 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,
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
house-keeping 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 tit, 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 4
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.
(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 degrees 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.
Article 5
Designation of Competent Authorities and Focal Point
To facilitate the implementation of this Convention, the Parties shall:
1. Designate or establish one or more competent authorities and one focal
point. One competent authority shall be designated to receive the
notification in case of a State of transit.
2. Inform the Secretariat, within three months of the date of the entry
into force of this Convention for them, which agencies they have designated
as their focal point and their competent authorities.
3. Inform the Secretariat, within one month of the date of decision, of any
changes regarding the designation made by them under paragraph 2 above.
Article 6
Transboundary Movement between Parties
1. The State of export shall notify, or shall require the generator or
exporter to notify, in writing, through the channel of the competent
authority of the State of export, the competent authority of the States
concerned of any proposed transboundary movement of hazardous wastes or
other wastes Such notification shall contain the declarations and
information specified in Annex V A, written in a language acceptable to the
State of import. Only one notification needs to be sent to each State
concerned.
2. The State of import shall respond to the notifier in writing, consenting
to the movement with or without conditions, denying permission for the
movement, or requesting additional information. A copy of the final
response of the State of import shall be sent to the competent authorities
of the States concerned which are Parties.
3. The State of export shall not allow the generator or exporter to
commence the transboundary movement until it has received written
confirmation that:
(a) The notifier has received the written consent of the State of import;
and
(b) The notifier has received from the State of import confirmation of
the existence of a contract between the exporter and the disposer
specifying environmentally sound management of the wastes in question.
4. Each State of transit which is a Party shall promptly acknowledge to the
notifier receipt of the notification. It may subsequently respond to the
notifier in writing, within 60 days, consenting to the movement with or
without conditions, denying permission for the movement, or requesting
additional information. The State of export shall not allow the
transboundary movement to commence until it has received the written
consent of the State of transit. However, if at any time a Party decides
not to require prior written consent, either generally or under specific
conditions, for transit transboundary movements of hazardous wastes or
other wastes, or modifies its requirements in this respect, it shall
forthwith inform the other Parties of its decision pursuant to Article 13.
In this latter case, if no response is received by the State of export
within 60 days of the receipt of a given notification by the State of
transit, the State of export may allow the export to proceed through the
State of transit.
5. In the case of a transboundary movement of wastes where the wastes are
legally defined as or considered to be hazardous wastes only:
(a) By the State of export, the requirements of paragraph 9 of this
Article that apply to the importer or disposer and the State of import
shall apply mutatis mutandis to the exporter and State of export,
respectively;
(b) By the State of import, or by the States of import and transit which
are Parties, the requirements of paragraphs 1, 3, 4 and 6 of this Article
that apply to the exporter and State of export shall apply mutatis mutandis
to the importer or disposer and State of import, respectively; or
(c) By any State of transit which is a Party, the provisions of paragraph
4 shall apply to such State.
6. The State of export may, subject to the written consent of the States
concerned, allow the generator or the exporter to use a general
notification where hazardous wastes or other wastes having the same
physical and chemical characteristics are shipped regularly to the same
disposer via the same customs office of exit of the State of export via the
same customs office of entry of the State of import, and, in the case of
transit, via the same customs office of entry and exit of the State or
States of transit.
7. The States concerned may make their written consent to the use of the
general notification referred to in paragraph 6 subject to the supply of
certain information, such as the exact quantities or periodical lists of
hazardous wastes or other wastes to be shipped.
8. The general notification and written consent referred to in paragraphs 6
and 7 may cover multiple shipments of hazardous wastes or other wastes
during a maximum period of 12 months.
9. The Parties shall require that each person who takes charge of a
transboundary movement of hazardous wastes or other wastes sign the
movement document either upon delivery or receipt of the wastes in
question. They shall also require that the disposer 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 shall so notify the State of import.
10. The notification and response required by this Article shall be
transmitted to the competent authority of the Parties concerned or to such
governmental authority as may be appropriate in the case of non-Parties.
11. Any transboundary movement of hazardous wastes or other wastes shall be
covered by insurance, bond or other guarantee as may be required by the
State of import or any State of transit which is a Party.
Article 7
Transboundary Movement from a Party through
States which are not Parties
Paragraph 2 of Article 6 of the Convention shall apply mutatis mutandis to
transboundary movement of hazardous wastes or other wastes from a Party
through a State or States which are not Parties.
Article 8
Duty to Re-import
When a transboundary movement of hazardous wastes or other wastes to which
the consent of the States concerned has been given, subject to the
provisions of this Convention, cannot be completed in accordance with the
terms of the contract, the State of export shall ensure that the wastes in
question are taken back into the State of export, by the exporter, if
alternative arrangements cannot be made for their disposal in an
environmentally sound manner, within 90 days from the time that the
importing State informed the State of export and the Secretariat, or such
other period of time as the States concerned agree. To this end, the State
of export and any Party of transit shall not oppose, hinder or prevent the
return of those wastes to the State of export.
Article 9
Illegal Traffic
1. For the purpose of this Convention, any transboundary movement of
hazardous wastes or other wastes:
(a) without notification pursuant to the provisions of this Convention to
all States concerned; or
(b) without the consent pursuant to the provisions of this Convention of
a State concerned; or
(c) with consent obtained from States concerned through falsification,
misrepresentation or fraud; or
(d) that does not conform in a material way with the documents; or
(e) that results in deliberate disposal (e.g. dumping) of hazardous
wastes or other wastes in contravention of this Convention and of general
principles of international law, shall be deemed to be illegal traffic.
2. In case of a transboundary movement of hazardous wastes or other wastes
deemed to be illegal traffic as the result of conduct on the part of the
exporter or generator, the State of export shall ensure that the wastes in
question are:
(a) taken back by the exporter or the generator or, if necessary, by
itself into the State of export, or, if impracticable,
(b) are otherwise disposed of in accordance with the provisions of this
Convention,
within 30 days from the time the State of export has been informed about
the illegal traffic or such other period of time as States concerned may
agree. To this end the Parties concerned shall not oppose, hinder or
prevent the return of those wastes to the State of export.
3. In the case of a transboundary movement of hazardous wastes or other
wastes deemed to be illegal traffic as the result of conduct on the part of
the importer or disposer, the State of import shall ensure that the wastes
in question are disposed of in an environmentally sound manner by the
importer or disposer or, if necessary, by itself within 30 days from the
time the illegal traffic has come to the attention of the State of import
or such other period of time as the States concerned may agree. To this
end, the Parties concerned shall co-operate, as necessary, in the disposal
of the wastes in an environmentally sound manner.
4. In cases where the responsibility for the illegal traffic cannot be
assigned either to the exporter or generator or to the importer or
disposer, the Parties concerned or other Parties, as appropriate, shall
ensure, through co-operation, that the wastes in question are disposed of
as soon as possible in an environmentally sound manner either in the State
of export or the State of import or elsewhere as appropriate.
5. Each Party shall introduce appropriate national/domestic legislation to
prevent and punish illegal traffic. The Parties shall co-operate with a
view to achieving the objects of this Article.
Article 10
International Co-operation
1. The Parties shall co-operate with each other in order to improve and
achieve environmentally sound management of hazardous wastes and other
wastes.
2. To this end, the Parties shall:
(a) Upon request, make available information, whether on a bilateral or
multilateral basis, with a view to promoting the environmentally sound
management of hazardous wastes and other wastes, including harmonization of
technical standards and practices for the adequate management of hazardous
wastes and other wastes;
(b) Co-operate in monitoring the effects of the management of hazardous
wastes on human health and the environment;
(c) Co-operate, subject to their national laws, regulations and policies,
in the development and implementation of new environmentally sound
low-waste technologies and the improvement of existing technologies with a
view to eliminating, as far as practicable, the generation of hazardous
wastes and other wastes and achieving more effective and efficient methods
of ensuring their management in an environmentally sound manner, including
the study of the economic, social and environmental effects of the adoption
of such new or improved technologies;
(d) Co-operate actively, subject to their national laws, regulations and
policies, in the transfer of technology and management systems related to
the environmentally sound management of hazardous wastes and other wastes.
They shall also co-operate in developing the technical capacity among
Parties, especially those which may need and request technical assistance
in this field;
(e) Co-operate in developing appropriate technical guidelines and/or
codes of practice.
3. The Parties shall employ appropriate means to cooperate in order to
assist developing countries in the implementation of subparagraphs a, b, c
and d of paragraph 2 of Article 4.
4. Taking into account the needs of developing countries, co-operation
between Parties and the competent international organizations is encouraged
to promote, inter alia, public awareness, the development of sound
management of hazardous wastes and other wastes and the adoption of new
low-waste technologies.
Article 11
Bilateral, Multilateral and Regional Agreements
1. Notwithstanding the provisions of Article 4 paragraph 5, Parties may
enter into bilateral, multilateral, or regional agreements or arrangements
regarding transboundary movement of hazardous wastes or other wastes with
Parties or non-Parties provided that such agreements or arrangements do not
derogate from the environmentally sound management of hazardous wastes and
other wastes as required by this Convention. These agreements or
arrangements shall stipulate provisions which are not less environmentally
sound than those provided for by this Convention in particular taking into
account the interests of developing countries.
2. Parties shall notify the Secretariat of any bilateral, multilateral or
regional agreements or arrangements referred to in paragraph 1 and those
which they have entered into prior to the entry into force of this
Convention for them, for the purpose of controlling transboundary movements
of hazardous wastes and other wastes which take place entirely among the
Parties to such agreements. The provisions of this Convention shall not
affect transboundary movements which take place pursuant to such agreements
provided that such agreements are compatible with the environmentally sound
management of hazardous wastes and other wastes as required by this
Convention.
Article 12
Consultations on Liability
The Parties shall co-operate with a view to adopting, as soon as
practicable, a protocol setting out appropriate rules and procedures in the
field of liability and compensation for damage resulting from the
transboundary movement and disposal of hazardous wastes and other wastes.
Article 13
Transmission of Information
1. The Parties shall, whenever it comes to their knowledge, ensure that, in
the case of an accident occurring during the transboundary movement of
hazardous wastes or other wastes or their disposal, which are likely to
present risks to human health and the environment in other States, those
states are immediately informed.
2. The Parties shall inform each other, through the Secretariat, of:
(a) Changes regarding the designation of competent authorities and/or
focal points, pursuant to Article 5;
(b) Changes in their national definition of hazardous wastes, pursuant to
Article 3; and, as soon as possible,
(c) Decisions made by them not to consent totally or partially to the
import of hazardous wastes or other wastes for disposal within the area
under their national jurisdiction;
(d) Decisions taken by them to limit or ban the export of hazardous
wastes or other wastes;
(e) Any other information required pursuant to paragraph 4 of this
Article.
3. The Parties, consistent with national laws and regulations, shall
transmit, through the Secretariat, to the Conference of the Parties
established under Article 15, before the end of each calendar year, a
report on the previous calendar year, containing the following information:
(a) Competent authorities and focal points that have been designated by
them pursuant to Article 5;
(b) Information regarding transboundary movements of hazardous wastes or
other wastes in which they have been involved, including:
(i) The amount of hazardous wastes and other wastes exported, their
category, characteristics, destination, any transit country and
disposal method as stated on the response to notification;
(ii) The amount of hazardous wastes and other wastes imported, their
category, characteristics, origin, and disposal methods;
(iii) Disposals which did not proceed as intended;
(iv) Efforts to achieve a reduction of the amount of hazardous wastes
or other wastes subject to transboundary movement;
(c) Information on the measures adopted by them in implementation of this
Convention;
(d) Information on available qualified statistics which have been
compiled by them on the effects on human health and the environment of the
generation, transportation and disposal of hazardous wastes or other
wastes;
(e) Information concerning bilateral, multilateral and regional
agreements and arrangements entered into pursuant to Article 11 of this
Convention;
(f) Information on accidents occurring during the transboundary movement
and disposal of hazardous wastes and other wastes and on the measures
undertaken to deal with them;
(g) Information on disposal options operated within the area of their
national jurisdiction;
(h) Information on measures undertaken for development of technologies
for the reduction and/or elimination of production of hazardous wastes and
other wastes; and
(i) Such other matters as the Conference of the Parties shall deem
relevant.
4. The Parties, consistent with national laws and regulations, shall ensure
that copies of each notification concerning any given transboundary
movement of hazardous wastes or other wastes, and the response to it, are
sent to the Secretariat when a Party considers that its environment may be
affected by that transboundary movement has requested that this should be
done.
Article 14
Financial Aspects
1. The Parties agree that, according to the specific needs of different
regions and subregions, regional or sub-regional centres for training and
technology transfers regarding the management of hazardous wastes and other
wastes and the minimization of their generation should be established. The
Parties shall decide on the establishment of appropriate funding mechanisms
of a voluntary nature.
2. The Parties shall consider the establishment of a revolving fund to
assist on an interim basis in case of emergency situations to minimize
damage from accidents arising from transboundary movements of hazardous
wastes and other wastes or during the disposal of those wastes.
Article 15
Conference of the Parties
1. A Conference of the Parties is hereby established. The first meeting of
the Conference of the Parties shall be convened by the Executive Director
of UNEP not later than one year after the entry into force of this
Convention. Thereafter, ordinary meetings of the Conference of the Parties
shall be held at regular intervals to be determined by the Conference at
its first meeting.
2. Extraordinary meetings of the Conference of the Parties shall be held at
such other times as may be deemed necessary by the Conference, or at the
written request of any Party, provided that, within six months of the
request being communicated to them by the Secretariat, it is supported by
at least one third of the Parties.
3. The Conference of the Parties shall by consensus agree upon and adopt
rules of procedure for itself and for any subsidiary body it may establish,
as well as financial rules to determine in particular the financial
participation of the Parties under this Convention.
4. The Parties at their first meeting shall consider any additional
measures needed to assist them in fulfilling their responsibilities with
respect to the protection and the preservation of the marine environment in
the context of this Convention.
5. The Conference of the Parties shall keep under continuous review and
evaluation the effective implementation of this Convention, and, in
addition, shall:
(a) Promote the harmonization of appropriate policies, strategies and
measures for minimizing harm to human health and the environment by
hazardous wastes and other wastes;
(b) Consider and adopt, as required, amendments to this Convention and
its annexes, taking into consideration, inter alia, available scientific,
technical, economic and environmental information;
(c) Consider and undertake any additional action that may be required for
the achievement of the purposes of this Convention in the light of
experience gained in its operation and in the operation of the agreements
and arrangements envisaged in Article 11;
(d) Consider and adopt protocols as required; and
(e) Establish such subsidiary bodies as are deemed necessary for the
implementation of this Convention.
6. The United Nations, its specialized agencies, as well as any State not
party to this Convention, may be represented as observers at meetings of
the Conference of the Parties. Any other body or agency, whether national
or international, governmental or non-governmental, qualified in fields
relating to hazardous wastes or other wastes which has informed the
Secretariat of its wish to be represented as an observer at a meeting of
the Conference of the Parties, may be admitted unless at least one third of
the Parties present object. The admission and participation of observers
shall be subject to the rules of procedure adopted by the conference of the
Parties.
7. The Conference of the Parties shall undertake three years after the
entry into force of this Convention, and at least every six years
thereafter, an evaluation of its effectiveness and, if deemed necessary, to
consider the adoption of a complete or partial ban of transboundary
movements of hazardous wastes and other wastes in light of the latest
scientific, environmental, technical and economic information.
Article 16
Secretariat
1. The functions of the Secretariat shall be:
(a) To arrange for and service meetings provided for in Articles 15 and
17;
(b) To prepare and transmit reports based upon information received in
accordance with Articles 3, 4, 6, 11 and 13 as well as upon information
derived from meetings of subsidiary bodies established under Article 15 as
well as upon, as appropriate, information provided by relevant
intergovernmental and non-governmental entities;
(c) To prepare reports on its activities carried out in implementation of
its functions under this Convention and present them to the Conference of
the Parties;
(d) To ensure the necessary coordination with relevant international
bodies, and in particular to enter into such administrative and contractual
arrangements as may be required for the effective discharge of its
functions;
(e) To communicate with focal points and competent authorities
established by the Parties in accordance with Article 5 of this Convention;
(f) To compile information concerning authorized national sites and
facilities of Parties available for the disposal of their hazardous wastes
and other wastes and to circulate this information among Parties;
(g) To receive and convey information from and to Parties on;
-- sources of technical assistance and training;
-- available technical and scientific know-how;
-- sources of advice and expertise; and
-- availability of resources
with a view to assisting them, upon request, in such areas as:
-- the handling of the notification system of this Convention;
-- the management of hazardous wastes and other wastes;
-- environmentally sound technologies relating to hazardous wastes and
other wastes, such as low- and non-waste technology;
-- the assessment of disposal capabilities and sites;
-- the monitoring of hazardous wastes and other wastes; and
-- emergency responses;
(h) To provide Parties, upon request, with information on consultants or
consulting firms having the necessary technical competence in the field,
which can assist them to examine a notification for a transboundary
movement, the concurrence of a shipment of hazardous wastes or other wastes
with the relevant notification, and/or the fact that the proposed disposal
facilities for hazardous wastes or other wastes are environmentally sound,
when they have reason to believe that the wastes in question will not be
managed in an environmentally sound manner. Any such examination would not
be at the expense of the Secretariat;
(i) To assist Parties upon request in their identification of cases of
illegal traffic and to circulate immediately to the Parties concerned any
information it has received regarding illegal traffic;
(j) To co-operate with Parties and with relevant and competent
international organizations and agencies in the provision of experts and
equipment for the purpose of rapid assistance to States in the event of an
emergency situation; and
(k) To perform such other functions relevant to the purposes of this
Convention as may be determined by the Conference of the Parties.
2. The secretariat functions will be carried out on an interim basis by
UNEP until the completion of the first meeting of the Conference of the
Parties held pursuant to Article 15.
3. At its first meeting, the Conference of the Parties shall designate the
Secretariat from among those existing competent intergovernmental
organizations which have signified their willingness to carry out the
secretariat functions under this Convention. At this meeting, the
Conference of the Parties shall also evaluate the implementation by the
interim Secretariat of the functions assigned to it, in particular under
paragraph 1 above, and decide upon the structures appropriate for those
functions.
Article 17
Amendment of the Convention
1. Any Party may propose amendments to this Convention and any Party to a
protocol may propose amendments to that protocol. Such amendments shall
take due account, inter alia, of relevant scientific and technical
considerations.
2. Amendments to this Convention shall be adopted at a meeting of the
Conference of the Parties. Amendments to any protocol shall be adopted at a
meeting of the Parties to the protocol in question. The text of any
proposed amendment to this Convention or to any protocol, except as may
otherwise be provided in such protocol, shall be communicated to the
Parties by the Secretariat at least six months before the meeting at which
it is proposed for adoption. The Secretariat shall also communicate
proposed amendments to the Signatories to this Convention for information.
3. The Parties shall make every effort to reach agreement on any proposed
amendment to this Convention by consensus. If all efforts at consensus have
been exhausted, and no agreement reached, the amendment shall as a last
resort be adopted by a three-fourths majority vote of the Parties present
and voting at the meeting, and shall be submitted by the Depositary to all
Parties for ratification, approval, formal confirmation or acceptance.
4. The procedure mentioned in paragraph 3 above shall apply to amendments
to any protocol, except that a two-thirds majority of the Parties to that
protocol present and voting at the meeting shall suffice for their
adoption.
5. Instruments of ratification, approval, formal confirmation or acceptance
of amendments shall be deposited with the Depositary. Amendments adopted in
accordance with paragraphs 3 or 4 above shall enter into force between
Parties having accepted them on the ninetieth day after the receipt by the
Depositary of their instrument of ratification, approval, formal
confirmation or acceptance by at least three-fourths of the Parties who
accepted the amendments to the protocol concerned, except as may otherwise
be provided in such protocol. The amendments shall enter into force for any
other Party on the ninetieth day after that Party deposits its instrument
of ratification, approval, formal confirmation or acceptance of the
amendments.
6. For the purpose of this Article, "Parties present and voting" means
Parties present and casting an affirmative or negative vote.
Article 18
Adoption and Amendment of Annexes
1. The annexes to this Convention or to any protocol shall form an integral
part of this Convention or of such protocol, as the case may be and, unless
expressly provided otherwise, a reference to this Convention or its
protocols constitutes at the same time a reference to any annexes thereto.
Such annexes shall be restricted to scientific, technical and
administrative matters.
2. Except as may be otherwise provided in any protocol with respect to its
annexes, the following procedure shall apply to the proposal, adoption and
entry into force of additional annexes to this Convention or of annexes to
a protocol:
(a) Annexes to this Convention and its protocols shall be proposed and
adopted according to the procedure laid down in Article 17, paragraphs 2, 3
and 4;
(b) Any Party that is unable to accept an additional annex to this
Convention or an annex to any protocol to which it is party shall so notify
the Depositary, in writing, within six months from the date of the
communication of the adoption by the Depositary. The Depositary shall
without delay notify all Parties of any such notification received. A Party
may at any time substitute an acceptance for a previous declaration of
objection and the annexes shall thereupon enter into force for that Party;
(c) On the expiry of six months from the date of the circulation of the
communication by the Depositary, the annex shall become effective for all
Parties to this Convention or to any protocol concerned, which have not
submitted a notification in accordance with the provision of subparagraph
(b) above.
3. The proposal, adoption and entry into force of amendments to annexes to
this Convention or to any protocol shall be subject to the same procedure
as for the proposal, adoption and entry into force of annexes to the
Convention or annexes to a protocol. Annexes and amendments thereto shall
take due account, inter alia, of relevant scientific and technical
considerations.
4. If an additional annex or an amendment to an annex involves an amendment
to this Convention or to any protocol, the additional annex or amended
annex shall not enter into force until such time as the amendment to this
Convention or to the protocol enters into force.
Article 19
Verification
Any Party which has reason to believe that another Party is acting or has
acted in breach of its obligations under this Convention may inform the
Secretariat thereof, and in such an event, shall simultaneously and
immediately inform, directly or through the Secretariat, the Party against
whom the allegations are made. All relevant information should be submitted
by the Secretariat to the Parties.
Article 20
Settlement of Disputes
1. In case of a dispute between Parties as to the interpretation or
application of, or compliance with, this Convention or any protocol
thereto, they shall seek a settlement of the dispute through negotiation or
any other peaceful means of their own choice.
2. If the Parties concerned cannot settle their dispute through the means
mentioned in the preceding paragraph, the dispute, if the parties to the
dispute agree, shall be submitted to the International Court of Justice or
to arbitration under the conditions set out in Annex VI on Arbitration.
However, failure to reach common agreement on submission of the dispute to
the International Court of Justice or to arbitration shall not absolve the
Parties from the responsibility of continuing to seek to resolve it by the
means referred to in paragraph 1.
3. When ratifying, accepting, approving, formally confirming or acceding to
this Convention, or at any time thereafter, a State or political and/or
economic integration organization may declare that it recognizes as
compulsory ipso facto and without special agreement, in relation to any
Party accepting the same obligation:
(a) submission of the dispute to the International Court of Justice;
and/or
(b) arbitration in accordance with the procedures set out in Annex VI.
Such declaration shall be notified in writing to the Secretariat which
shall communicate it to the Parties.
Article 21
Signature
This Convention shall be open for signature by States, by Namibia
represented by the United Nations Council for Namibia and by political
and/or economic integration organizations, in Basel on 22 March 1989, at
the Federal Department of Foreign Affairs of Switzerland in Berne from 23
March 1989 to 30 June 1989, and at United Nations Headquarters in New York
from 1 July 1989 to 22 March 1990.
Article 22
Ratification, Acceptance, Formal Confirmation or Approval
1. This Convention shall be subject to ratification, acceptance or approval
by States and by Namibia, represented by the United Nations Council for
Namibia and to formal confirmation or approval by political and/or economic
integration organizations. Instruments of ratification, acceptance, formal
confirmation, or approval shall be deposited with the Depositary.
2. Any organization referred to in paragraph 1 above which becomes a Party
to this Convention without any of its member States being a Party shall be
bound by all the obligations under the Convention. In the case of such
organizations, one or more of whose member States is a Party to the
Convention, the organization and its member States shall decide on their
respective responsibilities for the performance of their obligations under
the Convention. In such cases, the organization and the member States shall
not be entitled to exercise rights under the Convention concurrently.
3. In their instruments of formal confirmation or approval, the
organizations referred to in paragraph 1 above shall declare the extent of
their competence with respect to the matters governed by the Convention.
These organizations shall also inform the Depositary, who will inform the
Parties of any substantial modification in the extent of their competence.
Article 23
Accession
1. This Convention shall be open for accession by States, by Namibia,
represented by the United Nations Council for Namibia, and by political
and/or economic integration organizations from the day after the date on
which the Convention is closed for signature. The instruments of accession
shall be deposited with the Depositary.
2. In their instruments of accession, the organizations referred to in
paragraph 1 above shall declare the extent of their competence with respect
to the matters governed by the Convention. These organizations shall also
inform the Depositary of any substantial modification in the extent of
their competence.
3. The provisions of Article 22 paragraph 2, shall apply to political
and/or economic integration organizations which accede to this Convention.
Article 24
Right to Vote
1. Except as provided for in paragraph 2 below, each Contracting Party to
this Convention shall have one vote.
2. Political and/or economic integration organizations, in matters within
their competence, in accordance with Article 22, paragraph 3, and Article
23, paragraph 2, shall exercise their right to vote with a number of votes
equal to the number of their member States which are Parties to the
Convention or the relevant protocol. Such organizations shall not exercise
their right to vote if their member States exercise theirs, and vice versa.
Article 25
Entry into Force
1. This Convention shall enter into force on the ninetieth day after the
date of deposit of the twentieth instrument of ratification, acceptance,
formal confirmation, approval or accession.
2. For each State or political and/or economic integration organization
which ratifies, accepts, approves or formally confirms this Convention or
accedes thereto after the date of the deposit of the twentieth instrument
of ratification, acceptance, approval, formal confirmation or accession, it
shall enter into force on the ninetieth day after the date of deposit by
such State or political and/or economic integration organization of its
instrument of ratification, acceptance, approval, formal confirmation or
accession.
3. For the purposes of paragraphs 1 and 2 above, any instrument deposited
by a political and/or economic integration organization shall not be
counted as additional to those deposited by member States of such
organization.
Article 26
Reservations and Decla
BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL (1989)
This data access service is provided by the Center for International Earth Science Information Network (CIESIN), which operates the Socioeconomic Data and Applications Center (SEDAC) for the U.S. National Aeronautics and Space Administration (NASA).
Environmental Treaties and Resource Indicators (ENTRI) -- Full Text
Note: Additional material related to this treaty is available from the Basel Convention Secretariat or via the Basel Search Engines.
Summary of the "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal" is available from the UNEP Register of International Treaties and Other Agreements in the Field of the Environment.
See the ENTRI query system for information about the status of this treaty.
See the ENTRI thematic guide for more information about the relationships between environmental treaties, national resource indicators, and remotely sensed data.
BASEL CONVENTION ON THE CONTROL OF
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
AND THEIR DISPOSAL (1989)
Entered into Force May 5, 1992
PREAMBLE
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 their 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,
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
house-keeping 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 tit, 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 4
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.
(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 degrees 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.
Article 5
Designation of Competent Authorities and Focal Point
To facilitate the implementation of this Convention, the Parties shall:
1. Designate or establish one or more competent authorities and one focal
point. One competent authority shall be designated to receive the
notification in case of a State of transit.
2. Inform the Secretariat, within three months of the date of the entry
into force of this Convention for them, which agencies they have designated
as their focal point and their competent authorities.
3. Inform the Secretariat, within one month of the date of decision, of any
changes regarding the designation made by them under paragraph 2 above.
Article 6
Transboundary Movement between Parties
1. The State of export shall notify, or shall require the generator or
exporter to notify, in writing, through the channel of the competent
authority of the State of export, the competent authority of the States
concerned of any proposed transboundary movement of hazardous wastes or
other wastes Such notification shall contain the declarations and
information specified in Annex V A, written in a language acceptable to the
State of import. Only one notification needs to be sent to each State
concerned.
2. The State of import shall respond to the notifier in writing, consenting
to the movement with or without conditions, denying permission for the
movement, or requesting additional information. A copy of the final
response of the State of import shall be sent to the competent authorities
of the States concerned which are Parties.
3. The State of export shall not allow the generator or exporter to
commence the transboundary movement until it has received written
confirmation that:
(a) The notifier has received the written consent of the State of import;
and
(b) The notifier has received from the State of import confirmation of
the existence of a contract between the exporter and the disposer
specifying environmentally sound management of the wastes in question.
4. Each State of transit which is a Party shall promptly acknowledge to the
notifier receipt of the notification. It may subsequently respond to the
notifier in writing, within 60 days, consenting to the movement with or
without conditions, denying permission for the movement, or requesting
additional information. The State of export shall not allow the
transboundary movement to commence until it has received the written
consent of the State of transit. However, if at any time a Party decides
not to require prior written consent, either generally or under specific
conditions, for transit transboundary movements of hazardous wastes or
other wastes, or modifies its requirements in this respect, it shall
forthwith inform the other Parties of its decision pursuant to Article 13.
In this latter case, if no response is received by the State of export
within 60 days of the receipt of a given notification by the State of
transit, the State of export may allow the export to proceed through the
State of transit.
5. In the case of a transboundary movement of wastes where the wastes are
legally defined as or considered to be hazardous wastes only:
(a) By the State of export, the requirements of paragraph 9 of this
Article that apply to the importer or disposer and the State of import
shall apply mutatis mutandis to the exporter and State of export,
respectively;
(b) By the State of import, or by the States of import and transit which
are Parties, the requirements of paragraphs 1, 3, 4 and 6 of this Article
that apply to the exporter and State of export shall apply mutatis mutandis
to the importer or disposer and State of import, respectively; or
(c) By any State of transit which is a Party, the provisions of paragraph
4 shall apply to such State.
6. The State of export may, subject to the written consent of the States
concerned, allow the generator or the exporter to use a general
notification where hazardous wastes or other wastes having the same
physical and chemical characteristics are shipped regularly to the same
disposer via the same customs office of exit of the State of export via the
same customs office of entry of the State of import, and, in the case of
transit, via the same customs office of entry and exit of the State or
States of transit.
7. The States concerned may make their written consent to the use of the
general notification referred to in paragraph 6 subject to the supply of
certain information, such as the exact quantities or periodical lists of
hazardous wastes or other wastes to be shipped.
8. The general notification and written consent referred to in paragraphs 6
and 7 may cover multiple shipments of hazardous wastes or other wastes
during a maximum period of 12 months.
9. The Parties shall require that each person who takes charge of a
transboundary movement of hazardous wastes or other wastes sign the
movement document either upon delivery or receipt of the wastes in
question. They shall also require that the disposer 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 shall so notify the State of import.
10. The notification and response required by this Article shall be
transmitted to the competent authority of the Parties concerned or to such
governmental authority as may be appropriate in the case of non-Parties.
11. Any transboundary movement of hazardous wastes or other wastes shall be
covered by insurance, bond or other guarantee as may be required by the
State of import or any State of transit which is a Party.
Article 7
Transboundary Movement from a Party through
States which are not Parties
Paragraph 2 of Article 6 of the Convention shall apply mutatis mutandis to
transboundary movement of hazardous wastes or other wastes from a Party
through a State or States which are not Parties.
Article 8
Duty to Re-import
When a transboundary movement of hazardous wastes or other wastes to which
the consent of the States concerned has been given, subject to the
provisions of this Convention, cannot be completed in accordance with the
terms of the contract, the State of export shall ensure that the wastes in
question are taken back into the State of export, by the exporter, if
alternative arrangements cannot be made for their disposal in an
environmentally sound manner, within 90 days from the time that the
importing State informed the State of export and the Secretariat, or such
other period of time as the States concerned agree. To this end, the State
of export and any Party of transit shall not oppose, hinder or prevent the
return of those wastes to the State of export.
Article 9
Illegal Traffic
1. For the purpose of this Convention, any transboundary movement of
hazardous wastes or other wastes:
(a) without notification pursuant to the provisions of this Convention to
all States concerned; or
(b) without the consent pursuant to the provisions of this Convention of
a State concerned; or
(c) with consent obtained from States concerned through falsification,
misrepresentation or fraud; or
(d) that does not conform in a material way with the documents; or
(e) that results in deliberate disposal (e.g. dumping) of hazardous
wastes or other wastes in contravention of this Convention and of general
principles of international law, shall be deemed to be illegal traffic.
2. In case of a transboundary movement of hazardous wastes or other wastes
deemed to be illegal traffic as the result of conduct on the part of the
exporter or generator, the State of export shall ensure that the wastes in
question are:
(a) taken back by the exporter or the generator or, if necessary, by
itself into the State of export, or, if impracticable,
(b) are otherwise disposed of in accordance with the provisions of this
Convention,
within 30 days from the time the State of export has been informed about
the illegal traffic or such other period of time as States concerned may
agree. To this end the Parties concerned shall not oppose, hinder or
prevent the return of those wastes to the State of export.
3. In the case of a transboundary movement of hazardous wastes or other
wastes deemed to be illegal traffic as the result of conduct on the part of
the importer or disposer, the State of import shall ensure that the wastes
in question are disposed of in an environmentally sound manner by the
importer or disposer or, if necessary, by itself within 30 days from the
time the illegal traffic has come to the attention of the State of import
or such other period of time as the States concerned may agree. To this
end, the Parties concerned shall co-operate, as necessary, in the disposal
of the wastes in an environmentally sound manner.
4. In cases where the responsibility for the illegal traffic cannot be
assigned either to the exporter or generator or to the importer or
disposer, the Parties concerned or other Parties, as appropriate, shall
ensure, through co-operation, that the wastes in question are disposed of
as soon as possible in an environmentally sound manner either in the State
of export or the State of import or elsewhere as appropriate.
5. Each Party shall introduce appropriate national/domestic legislation to
prevent and punish illegal traffic. The Parties shall co-operate with a
view to achieving the objects of this Article.
Article 10
International Co-operation
1. The Parties shall co-operate with each other in order to improve and
achieve environmentally sound management of hazardous wastes and other
wastes.
2. To this end, the Parties shall:
(a) Upon request, make available information, whether on a bilateral or
multilateral basis, with a view to promoting the environmentally sound
management of hazardous wastes and other wastes, including harmonization of
technical standards and practices for the adequate management of hazardous
wastes and other wastes;
(b) Co-operate in monitoring the effects of the management of hazardous
wastes on human health and the environment;
(c) Co-operate, subject to their national laws, regulations and policies,
in the development and implementation of new environmentally sound
low-waste technologies and the improvement of existing technologies with a
view to eliminating, as far as practicable, the generation of hazardous
wastes and other wastes and achieving more effective and efficient methods
of ensuring their management in an environmentally sound manner, including
the study of the economic, social and environmental effects of the adoption
of such new or improved technologies;
(d) Co-operate actively, subject to their national laws, regulations and
policies, in the transfer of technology and management systems related to
the environmentally sound management of hazardous wastes and other wastes.
They shall also co-operate in developing the technical capacity among
Parties, especially those which may need and request technical assistance
in this field;
(e) Co-operate in developing appropriate technical guidelines and/or
codes of practice.
3. The Parties shall employ appropriate means to cooperate in order to
assist developing countries in the implementation of subparagraphs a, b, c
and d of paragraph 2 of Article 4.
4. Taking into account the needs of developing countries, co-operation
between Parties and the competent international organizations is encouraged
to promote, inter alia, public awareness, the development of sound
management of hazardous wastes and other wastes and the adoption of new
low-waste technologies.
Article 11
Bilateral, Multilateral and Regional Agreements
1. Notwithstanding the provisions of Article 4 paragraph 5, Parties may
enter into bilateral, multilateral, or regional agreements or arrangements
regarding transboundary movement of hazardous wastes or other wastes with
Parties or non-Parties provided that such agreements or arrangements do not
derogate from the environmentally sound management of hazardous wastes and
other wastes as required by this Convention. These agreements or
arrangements shall stipulate provisions which are not less environmentally
sound than those provided for by this Convention in particular taking into
account the interests of developing countries.
2. Parties shall notify the Secretariat of any bilateral, multilateral or
regional agreements or arrangements referred to in paragraph 1 and those
which they have entered into prior to the entry into force of this
Convention for them, for the purpose of controlling transboundary movements
of hazardous wastes and other wastes which take place entirely among the
Parties to such agreements. The provisions of this Convention shall not
affect transboundary movements which take place pursuant to such agreements
provided that such agreements are compatible with the environmentally sound
management of hazardous wastes and other wastes as required by this
Convention.
Article 12
Consultations on Liability
The Parties shall co-operate with a view to adopting, as soon as
practicable, a protocol setting out appropriate rules and procedures in the
field of liability and compensation for damage resulting from the
transboundary movement and disposal of hazardous wastes and other wastes.
Article 13
Transmission of Information
1. The Parties shall, whenever it comes to their knowledge, ensure that, in
the case of an accident occurring during the transboundary movement of
hazardous wastes or other wastes or their disposal, which are likely to
present risks to human health and the environment in other States, those
states are immediately informed.
2. The Parties shall inform each other, through the Secretariat, of:
(a) Changes regarding the designation of competent authorities and/or
focal points, pursuant to Article 5;
(b) Changes in their national definition of hazardous wastes, pursuant to
Article 3; and, as soon as possible,
(c) Decisions made by them not to consent totally or partially to the
import of hazardous wastes or other wastes for disposal within the area
under their national jurisdiction;
(d) Decisions taken by them to limit or ban the export of hazardous
wastes or other wastes;
(e) Any other information required pursuant to paragraph 4 of this
Article.
3. The Parties, consistent with national laws and regulations, shall
transmit, through the Secretariat, to the Conference of the Parties
established under Article 15, before the end of each calendar year, a
report on the previous calendar year, containing the following information:
(a) Competent authorities and focal points that have been designated by
them pursuant to Article 5;
(b) Information regarding transboundary movements of hazardous wastes or
other wastes in which they have been involved, including:
(i) The amount of hazardous wastes and other wastes exported, their
category, characteristics, destination, any transit country and
disposal method as stated on the response to notification;
(ii) The amount of hazardous wastes and other wastes imported, their
category, characteristics, origin, and disposal methods;
(iii) Disposals which did not proceed as intended;
(iv) Efforts to achieve a reduction of the amount of hazardous wastes
or other wastes subject to transboundary movement;
(c) Information on the measures adopted by them in implementation of this
Convention;
(d) Information on available qualified statistics which have been
compiled by them on the effects on human health and the environment of the
generation, transportation and disposal of hazardous wastes or other
wastes;
(e) Information concerning bilateral, multilateral and regional
agreements and arrangements entered into pursuant to Article 11 of this
Convention;
(f) Information on accidents occurring during the transboundary movement
and disposal of hazardous wastes and other wastes and on the measures
undertaken to deal with them;
(g) Information on disposal options operated within the area of their
national jurisdiction;
(h) Information on measures undertaken for development of technologies
for the reduction and/or elimination of production of hazardous wastes and
other wastes; and
(i) Such other matters as the Conference of the Parties shall deem
relevant.
4. The Parties, consistent with national laws and regulations, shall ensure
that copies of each notification concerning any given transboundary
movement of hazardous wastes or other wastes, and the response to it, are
sent to the Secretariat when a Party considers that its environment may be
affected by that transboundary movement has requested that this should be
done.
Article 14
Financial Aspects
1. The Parties agree that, according to the specific needs of different
regions and subregions, regional or sub-regional centres for training and
technology transfers regarding the management of hazardous wastes and other
wastes and the minimization of their generation should be established. The
Parties shall decide on the establishment of appropriate funding mechanisms
of a voluntary nature.
2. The Parties shall consider the establishment of a revolving fund to
assist on an interim basis in case of emergency situations to minimize
damage from accidents arising from transboundary movements of hazardous
wastes and other wastes or during the disposal of those wastes.
Article 15
Conference of the Parties
1. A Conference of the Parties is hereby established. The first meeting of
the Conference of the Parties shall be convened by the Executive Director
of UNEP not later than one year after the entry into force of this
Convention. Thereafter, ordinary meetings of the Conference of the Parties
shall be held at regular intervals to be determined by the Conference at
its first meeting.
2. Extraordinary meetings of the Conference of the Parties shall be held at
such other times as may be deemed necessary by the Conference, or at the
written request of any Party, provided that, within six months of the
request being communicated to them by the Secretariat, it is supported by
at least one third of the Parties.
3. The Conference of the Parties shall by consensus agree upon and adopt
rules of procedure for itself and for any subsidiary body it may establish,
as well as financial rules to determine in particular the financial
participation of the Parties under this Convention.
4. The Parties at their first meeting shall consider any additional
measures needed to assist them in fulfilling their responsibilities with
respect to the protection and the preservation of the marine environment in
the context of this Convention.
5. The Conference of the Parties shall keep under continuous review and
evaluation the effective implementation of this Convention, and, in
addition, shall:
(a) Promote the harmonization of appropriate policies, strategies and
measures for minimizing harm to human health and the environment by
hazardous wastes and other wastes;
(b) Consider and adopt, as required, amendments to this Convention and
its annexes, taking into consideration, inter alia, available scientific,
technical, economic and environmental information;
(c) Consider and undertake any additional action that may be required for
the achievement of the purposes of this Convention in the light of
experience gained in its operation and in the operation of the agreements
and arrangements envisaged in Article 11;
(d) Consider and adopt protocols as required; and
(e) Establish such subsidiary bodies as are deemed necessary for the
implementation of this Convention.
6. The United Nations, its specialized agencies, as well as any State not
party to this Convention, may be represented as observers at meetings of
the Conference of the Parties. Any other body or agency, whether national
or international, governmental or non-governmental, qualified in fields
relating to hazardous wastes or other wastes which has informed the
Secretariat of its wish to be represented as an observer at a meeting of
the Conference of the Parties, may be admitted unless at least one third of
the Parties present object. The admission and participation of observers
shall be subject to the rules of procedure adopted by the conference of the
Parties.
7. The Conference of the Parties shall undertake three years after the
entry into force of this Convention, and at least every six years
thereafter, an evaluation of its effectiveness and, if deemed necessary, to
consider the adoption of a complete or partial ban of transboundary
movements of hazardous wastes and other wastes in light of the latest
scientific, environmental, technical and economic information.
Article 16
Secretariat
1. The functions of the Secretariat shall be:
(a) To arrange for and service meetings provided for in Articles 15 and
17;
(b) To prepare and transmit reports based upon information received in
accordance with Articles 3, 4, 6, 11 and 13 as well as upon information
derived from meetings of subsidiary bodies established under Article 15 as
well as upon, as appropriate, information provided by relevant
intergovernmental and non-governmental entities;
(c) To prepare reports on its activities carried out in implementation of
its functions under this Convention and present them to the Conference of
the Parties;
(d) To ensure the necessary coordination with relevant international
bodies, and in particular to enter into such administrative and contractual
arrangements as may be required for the effective discharge of its
functions;
(e) To communicate with focal points and competent authorities
established by the Parties in accordance with Article 5 of this Convention;
(f) To compile information concerning authorized national sites and
facilities of Parties available for the disposal of their hazardous wastes
and other wastes and to circulate this information among Parties;
(g) To receive and convey information from and to Parties on;
-- sources of technical assistance and training;
-- available technical and scientific know-how;
-- sources of advice and expertise; and
-- availability of resources
with a view to assisting them, upon request, in such areas as:
-- the handling of the notification system of this Convention;
-- the management of hazardous wastes and other wastes;
-- environmentally sound technologies relating to hazardous wastes and
other wastes, such as low- and non-waste technology;
-- the assessment of disposal capabilities and sites;
-- the monitoring of hazardous wastes and other wastes; and
-- emergency responses;
(h) To provide Parties, upon request, with information on consultants or
consulting firms having the necessary technical competence in the field,
which can assist them to examine a notification for a transboundary
movement, the concurrence of a shipment of hazardous wastes or other wastes
with the relevant notification, and/or the fact that the proposed disposal
facilities for hazardous wastes or other wastes are environmentally sound,
when they have reason to believe that the wastes in question will not be
managed in an environmentally sound manner. Any such examination would not
be at the expense of the Secretariat;
(i) To assist Parties upon request in their identification of cases of
illegal traffic and to circulate immediately to the Parties concerned any
information it has received regarding illegal traffic;
(j) To co-operate with Parties and with relevant and competent
international organizations and agencies in the provision of experts and
equipment for the purpose of rapid assistance to States in the event of an
emergency situation; and
(k) To perform such other functions relevant to the purposes of this
Convention as may be determined by the Conference of the Parties.
2. The secretariat functions will be carried out on an interim basis by
UNEP until the completion of the first meeting of the Conference of the
Parties held pursuant to Article 15.
3. At its first meeting, the Conference of the Parties shall designate the
Secretariat from among those existing competent intergovernmental
organizations which have signified their willingness to carry out the
secretariat functions under this Convention. At this meeting, the
Conference of the Parties shall also evaluate the implementation by the
interim Secretariat of the functions assigned to it, in particular under
paragraph 1 above, and decide upon the structures appropriate for those
functions.
Article 17
Amendment of the Convention
1. Any Party may propose amendments to this Convention and any Party to a
protocol may propose amendments to that protocol. Such amendments shall
take due account, inter alia, of relevant scientific and technical
considerations.
2. Amendments to this Convention shall be adopted at a meeting of the
Conference of the Parties. Amendments to any protocol shall be adopted at a
meeting of the Parties to the protocol in question. The text of any
proposed amendment to this Convention or to any protocol, except as may
otherwise be provided in such protocol, shall be communicated to the
Parties by the Secretariat at least six months before the meeting at which
it is proposed for adoption. The Secretariat shall also communicate
proposed amendments to the Signatories to this Convention for information.
3. The Parties shall make every effort to reach agreement on any proposed
amendment to this Convention by consensus. If all efforts at consensus have
been exhausted, and no agreement reached, the amendment shall as a last
resort be adopted by a three-fourths majority vote of the Parties present
and voting at the meeting, and shall be submitted by the Depositary to all
Parties for ratification, approval, formal confirmation or acceptance.
4. The procedure mentioned in paragraph 3 above shall apply to amendments
to any protocol, except that a two-thirds majority of the Parties to that
protocol present and voting at the meeting shall suffice for their
adoption.
5. Instruments of ratification, approval, formal confirmation or acceptance
of amendments shall be deposited with the Depositary. Amendments adopted in
accordance with paragraphs 3 or 4 above shall enter into force between
Parties having accepted them on the ninetieth day after the receipt by the
Depositary of their instrument of ratification, approval, formal
confirmation or acceptance by at least three-fourths of the Parties who
accepted the amendments to the protocol concerned, except as may otherwise
be provided in such protocol. The amendments shall enter into force for any
other Party on the ninetieth day after that Party deposits its instrument
of ratification, approval, formal confirmation or acceptance of the
amendments.
6. For the purpose of this Article, "Parties present and voting" means
Parties present and casting an affirmative or negative vote.
Article 18
Adoption and Amendment of Annexes
1. The annexes to this Convention or to any protocol shall form an integral
part of this Convention or of such protocol, as the case may be and, unless
expressly provided otherwise, a reference to this Convention or its
protocols constitutes at the same time a reference to any annexes thereto.
Such annexes shall be restricted to scientific, technical and
administrative matters.
2. Except as may be otherwise provided in any protocol with respect to its
annexes, the following procedure shall apply to the proposal, adoption and
entry into force of additional annexes to this Convention or of annexes to
a protocol:
(a) Annexes to this Convention and its protocols shall be proposed and
adopted according to the procedure laid down in Article 17, paragraphs 2, 3
and 4;
(b) Any Party that is unable to accept an additional annex to this
Convention or an annex to any protocol to which it is party shall so notify
the Depositary, in writing, within six months from the date of the
communication of the adoption by the Depositary. The Depositary shall
without delay notify all Parties of any such notification received. A Party
may at any time substitute an acceptance for a previous declaration of
objection and the annexes shall thereupon enter into force for that Party;
(c) On the expiry of six months from the date of the circulation of the
communication by the Depositary, the annex shall become effective for all
Parties to this Convention or to any protocol concerned, which have not
submitted a notification in accordance with the provision of subparagraph
(b) above.
3. The proposal, adoption and entry into force of amendments to annexes to
this Convention or to any protocol shall be subject to the same procedure
as for the proposal, adoption and entry into force of annexes to the
Convention or annexes to a protocol. Annexes and amendments thereto shall
take due account, inter alia, of relevant scientific and technical
considerations.
4. If an additional annex or an amendment to an annex involves an amendment
to this Convention or to any protocol, the additional annex or amended
annex shall not enter into force until such time as the amendment to this
Convention or to the protocol enters into force.
Article 19
Verification
Any Party which has reason to believe that another Party is acting or has
acted in breach of its obligations under this Convention may inform the
Secretariat thereof, and in such an event, shall simultaneously and
immediately inform, directly or through the Secretariat, the Party against
whom the allegations are made. All relevant information should be submitted
by the Secretariat to the Parties.
Article 20
Settlement of Disputes
1. In case of a dispute between Parties as to the interpretation or
application of, or compliance with, this Convention or any protocol
thereto, they shall seek a settlement of the dispute through negotiation or
any other peaceful means of their own choice.
2. If the Parties concerned cannot settle their dispute through the means
mentioned in the preceding paragraph, the dispute, if the parties to the
dispute agree, shall be submitted to the International Court of Justice or
to arbitration under the conditions set out in Annex VI on Arbitration.
However, failure to reach common agreement on submission of the dispute to
the International Court of Justice or to arbitration shall not absolve the
Parties from the responsibility of continuing to seek to resolve it by the
means referred to in paragraph 1.
3. When ratifying, accepting, approving, formally confirming or acceding to
this Convention, or at any time thereafter, a State or political and/or
economic integration organization may declare that it recognizes as
compulsory ipso facto and without special agreement, in relation to any
Party accepting the same obligation:
(a) submission of the dispute to the International Court of Justice;
and/or
(b) arbitration in accordance with the procedures set out in Annex VI.
Such declaration shall be notified in writing to the Secretariat which
shall communicate it to the Parties.
Article 21
Signature
This Convention shall be open for signature by States, by Namibia
represented by the United Nations Council for Namibia and by political
and/or economic integration organizations, in Basel on 22 March 1989, at
the Federal Department of Foreign Affairs of Switzerland in Berne from 23
March 1989 to 30 June 1989, and at United Nations Headquarters in New York
from 1 July 1989 to 22 March 1990.
Article 22
Ratification, Acceptance, Formal Confirmation or Approval
1. This Convention shall be subject to ratification, acceptance or approval
by States and by Namibia, represented by the United Nations Council for
Namibia and to formal confirmation or approval by political and/or economic
integration organizations. Instruments of ratification, acceptance, formal
confirmation, or approval shall be deposited with the Depositary.
2. Any organization referred to in paragraph 1 above which becomes a Party
to this Convention without any of its member States being a Party shall be
bound by all the obligations under the Convention. In the case of such
organizations, one or more of whose member States is a Party to the
Convention, the organization and its member States shall decide on their
respective responsibilities for the performance of their obligations under
the Convention. In such cases, the organization and the member States shall
not be entitled to exercise rights under the Convention concurrently.
3. In their instruments of formal confirmation or approval, the
organizations referred to in paragraph 1 above shall declare the extent of
their competence with respect to the matters governed by the Convention.
These organizations shall also inform the Depositary, who will inform the
Parties of any substantial modification in the extent of their competence.
Article 23
Accession
1. This Convention shall be open for accession by States, by Namibia,
represented by the United Nations Council for Namibia, and by political
and/or economic integration organizations from the day after the date on
which the Convention is closed for signature. The instruments of accession
shall be deposited with the Depositary.
2. In their instruments of accession, the organizations referred to in
paragraph 1 above shall declare the extent of their competence with respect
to the matters governed by the Convention. These organizations shall also
inform the Depositary of any substantial modification in the extent of
their competence.
3. The provisions of Article 22 paragraph 2, shall apply to political
and/or economic integration organizations which accede to this Convention.
Article 24
Right to Vote
1. Except as provided for in paragraph 2 below, each Contracting Party to
this Convention shall have one vote.
2. Political and/or economic integration organizations, in matters within
their competence, in accordance with Article 22, paragraph 3, and Article
23, paragraph 2, shall exercise their right to vote with a number of votes
equal to the number of their member States which are Parties to the
Convention or the relevant protocol. Such organizations shall not exercise
their right to vote if their member States exercise theirs, and vice versa.
Article 25
Entry into Force
1. This Convention shall enter into force on the ninetieth day after the
date of deposit of the twentieth instrument of ratification, acceptance,
formal confirmation, approval or accession.
2. For each State or political and/or economic integration organization
which ratifies, accepts, approves or formally confirms this Convention or
accedes thereto after the date of the deposit of the twentieth instrument
of ratification, acceptance, approval, formal confirmation or accession, it
shall enter into force on the ninetieth day after the date of deposit by
such State or political and/or economic integration organization of its
instrument of ratification, acceptance, approval, formal confirmation or
accession.
3. For the purposes of paragraphs 1 and 2 above, any instrument deposited
by a political and/or economic integration organization shall not be
counted as additional to those deposited by member States of such
organization.
Article 26
Reservations and Declarations
1. No reservation or exception may be made to this Convention.
2. Paragraph 1 of this Article does not preclude a State or political
and/or economic integration organizations, when signing, ratifying,
accepting, approving, formally confirming or acceding to this Convention,
from making declarations or statements, however phrased or named, with a
view, inter alia, to the harmonization of its laws and regulations with the
provisions of this Convention, provided that such declarations or
statements do not purport to exclude or to modify the legal effects of the
provisions of the Convention in their application to that State.
Article 27
Withdrawal
1. At any time after three years from the date on which this Convention has
entered into force for a Party, that Party may withdraw from the Convention
by giving written notification to the Depositary.
2. Withdrawal shall be effective one year from receipt of notification by
the Depositary, or on such later date as may be specified in the
notification.
Article 28
Depository
The Secretary-General of the United Nations shall be the Depository of this
Convention and of any protocol thereto.
Article 29
Authentic texts
The original Arabic, Chinese, English, French, Russian and Spanish texts of
this Convention are equally authentic.
IN WITNESS WHEREOF the undersigned, being duly authorized to that effect,
have signed this Convention.
Done at on the day of 1989
Annex I
CATEGORIES OF WASTES TO BE CONTROLLED
Waste Streams
Y1 Clinical wastes from medical care in hospitals, medical centers and
clinics
Y2 Wastes from the production and preparation of pharmaceutical products
Y3 Waste pharmaceuticals, drugs and medicines
Y4 Wastes from the production, formulation and use of biocides and
phytopharmaceuticals
Y5 Wastes from the manufacture, formulation and use of wood preserving
chemicals
Y6 Wastes from the production, formulation and use of organic solvents
Y7 Wastes from heat treatment and tempering operations containing
cyanides
Y8 Waste mineral oils unfit for their originally intended use
Y9 Waste oils/water, hydrocarbons/water mixtures, emulsions
Y10 Waste substances and articles containing or contaminated with
polychlorinated biphenyls (PCBs) and/or polychlorinated terphenyls
(PCTs) and/or polybrominated biphenyls (PBBs)
Y11 Waste tarry residues arising from refining, distillation and any
pyrolytic treatment
Y12 Wastes from production, formulation and use of inks, dyes, pigments,
paints, lacquers, varnish
Y13 Wastes frorn production, formulation and use of resins, latex,
plasticizers, glues/adhesives
Y14 Waste chemical substances arising from research and development or
teaching activities which are not identified and/or are new and whose
effects on man and/or the environment are not known
Y15 Wastes of an explosive nature not subject to other legislation
Y16 Wastes from production, formulation and use of photographic chemicals
and processing materials
Y17 Wastes resulting from surface treatment of metals and plastics
Y18 Residues arising from industrial waste disposal operations
Wastes having as constituents:
Y19 Metal carbonyls
Y20 Beryllium; beryllium compounds
Y21 Hexavalent chromium compounds
Y22 Copper compounds
Y23 Zinc compounds
Y24 Arsenic; arsenic compounds
Y25 Selenium, selenium compounds
Y26 Cadmium; cadmium compounds
Y27 Antimony; antimony compounds
Y28 Tellurium; tellurium compounds
Y29 Mercury; mercury compounds
Y30 Thallium; thallium compounds
Y31 Lead, lead compounds
Y32 Inorganic fluorine compounds excluding calcium fluoride
Y33 Inorganic cyanides
Y34 Acidic solutions or acids in solid form
Y35 Basic solutions or bases in solid form
Y36 Asbestos (dust and fibres)
Y37 Organic phosphorous compounds
Y38 Or
BASEL CONVENTION ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES AND THEIR DISPOSAL (1989)
This data access service is provided by the Center for International Earth Science Information Network (CIESIN), which operates the Socioeconomic Data and Applications Center (SEDAC) for the U.S. National Aeronautics and Space Administration (NASA).
Environmental Treaties and Resource Indicators (ENTRI) -- Full Text
Note: Additional material related to this treaty is available from the Basel Convention Secretariat or via the Basel Search Engines.
Summary of the "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal" is available from the UNEP Register of International Treaties and Other Agreements in the Field of the Environment.
See the ENTRI query system for information about the status of this treaty.
See the ENTRI thematic guide for more information about the relationships between environmental treaties, national resource indicators, and remotely sensed data.
BASEL CONVENTION ON THE CONTROL OF
TRANSBOUNDARY MOVEMENTS OF HAZARDOUS WASTES
AND THEIR DISPOSAL (1989)
Entered into Force May 5, 1992
PREAMBLE
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 their 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,
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
house-keeping 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 tit, 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 4
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.
(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 degrees 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.
Article 5
Designation of Competent Authorities and Focal Point
To facilitate the implementation of this Convention, the Parties shall:
1. Designate or establish one or more competent authorities and one focal
point. One competent authority shall be designated to receive the
notification in case of a State of transit.
2. Inform the Secretariat, within three months of the date of the entry
into force of this Convention for them, which agencies they have designated
as their focal point and their competent authorities.
3. Inform the Secretariat, within one month of the date of decision, of any
changes regarding the designation made by them under paragraph 2 above.
Article 6
Transboundary Movement between Parties
1. The State of export shall notify, or shall require the generator or
exporter to notify, in writing, through the channel of the competent
authority of the State of export, the competent authority of the States
concerned of any proposed transboundary movement of hazardous wastes or
other wastes Such notification shall contain the declarations and
information specified in Annex V A, written in a language acceptable to the
State of import. Only one notification needs to be sent to each State
concerned.
2. The State of import shall respond to the notifier in writing, consenting
to the movement with or without conditions, denying permission for the
movement, or requesting additional information. A copy of the final
response of the State of import shall be sent to the competent authorities
of the States concerned which are Parties.
3. The State of export shall not allow the generator or exporter to
commence the transboundary movement until it has received written
confirmation that:
(a) The notifier has received the written consent of the State of import;
and
(b) The notifier has received from the State of import confirmation of
the existence of a contract between the exporter and the disposer
specifying environmentally sound management of the wastes in question.
4. Each State of transit which is a Party shall promptly acknowledge to the
notifier receipt of the notification. It may subsequently respond to the
notifier in writing, within 60 days, consenting to the movement with or
without conditions, denying permission for the movement, or requesting
additional information. The State of export shall not allow the
transboundary movement to commence until it has received the written
consent of the State of transit. However, if at any time a Party decides
not to require prior written consent, either generally or under specific
conditions, for transit transboundary movements of hazardous wastes or
other wastes, or modifies its requirements in this respect, it shall
forthwith inform the other Parties of its decision pursuant to Article 13.
In this latter case, if no response is received by the State of export
within 60 days of the receipt of a given notification by the State of
transit, the State of export may allow the export to proceed through the
State of transit.
5. In the case of a transboundary movement of wastes where the wastes are
legally defined as or considered to be hazardous wastes only:
(a) By the State of export, the requirements of paragraph 9 of this
Article that apply to the importer or disposer and the State of import
shall apply mutatis mutandis to the exporter and State of export,
respectively;
(b) By the State of import, or by the States of import and transit which
are Parties, the requirements of paragraphs 1, 3, 4 and 6 of this Article
that apply to the exporter and State of export shall apply mutatis mutandis
to the importer or disposer and State of import, respectively; or
(c) By any State of transit which is a Party, the provisions of paragraph
4 shall apply to such State.
6. The State of export may, subject to the written consent of the States
concerned, allow the generator or the exporter to use a general
notification where hazardous wastes or other wastes having the same
physical and chemical characteristics are shipped regularly to the same
disposer via the same customs office of exit of the State of export via the
same customs office of entry of the State of import, and, in the case of
transit, via the same customs office of entry and exit of the State or
States of transit.
7. The States concerned may make their written consent to the use of the
general notification referred to in paragraph 6 subject to the supply of
certain information, such as the exact quantities or periodical lists of
hazardous wastes or other wastes to be shipped.
8. The general notification and written consent referred to in paragraphs 6
and 7 may cover multiple shipments of hazardous wastes or other wastes
during a maximum period of 12 months.
9. The Parties shall require that each person who takes charge of a
transboundary movement of hazardous wastes or other wastes sign the
movement document either upon delivery or receipt of the wastes in
question. They shall also require that the disposer 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 shall so notify the State of import.
10. The notification and response required by this Article shall be
transmitted to the competent authority of the Parties concerned or to such
governmental authority as may be appropriate in the case of non-Parties.
11. Any transboundary movement of hazardous wastes or other wastes shall be
covered by insurance, bond or other guarantee as may be required by the
State of import or any State of transit which is a Party.
Article 7
Transboundary Movement from a Party through
States which are not Parties
Paragraph 2 of Article 6 of the Convention shall apply mutatis mutandis to
transboundary movement of hazardous wastes or other wastes from a Party
through a State or States which are not Parties.
Article 8
Duty to Re-import
When a transboundary movement of hazardous wastes or other wastes to which
the consent of the States concerned has been given, subject to the
provisions of this Convention, cannot be completed in accordance with the
terms of the contract, the State of export shall ensure that the wastes in
question are taken back into the State of export, by the exporter, if
alternative arrangements cannot be made for their disposal in an
environmentally sound manner, within 90 days from the time that the
importing State informed the State of export and the Secretariat, or such
other period of time as the States concerned agree. To this end, the State
of export and any Party of transit shall not oppose, hinder or prevent the
return of those wastes to the State of export.
Article 9
Illegal Traffic
1. For the purpose of this Convention, any transboundary movement of
hazardous wastes or other wastes:
(a) without notification pursuant to the provisions of this Convention to
all States concerned; or
(b) without the consent pursuant to the provisions of this Convention of
a State concerned; or
(c) with consent obtained from States concerned through falsification,
misrepresentation or fraud; or
(d) that does not conform in a material way with the documents; or
(e) that results in deliberate disposal (e.g. dumping) of hazardous
wastes or other wastes in contravention of this Convention and of general
principles of international law, shall be deemed to be illegal traffic.
2. In case of a transboundary movement of hazardous wastes or other wastes
deemed to be illegal traffic as the result of conduct on the part of the
exporter or generator, the State of export shall ensure that the wastes in
question are:
(a) taken back by the exporter or the generator or, if necessary, by
itself into the State of export, or, if impracticable,
(b) are otherwise disposed of in accordance with the provisions of this
Convention,
within 30 days from the time the State of export has been informed about
the illegal traffic or such other period of time as States concerned may
agree. To this end the Parties concerned shall not oppose, hinder or
prevent the return of those wastes to the State of export.
3. In the case of a transboundary movement of hazardous wastes or other
wastes deemed to be illegal traffic as the result of conduct on the part of
the importer or disposer, the State of import shall ensure that the wastes
in question are disposed of in an environmentally sound manner by the
importer or disposer or, if necessary, by itself within 30 days from the
time the illegal traffic has come to the attention of the State of import
or such other period of time as the States concerned may agree. To this
end, the Parties concerned shall co-operate, as necessary, in the disposal
of the wastes in an environmentally sound manner.
4. In cases where the responsibility for the illegal traffic cannot be
assigned either to the exporter or generator or to the importer or
disposer, the Parties concerned or other Parties, as appropriate, shall
ensure, through co-operation, that the wastes in question are disposed of
as soon as possible in an environmentally sound manner either in the State
of export or the State of import or elsewhere as appropriate.
5. Each Party shall introduce appropriate national/domestic legislation to
prevent and punish illegal traffic. The Parties shall co-operate with a
view to achieving the objects of this Article.
Article 10
International Co-operation
1. The Parties shall co-operate with each other in order to improve and
achieve environmentally sound management of hazardous wastes and other
wastes.
2. To this end, the Parties shall:
(a) Upon request, make available information, whether on a bilateral or
multilateral basis, with a view to promoting the environmentally sound
management of hazardous wastes and other wastes, including harmonization of
technical standards and practices for the adequate management of hazardous
wastes and other wastes;
(b) Co-operate in monitoring the effects of the management of hazardous
wastes on human health and the environment;
(c) Co-operate, subject to their national laws, regulations and policies,
in the development and implementation of new environmentally sound
low-waste technologies and the improvement of existing technologies with a
view to eliminating, as far as practicable, the generation of hazardous
wastes and other wastes and achieving more effective and efficient methods
of ensuring their management in an environmentally sound manner, including
the study of the economic, social and environmental effects of the adoption
of such new or improved technologies;
(d) Co-operate actively, subject to their national laws, regulations and
policies, in the transfer of technology and management systems related to
the environmentally sound management of hazardous wastes and other wastes.
They shall also co-operate in developing the technical capacity among
Parties, especially those which may need and request technical assistance
in this field;
(e) Co-operate in developing appropriate technical guidelines an