INTRODUCTION

The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their
Disposal, usually known as the Basel Convention, is an international treaty that was designed to reduce the
movements of hazardous waste between nations, and specifically to restrict the transfer of hazardous waste from
developed to less developed countries. It does not address the movement of radioactive waste, controlled by the
International Atomic Energy Agency. The Basel Convention is also intended to minimize the rate and toxicity of
wastes generated, to ensure their environmentally sound management as closely as possible to the source of
generation, and to assist developing countries in environmentally sound management of the hazardous and other
wastes they generate.

Parties to the Convention

The convention was opened for signature on 21 March 1989, and entered into force on 5 May 1992. As of June
2024, there are 191 parties to the convention. In addition, Haiti and the United States have signed the convention
but did not ratify it.

History of the negotiations of the Basel Convention

The management of hazardous wastes has been on the international environmental agenda from the early 1980s,
when it was included as one of three priority areas in the United Nations Environment Programme’s (UNEP) first
Montevideo Programme on Environmental Law in 1981. The Basel Convention on the Control of Transboundary
Movements of Hazardous Wastes and their Disposal (hereinafter referred to as “the Basel Convention”) was
adopted in 1989, in response to a public outcry following the discovery, in the 1980s, in Africa and other parts of
the developing world of deposits of toxic wastes imported from abroad. Awakening environmental awareness and
corresponding tightening of environmental regulations in the industrialized world in the 1970s and 1980s had led to
increasing public resistance to the dumping of hazardous wastes – in accordance with what became known as the
NIMBY (Not In My Back Yard) syndrome – and to an escalation of disposal costs. This in turn led some
operators to seek cheap disposal options for hazardous wastes in Eastern Europe and the developing world, where
environmental awareness was much less developed and regulations and enforcement mechanisms were lacking.

1
It was against this background that the Basel Convention was negotiated in the late 1980s, and its thrust at the time
of its adoption was to combat the “toxic trade”, as it was termed. It was adopted in 1989 and entered into force in
1992.

The Basel Negotiation Process (1987-1989)

In June 1987, the Governing Council of UNEP approved the Cairo Guidelines, a non-binding legal instrument,
primarily designed to assist governments in the development and implementation of their national management
policies for hazardous wastes. At the same time, based on a joint proposal by Switzerland and Hungary, the
Governing Council of UNEP mandated the Executive Director to convene a working group with the task of
elaborating a global convention on the control of transboundary movements of hazardous wastes, drawing on the
Cairo Guidelines and the relevant national, regional and international bodies. The Council also authorized the
Executive Director to convene, in early 1989, a diplomatic conference to adopt and sign the convention. This
decision and the resulting negotiations were subsequently endorsed by the United Nations General Assembly.

The schedule determined by the Governing Council allowed for a period of less than two years for the drafting and
negotiation of the convention. The Ad Hoc Working Group of Legal and Technical Experts with a Mandate to
Prepare a Global Convention on the Control of Transboundary Movements of Hazardous Wastes (hereinafter
referred to as “the Working Group”) began its deliberations at an organizational meeting in October 1987 and held
a total of five negotiation sessions between February 1988 and March 1989.

Conference of Plenipotentiaries

The Conference of Plenipotentiaries on the Global Convention on the Control of Transboundary Movements of
Hazardous Wastes, convened at the invitation of the Swiss Government from 20 to 22 March 1989 in Basel, and in
which 116 States were represented, considered the final draft of the Convention submitted to it by the Working
Group.

The Basel Convention was adopted unanimously by the Conference on 22 March 1989. The Conference also
adopted eight resolutions related to the further development and the implementation of the Basel Convention.

2
One hundred and five States and the European Economic Community (EEC) signed the Final Act of the Basel
Conference. On 22 March 1990, when the Basel Convention was closed for signature in accordance with its article
21, fifty-three States and the EEC had signed it. It entered into force on 5 May 1992 upon deposit of the twentieth
instrument of accession (article 25).

Milestones

Since its adoption, the Basel Convention has seen a number of significant developments.

The Amendment to the Convention on the Control of Transboundary Movements of Hazardous Wastes and
their Disposal (“the Ban Amendment”) was adopted by the third meeting of the Conference of the Parties (COP)
in 1995. The Ban Amendment provides for the prohibition of exports of all hazardous wastes covered by the
Convention that are intended for final disposal, reuse, recycling and recovery from countries listed in annex VII to
the Convention (Parties and other States which are members of the OECD, EC, Liechtenstein) to all other countries.
As at 1 January 2011, the Ban Amendment has not yet entered into force. The challenge of protecting vulnerable
countries from unwanted hazardous waste imports, while not precluding the import of wastes considered valuable
secondary raw materials to countries in a position to manage them in an environmentally sound manner has
therefore gained importance. Informal discussions were initiated at COP 9 in 2008 to identify a way to enable the
entry into force of the Ban Amendment while addressing the concerns and needs of all countries in this context.

Annexes VIII and IX to the Convention, which provide further elaboration as to the wastes regulated by the
Convention as listed in Annexes I and III were adopted by COP 4 in 1998.

The Basel Protocol on Liability and Compensation for Damage resulting from Transboundary Movements of
Hazardous Wastes and their Disposal was adopted by COP 5 in 1999. The Basel Protocol regulates civil liability
for damage resulting from the transboundary movement of hazardous wastes and other wastes, including incidents
occurring as a result of illegal traffic. As at 1 January 2011, the Basel Protocol has not yet entered into force.
Delegates at COP 5 also agreed on an interim arrangement to cover emergency situations until the Protocol en ters
into force. COP 6 in 2002 approved the Interim Guidelines for the Implementation of decision V/32 on the
Enlargement of the scope of the Technical Cooperation Trust Fund.

A Committee for Administering the Mechanism for Promoting Implementation

3
and Compliance was established at COP 6 in Geneva in 2002. The objective of this mechanism is to assist parties to
comply with their obligations under the Convention and to facilitate, promote, monitor and aim to secure the
implementation of, and compliance with, the obligations under the Convention. The mechanism is non-
confrontational, transparent, cost-effective and preventive in nature, simple, flexible, non-binding and oriented in
the direction of helping parties to implement the provisions of the Basel Convention.

One of the most important contributions of the Basel Convention over the past 20 years is the elaboration of a
significant number of policy instruments with non-binding character. Within the framework of the Convention, a
large body of technical guidelines on the management of specific waste streams has been developed by technical
government expert groups and approved by the COP. These non-binding instruments have been designed for the
use
of Governments at all levels, as well as other stakeholders, to provide practical guidance and thus facilitate the
management of the relevant waste streams.

In 2002, COP 6 adopted the Strategic Plan for the implementation of the Basel Convention for the period 2002 to
2010, to assist developing countries and countries with economies in transition in implementing the provisions of
the Convention. Numerous national and regional capacity building and training projects have since been
implemented under the umbrella of the Strategic Plan, with the assistance of the Secretariat and the Basel
Convention Regional Centres. COP 10 in October 2011 is expected to adopt a new strategic framework for the
period 2011 to 2021, defining the fundamental aims and priorities of the Convention for the relevant decade while
taking into account changes that have occurred since its adoption.

COP 6 also established a partnership programme with business and industry. Under this programme, two public-
private partnerships have thus far been successfully launched, both with the objective of developing specific
technical guidelines – to be used by the relevant industry and authorities for the management of end-of-life
electronic devices and electronic waste – and initiating relevant pilot projects at country level, including in
companies. Between 2003 and 2008, the Mobile Phone Partnership Initiative (MPPI) developed guidelines for
every stage of the management of end-of-life mobile phones, which are being used in relevant facilities. 2008 saw
the inception of the Partnership for Action on Computing Equipment (PACE) by COP 9. Building on experience
gained with the MPPI, PACE is working to increase the environmentally sound management of used and end-of-
life computing equipment.

The Bali Declaration on Waste Management for Human Health and Livelihood, adopted by COP 9 in 2008,
has affirmed at the political level that waste, if not managed in a safe and environmentally sound manner, may have
serious consequences for the environment, human health and sustainable livelihood. The commitment agreed by

4
Ministers in the Bali Declaration to prevent the illegal transboundary movement of hazardous wastes, minimize the
generation of hazardous wastes and promote the safe and environmentally sound management of waste within each
country has since been supported by other international organizations. Following the UNEP Governing Council /
Global Ministerial Environment Forum in 2009, the World Health Assembly in May 2010 and the Human Rights
Council in June 2010 also highlighted the link between toxic waste, human health, and the enjoyment of human
rights.

Recently, the management of hazardous chemicals and wastes has moved up on the international political agenda in
the context of environmental governance. This is in no small part due to what has become known as the “synergies”
process between the Basel, Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous
Chemicals and Pesticides in International Trade and the Stockholm Convention on Persistent Organic Pollutants.
Several years of deliberations through a Party-led process culminated in the successful simultaneous extraordinary
meetings of the Conferences of the Parties to the Basel, Rotterdam and Stockholm conventions (ExCOPs) took
place in Bali from 22 to 24 February 2010. A “first” in the history of international treaties and the highlight of the
synergies process thus far, the ExCOPs gave directions for countries to implement the three conventions in a more
holistic ancoordinated way. The conventions have joined forces to better address the challenge of environmentally
sound management of hazardous substances at different stages of their life cycle.

The Basel Convention celebrated its 20th anniversary in 2009 – an event commemorated in November 2009 in
Basel (Switzerland). On this occasion, Kenya, Indonesia, and Colombia, the past, present and future Presidents of
the COP, together with Switzerland as the host of the Diplomatic Conference in 1989, launched the Basel Waste
Solutions Circle, an initiative showcasing projects at all levels that contribute in a concrete manner to the
implementation of the Bali Declaration.

Over the past 20 years, the Basel Convention has had ample occasion to adjust to new global developments and
needs with regards to waste management over the years, and has risen to these challenges. With the added benefit
of closer cooperation with the Rotterdam and Stockholm conventions, the Convention now has the potential to start
considering wastes more in a life cycle context. This will make it possible to embrace new ways of thinking.

The Basel Convention plays a decisive role in achieving the Millennium Development Goals (MDGs) - poverty
reduction, reducing child mortality, improving maternal health, ensure environmental sustainability. Waste
minimization undoubtedly leads us to achieving the MDGs. In addition, state-of-the art recycling in accordance
with agreed standards could create business opportunities and safe jobs; a higher yield of secondary raw materials;
conservation of precious resources through extraction and re-use rather than primary mining; and better protection

5
of the air, soil, water and thus human health. Realizing this potential might also lessen the incentives for illegal
recycling operations, through providing legal, safe and economically rewarding alternatives.

The Conference of the Parties (COP) was established pursuant to article 15 of the Convention. It is the governing
body of the Basel Convention and is composed of governments of countries that have accepted, ratified or acceded
to it. The implementation of the Convention is advanced through the decisions it takes at its meetings.

The Conference of the Parties reviews and evaluates the implementation of the Convention. It considers and adopts,
as required, amendments to the Convention and its annexes, and promotes the harmonization of appropriate
policies, strategies and measures for minimizing harm to human health and the environment by hazardous wastes
and other wastes. It also adopts the programme of work and budget of the Convention for each biennium.

The Conference of the Parties to the Basel Convention has established the following subsidiary bodies:

Open-ended Working Group; and

Committee for Administering the Mechanism for Promoting Implementation and Compliance.

Ordinary meetings of the Conferences of the Parties are usually held every other year and are governed by the rules
of procedure and financial rules. Additionally, the Secretariat has developed two guidelines for rules of conduct at
the meetings.

The Open-ended Working Group (OEWG), one of the subsidiary bodies of the Basel Convention, was given the
following mandate by decision VI/36 (Institutional arrangements), adopted by the sixth meeting of the Conference
of the Parties (COP) to the Basel Convention:

To assist the Conference of the Parties in developing and keeping under continuous review the implementation of
the Convention’s work plan, specific operational policies and decisions taken by the Conference of the Parties for
the implementation of the Convention, as specified in article 15;
To consider and advise the Conference of the Parties on issues relating to policy, technical, scientific, legal,
institutional, administration, finance, budgetary and other aspects of the implementation of the Convention within
the approved budget, including identification of the specific needs of different regions and subregions for training
and technology transfer and to consider ways and means of ensuring the establishment and functioning of the Basel
Convention Regional Centres for Training and Technology Transfer;

6
To prepare its work plan for consideration by the Conference of the Parties;
To report to the Conference of the Parties on the activities it has carried out between meetings of the
Conference of the Parties.

Implementation & Compliance Committee

The Committee administering the Mechanism for Promoting Implementation and Compliance with the Basel
Convention is a subsidiary body of the Conference of the Parties to the Basel Convention that was established in
2002 under Article 15, paragraph 5 € of the Convention.. Its objective is to assist Parties to comply with their
obligations under the Convention and to facilitate, promote, monitor and aim to secure the implementation of and
compliance with the obligations under the Convention.

The Committee has a double mandate:

Under its specific submission mandate, the Committee shall consider any submission made to it in accordance
with the terms of reference with a view to determining the facts and root causes of the matter of concern and, assist
in its resolution;
Under its general review mandate, the Committee shall, as directed by the Conference of the Parties, review
general issues of compliance and implementation under the Convention.

The Conference of the Parties, as the supreme body of the Convention, elects the fifteen members of the Committee
and adopts decisions of relevance to the Committee, for instance the work programme of the Committee. The
Committee, in turn, reports to the Conference of the Parties on the implementation of its work programme.

Definition of hazardous waste

Waste falls under the scope of the convention if it is within the category of wastes listed in Annex I of the
convention and it exhibits one of the hazardous characteristics contained in Annex III. In other words, it must both
be listed and possess a characteristic such as being explosive, flammable, toxic, or corrosive. The other way that a
waste may fall under the scope of the convention is if it is defined as or considered to be a hazardous waste under
the laws of either the exporting country, the importing country, or any of the countries of transit. Below is given the
categories of wastes to be controlled in annexure 1.

7
8
9
Public-Private Partnerships and Initiatives

In response to the growing problem of e-waste, the Basel Convention has launched several public-private
partnerships aimed at improving the management of electronic waste:

• Mobile Phone Partnership Initiative (MPPI): Initiated between 2003 and 2008, this program developed
guidelines for the environmentally sound management (ESM) of end-of-life mobile phones. The guidelines provide
detailed instructions for handling, recycling, and disposing of mobile phones to reduce environmental impacts.

• Partnership for Action on Computing Equipment (PACE): Following the success of MPPI, PACE was
launched at COP 9 in 2008. This initiative focuses on improving the ESM of end-of-life computing equipment,
such as computers and printers, ensuring that these devices are recycled or disposed of safely.

These partnerships have played a crucial role in developing best practices for e-waste management at both the
national and international levels.

The Bali Declaration (2008)

Adopted at COP 9, the Bali Declaration on Waste Management for Human Health and Livelihood emphasizes the
importance of managing waste in a manner that protects human health and supports sustainable development. The
declaration reaffirmed the need to prevent the illegal transboundary movement of hazardous wastes, including e-

10
waste, and minimize their generation. It also highlighted the need to promote environmentally sound waste
management within each country.

Synergies Process (2010)

The Synergies Process, launched in 2010, aimed to improve cooperation between the Basel Convention and two
other key environmental treaties: the Rotterdam Convention (focused on hazardous chemicals) and the Stockholm
Convention (on persistent organic pollutants). This process has enhanced the capacity of countries to manage
hazardous substances throughout their life cycle by fostering closer collaboration between these related
frameworks. It also encourages integrated approaches to the management of hazardous wastes and chemicals,
leading to more effective solutions to global waste management challenges.

Case Studies: E-Waste Management and the Basel Convention

Several high-profile cases have highlighted the critical role of the Basel Convention in addressing e-waste
challenges:

Case Study 1: E-waste Dumping in West Africa

One of the most infamous examples of e-waste dumping involves West Africa, particularly Ghana and Nigeria.
Huge quantities of discarded electronic devices from developed countries, including the United States and Europe,
have been sent to these regions under the guise of second-hand electronics for reuse. However, much of this
equipment is non-functional and ends up being illegally dumped or dismantled in informal recycling facilities.
Workers in these facilities often use hazardous methods, such as open burning, to extract valuable metals from the
e-waste, releasing toxic substances into the environment. The Basel Convention plays a vital role in regulating these
shipments, and through enforcement and partnerships, countries like Nigeria are improving their capacity to
manage e-waste more effectively.

Case Study 2: The Guiyu E-Waste Recycling Site in China

11
Guiyu, a town in China, was once considered the largest e-waste recycling site in the world. Informal recycling
operations in Guiyu dismantled e-waste in highly unsafe conditions, exposing workers and local residents to toxic
substances like lead, mercury, and cadmium. Despite international regulations, large quantities of e-waste continued
to flow into Guiyu, leading to severe environmental pollution. The Basel Convention has worked with China and
other countries to curb the illegal trade of e-waste, and in recent years, Guiyu’s informal operations have been
significantly curtailed, with new formal recycling facilities built to handle e-waste in a safer manner.

Future Challenges and Opportunities

While the Basel Convention has made significant strides in controlling hazardous waste, challenges remain. The
rapid growth of e-waste, driven by technological innovation, continues to outpace regulatory efforts in many
regions. Moreover, the illegal trade in e-waste persists, particularly in regions with weak enforcement mechanisms.

However, there are also opportunities for improvement. The Basel Convention has expanded its scope to
incorporate life-cycle approaches to waste management, encouraging circular economy models that focus on
reusing and recycling materials rather than disposing of them. Countries are increasingly adopting policies that
promote producer responsibility, requiring manufacturers to take back and recycle electronic products at the end of
their life cycle.

Conclusion

The Basel Convention continues to be a cornerstone in the global fight against hazardous waste, including e-waste.
By regulating the transboundary movement of these wastes, promoting environmentally sound management
practices, and encouraging international cooperation, the Convention protects both human health and the
environment. As the world faces increasing volumes of hazardous waste, particularly from electronic devices, the
Basel Convention will need to adapt and strengthen its implementation mechanisms. With effective partnerships
and greater global awareness, the Convention can play a pivotal role in addressing one of the most pressing
environmental issues of our time.

12
13