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Basel Convention Glossary

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Basel Convention terminology has specific legal and technical meanings that may differ from common usage. Understanding these definitions is essential for properly completing notifications, interpreting competent authority communications, and ensuring compliance with Basel requirements. This glossary provides authoritative definitions drawn from the Basel Convention text, technical guidelines, and Conference of Parties decisions.

Core Basel Terms

BASEL CONVENTION

  • Full name: "Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal"
  • International treaty adopted March 22, 1989
  • Entered into force May 5, 1992
  • Currently 191 Parties (countries that have ratified)
  • Administered by Basel Secretariat in Geneva, Switzerland
  • Primary objective: Protect human health and environment from adverse effects of hazardous waste

PARTY

  • A country that has ratified or acceded to the Basel Convention
  • Bound by Convention obligations
  • Entitled to Convention rights and procedures
  • Notable non-Party: United States (signed but never ratified)
  • Non-Parties cannot trade hazardous waste with Parties except under Article 11 agreements

SECRETARIAT

  • United Nations Environment Programme (UNEP) serves as Secretariat
  • Located in Geneva, Switzerland
  • Functions: Arrange Conference of Parties meetings, receive and distribute notifications and information, coordinate with competent authorities, provide technical assistance
  • Website: basel.int - authoritative source for Convention text, technical guidelines, Party status

CONFERENCE OF THE PARTIES (COP)

  • Supreme decision-making body of Basel Convention
  • All Parties represented
  • Meets biennially (every two years)
  • Functions: Review implementation, adopt amendments, provide guidance, establish subsidiary bodies
  • Decisions numbered sequentially (e.g., Decision VIII/3 on ESM)

COMPETENT AUTHORITY

  • Government authority designated by Party to receive Basel notifications
  • Responsible for implementing Basel procedures within jurisdiction
  • Reviews notifications, issues consent or objection
  • Each Party must designate at least one competent authority
  • Large countries may have multiple authorities (federal/regional structure)
  • Contact information maintained by Secretariat

SeeCompetent Authority Contact Directoryfor finding authorities.

FOCAL POINT

  • Entity designated to receive general communications under Convention
  • Often same agency as competent authority but not always
  • Handles policy coordination, international communications
  • Competent authority handles operational notifications
  • For notifications, contact competent authority not just focal point

Waste Definitions

WASTES (Article 2, Paragraph 1)

  • "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"
  • Broad definition intentionally encompassing many materials
  • Includes materials for disposal AND recovery
  • Distinction from "used products" or "commodities" critical
  • Functional used electronics generally NOT waste; broken/obsolete electronics generally ARE waste
  • Intent and destination matter in classification

HAZARDOUS WASTES (Article 1, Paragraph 1)

  • Wastes that belong to any category in Annex I (Y-codes)
  • UNLESS they do not possess any of the characteristics in Annex III (H-codes)
  • OR wastes defined or considered as hazardous under domestic legislation of export/import/transit country
  • Two-part test: (1) Is it in Annex I? (2) Does it have Annex III characteristics?
  • Subject to full Basel notification and PIC procedures

OTHER WASTES (Article 1, Paragraph 2)

  • Wastes collected from domestic sources (household waste)
  • Subject to Basel Convention controls even if not hazardous
  • Added by amendment to prevent loopholes
  • Includes household e-waste collected through municipal programs

ANNEX I WASTES (Y-CODES)

  • 45 categories of waste streams Basel Convention controls
  • Examples: Y31 (lead), Y49 (electronic waste), Y29 (mercury)
  • Presence in Annex I makes waste subject to Basel controls
  • But doesn't automatically make it "hazardous" (must also have H-codes)

ANNEX III CHARACTERISTICS (H-CODES)

  • 13 hazardous characteristics: H1-H13
  • Examples: H6.1 (poisonous-acute), H11 (toxic-delayed), H12 (ecotoxic)
  • If Annex I waste exhibits any Annex III characteristic → hazardous waste
  • If Annex I waste does NOT exhibit Annex III characteristics → non-hazardous but still controlled

ANNEX VIII WASTES (HAZARDOUS - "A" CODES)

  • List of wastes characterized as hazardous under Article 1(1)(a)
  • Presumption of hazardous classification
  • Example: A1180/A1181 (electronic waste assemblies)
  • Burden on generator to prove non-hazardous if claiming exception

ANNEX IX WASTES (NON-HAZARDOUS - "B" CODES)

  • Wastes NOT covered by Article 1(1)(a)
  • Presumption of non-hazardous classification
  • Still subject to Basel controls (not exempt)
  • Example: B1010 (metal wastes), B1115 (waste cables)
  • Note: B1110 (electronic assemblies) deleted in 2025, replaced by Y49

Operational Terms

TRANSBOUNDARY MOVEMENT (Article 2, Paragraph 3)

  • "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"
  • Includes movement TO another country
  • Includes movement THROUGH another country (transit)
  • Domestic movements (within one country) not subject to Basel
  • Triggers Basel notification requirements

DISPOSAL (Article 2, Paragraph 4)

  • "Any operation specified in Annex IV A (D-codes)"
  • Includes final disposal operations (landfill, incineration)
  • Also includes preliminary operations leading to disposal
  • Distinguished from "recovery" operations
  • Generally subject to stricter controls and less likely to be approved

RECOVERY (Annex IV B)

  • Operations specified in Annex IV B (R-codes)
  • Material recovery, recycling, reclamation, reuse
  • Examples: R4 (metal recycling), R1 (energy recovery)
  • Preferred over disposal under Basel philosophy
  • Most e-waste exports are for recovery not disposal

ENVIRONMENTALLY SOUND MANAGEMENT (ESM)

  • Defined in Article 2(8) and elaborated in technical guidelines
  • "Taking all practicable steps to ensure 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"
  • Fundamental principle of Basel Convention
  • Applies throughout waste lifecycle: generation, transport, storage, treatment, disposal
  • Competent authorities assess ESM as part of notification review
  • Facilities must demonstrate ESM capabilities

SeeEnvironmentally Sound Management (ESM) Criteriafor detailed standards.

PRIOR INFORMED CONSENT (PIC)

  • Core Basel procedure established in Article 6
  • Exporter must notify competent authorities of export, import, and transit countries
  • Import country must provide written consent before movement occurs
  • Transit countries must consent or acknowledge
  • Export country must also consent
  • Movement cannot proceed until ALL consents received

SeePIC Procedure Workflowsfor complete procedures.

Parties and Roles

STATE OF EXPORT (Article 2, Paragraph 10)

  • Party from which transboundary movement is planned or initiated
  • Responsible for ensuring notification submitted
  • Must consent to export before movement
  • Retains certain obligations if movement cannot be completed

STATE OF IMPORT (Article 2, Paragraph 11)

  • Party to which transboundary movement is planned
  • Final destination country
  • Must provide written consent before movement
  • Right to refuse import for any reason
  • Responsible for ensuring ESM at receiving facility

STATE OF TRANSIT (Article 2, Paragraph 12)

  • Any State, other than export or import State, through which movement is planned or takes place
  • Includes land transit (truck/rail through country)
  • Includes maritime transit (ship enters territorial waters or ports)
  • Must be notified and provide consent or acknowledgment
  • Often overlooked—major cause of shipment detentions

SeeTransit Countries: Common Routesfor transit procedures.

GENERATOR (Article 2, Paragraph 13)

  • "Any person whose activity produces wastes or, if that person is not known, the person who is in possession and/or control of those wastes"
  • Entity that created the waste
  • May be different from exporter
  • Responsibilities: Proper characterization, packaging, labeling
  • Often signs contract with disposer/recoverer

EXPORTER (Article 2, Paragraph 14)

  • "Any person under the jurisdiction of the State of export who arranges for hazardous wastes or other wastes to be exported"
  • Entity responsible for export transaction
  • May be generator, broker, or trader
  • Submits notification to competent authorities
  • Primary responsible party under Basel

IMPORTER (Article 2, Paragraph 15)

  • "Any person under the jurisdiction of the State of import who arranges for hazardous wastes or other wastes to be imported"
  • Entity receiving waste in import country
  • Often the facility or broker
  • Coordinates with import competent authority

DISPOSER (Article 2, Paragraph 16)

  • "Any person to whom hazardous wastes or other wastes are shipped for disposal, recovery, or recycling"
  • Facility performing operations on waste
  • Must have appropriate permits and ESM capabilities
  • Signs contract with exporter (required by Article 6)
  • Certifies completion on movement document

Notification and Documentation Terms

NOTIFICATION (Article 6, Paragraph 1)

  • Formal written notice to competent authorities of proposed transboundary movement
  • Must be provided by exporter to authorities of export, import, and transit States
  • Contains information specified in Annex V A
  • Triggers PIC procedure
  • Required for each shipment or under general notification for multiple shipments

SeeSection A: Basel Form Guidefor notification form completion.

CONSENT (Article 6, Paragraph 3)

  • Written permission from import State allowing transboundary movement
  • May be with or without conditions
  • May be for single shipment or multiple shipments (general notification)
  • Must be obtained before movement commences
  • Can be withdrawn even after granted if circumstances change

ACKNOWLEDGMENT

  • Written confirmation from transit State that notification received
  • Alternative to explicit consent in some cases
  • Indicates no objection to transit
  • Some countries allow tacit consent (if no response within timeframe)

MOVEMENT DOCUMENT (Annex V B)

  • Document accompanying each shipment from point of origin to disposal
  • Certifications signed by exporter, carrier, importer, and disposer
  • Creates chain of custody
  • Must be retained and submitted to competent authorities
  • Proves notification completed as planned

SeeMovement Document (Annex V B)for details.

GENERAL NOTIFICATION

  • Single notification covering multiple shipments
  • Requires same generator, disposer, waste type, route
  • Specifies total quantity and estimated frequency
  • Validity period specified (typically 1 year)
  • Separate movement document for each shipment
  • Advance shipment notification often required before each shipment

INDIVIDUAL NOTIFICATION

  • Notification for single shipment only
  • Required if general notification conditions not met
  • More common for first-time exporters or unusual waste streams

Legal and Enforcement Terms

ILLEGAL TRAFFIC (Article 9)

  • Transboundary movement of hazardous waste conducted without notification/consent
  • Movement with false documentation or materially false information
  • Movement resulting in disposal not in accordance with consent
  • Movement to or from non-Party without Article 11 agreement
  • Consequences: Waste must be taken back, disposal costs borne by responsible party, criminal prosecution possible

SeeIllegal Traffic and Enforcementfor detailed coverage.

ARTICLE 11 AGREEMENT

  • Bilateral, multilateral, or regional agreement between Party and non-Party
  • Allows trade that would otherwise be prohibited under Article 4(5)
  • Must provide protections no less stringent than Basel Convention
  • Examples: US-Canada, US-Mexico, US-Costa Rica agreements
  • Without Article 11 agreement, non-Party cannot trade with Parties

SeeUS Export Requirements (Non-Party Status)for Article 11 details.

RE-IMPORT (Article 8)

  • Return of waste to State of export if transboundary movement cannot be completed as intended
  • Export State has duty to re-import if movement cannot proceed
  • Triggered by: Import refusal, facility unable to accept, contract breach, illegal traffic
  • Export State bears costs of re-import and proper disposal
  • Re-import guarantee may be required to ensure financial capacity

SeeRe-Import Guarantee Documentation.

BAN AMENDMENT

  • Amendment prohibiting OECD countries from exporting hazardous waste to non-OECD countries
  • Adopted 1995, entered into force December 5, 2019
  • Applies to wastes destined for final disposal and recovery
  • Effectively ends North-South hazardous waste trade
  • Not all Parties have ratified—check specific country status

Geographic and Jurisdictional Terms

AREA UNDER NATIONAL JURISDICTION

  • Territory of a State
  • Includes territorial waters (12 nautical miles from coast)
  • Includes airspace above territory
  • Does NOT include international waters (high seas)
  • Relevant for determining when transit occurs

TERRITORIAL WATERS

  • Maritime zone extending 12 nautical miles from coastline
  • State has full sovereignty
  • Ships passing through require transit notification
  • Distinguish from international waters (no Basel notification needed)

INTERNATIONAL WATERS (HIGH SEAS)

  • Ocean areas beyond 12 nautical miles from any coast
  • Not under national jurisdiction
  • Ships in international waters NOT subject to Basel transit requirements
  • Route planning can avoid transit notifications by staying in international waters

Technical and Classification Terms

BEST AVAILABLE TECHNIQUES (BAT)

  • Most effective and advanced methods for achieving ESM
  • Economically and technically viable
  • Balances environmental protection with practical feasibility
  • Used in EU regulations and increasingly referenced in Basel context
  • Facilities should demonstrate BAT implementation

BEST ENVIRONMENTAL PRACTICES (BEP)

  • Application of most appropriate combination of environmental control measures
  • Broader than BAT, includes management practices and procedures
  • Worker training, emergency response, monitoring programs
  • Part of ESM assessment

LIFE-CYCLE APPROACH

  • Considering waste from generation through final disposal
  • Includes: Generation minimization, collection, transport, storage, treatment, disposal
  • ESM applies at all stages
  • Responsibility doesn't end at export

Common Misunderstood Terms

"RECYCLING" VS. "WASTE"

  • Common misconception: If material recycled, it's not waste
  • Reality: Recyclable materials ARE waste under Basel if disposed of or intended to be disposed of
  • Recycling is a form of disposal/recovery under Basel
  • Basel controls apply to materials for recycling

"USED ELECTRONICS" VS. "E-WASTE"

  • Functional used electronics intended for direct reuse: Generally NOT waste
  • Broken, obsolete, or end-of-life electronics: ARE waste
  • Gray area: Equipment claimed as "used" but actually non-functional waste
  • Basel technical guidelines provide tests for distinguishing
  • Burden of proof on exporter to demonstrate functionality

"DONATION" DOES NOT EXEMPT FROM BASEL

  • Common misconception: Donated items not subject to Basel
  • Reality: Donation status irrelevant—waste classification depends on condition and intent
  • Non-functional "donated" electronics are waste and require Basel notification
  • "Charity" shipments of e-waste not exempt

References

Section: Additional Ref · Type: reference