- 1. What is the Basel Convention?
- 2. What are the Basel plastic scrap and waste amendments?
- 3. What types of plastic scrap and waste are controlled under the Basel Convention?
- 4. What types of plastic scrap are not controlled under the Basel Convention?
- 5. Can the United States trade in plastic scrap with Basel Party countries?
- 6. What are the requirements for U.S. exports and imports of Basel-controlled non-hazardous plastic scrap and waste?
- 7. What are the requirements for exports and imports of non-hazardous plastic scrap and waste between the United States and Canada?
- 8. What are the requirements for exports and imports of non-hazardous plastic scrap and waste between the United States and Mexico?
- 9. What requirements apply, if any, to U.S. exports and imports of plastic scrap and waste not controlled under the Basel Convention (Basel listing B3011)?
- 10. What are the requirements for U.S. exports and imports of hazardous plastic scrap and waste?
- 11. What are the requirements for U.S. exports of plastic scrap and waste controlled by the importing country, but not by the United States?
- 12. What are the requirements for U.S. imports of plastic scrap and waste controlled by the exporting country, but not by the United States?
- 13. What steps are involved in completing transboundary shipments of Basel-controlled waste under the Basel Convention?
- 14. Are the terms used in the Basel plastic scrap and waste amendments defined under the Basel Convention?
- 15. When do the new Basel Convention requirements for plastic scrap and waste take effect?
Overview of the Basel Convention plastic scrap and waste amendments
The Basel Convention plastic scrap and waste amendments dramatically change the way international shipments of plastic recyclables are controlled under the Convention. The new Basel provisions move most plastic scrap from one category – reserved for material that could generally be traded freely – to two new categories subject to Basel Convention requirements and one new category that are not subject to Basel Convention requirements. The first new category covers shipments of most non-hazardous plastic scrap and waste – this includes shipments that are contaminated (e.g., with food residue and/or other non-hazardous waste that could impede recycling), mixed with other scrap or waste, and shipments of most mixed plastic scrap. The second new category covers plastic waste classified as hazardous waste under the Basel Convention. Basel Party countries exporting plastic scrap and waste covered by either of these two new categories (Read Frequent Question #3) must obtain the importing country's agreement in writing to accept such exports before allowing the shipments to depart the country, a procedure known as prior notice and consent. Additional Basel controls also apply (Read Frequent Question #13). Exports of plastic scrap that meet a very narrow and strict set of criteria are not subject to Basel Convention controls; this third category of material is not subject to prior notice and consent and generally includes plastic scrap that is pre-sorted, clean, uncontaminated, and destined for recycling in an environmentally sound manner (Read Frequent Question #4).
How the new Basel plastic scrap and waste amendments will impact U.S. exports and imports
While the United States is not a Party to the Basel Convention, 187 countries and the European Commission are Party. The new Basel provisions will have significant impacts on exports and imports of U.S. plastic recyclables because many U.S. trading partners will implement the Basel plastic scrap and waste amendments. Because of a longstanding provision under the Basel Convention that prohibits trade between countries that have ratified the Convention (i.e., Parties) and non-Party countries, Basel Parties are not able to trade Basel-controlled plastic scrap and waste with the United States absent a separate bilateral or multilateral agreement that meets certain Basel Convention criteria. While the United States has one such agreement that addresses trade in non-hazardous plastic scrap with member countries of the Organization for Economic Cooperation and Development (OECD), much uncertainty remains about what requirements OECD countries will impose on such trade. In some cases, OECD countries may not allow trade in non-hazardous plastic scrap with the United States under the terms of the existing OECD agreement.
What requirements apply to U.S. exports and imports of plastic scrap and waste
In the United States, U.S. exports and imports of non-hazardous waste, including non-hazardous plastic scrap and waste, are not subject to export and import requirements under the U.S. Resource Conservation and Recovery Act (RCRA), the U.S. waste management law, and its implementing regulations. However, U.S. exports and imports of non-hazardous plastic scrap and waste are subject to applicable laws and regulations in the country or countries that control the waste, as well as any applicable international agreement, such as the Basel Convention. As described above, many countries will apply Basel Convention requirements to transboundary movements of this material.
While most plastic scrap and waste is not considered hazardous waste under RCRA, U.S. shipments of waste regulated as hazardous waste (including hazardous plastic waste) under RCRA are subject to RCRA hazardous waste export and import requirements, applicable foreign laws and regulations, as well as any applicable international agreement, such as the Basel Convention. EPA prepared the set of answers to frequently asked questions below to help facilitate compliance with the new international requirements for transboundary movements of plastic scrap and waste.
Frequent Questions
- What is the Basel Convention?
The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal is a multilateral agreement governing exports and imports of primarily hazardous waste for recovery and disposal. Read more information about the Basel Convention. - What are the Basel plastic scrap and waste amendments? Basel plastic scrap and waste amendments were adopted by Parties to the Basel Convention in 2019 to control exports and imports of most plastic scrap and waste. As a result of these changes, transboundary movements of most plastic scrap and waste to countries party to the Convention are allowed only with the prior written consent of the importing country and any transit countries, a process known as prior notice and consent. The amendments take effect on January 1, 2021. Under these new Basel amendments, plastic scrap and waste are covered by one of three categories in the Basel Convention, corresponding to the following Basel scrap/waste listings:
♦ Basel listing B3011 was added to Annex IX of the Convention and generally covers plastic scrap that is pre-sorted, clean, uncontaminated, and destined for environmentally sound recycling (Read Frequent Question #4) Prior notice and consent is not required for B3011 plastic scrap. Basel listing B3011 replaces the existing Basel B3010 listing for non-hazardous plastic scrap in Annex IX of the Convention.
♦ Basel listing Y48 was added to Annex II of the Convention and covers the non-hazardous plastic scrap or waste not covered by Basel listing B3011 (Read Frequent Question #3). Prior notice and consent is required for Basel Y48 non-hazardous plastic scrap and waste.
♦ Basel listing A3210 was added to Annex VIII of the Convention and covers plastic scrap and waste that contains a hazardous constituent (listed in Basel Annex I) to the extent that it exhibits a hazardous characteristic (listed in Basel Annex III). Prior notice and consent is required for Basel A3210 hazardous plastic scrap and waste.
The new Basel-controlled non-hazardous plastic scrap and waste listing described under Basel listing Y48 in Annex II of the Convention covers the non-hazardous plastic scrap or waste not covered by Basel listing B3011 (Read Frequent Question #4). In general, this includes the following types of shipments:
♦ plastic scrap and waste that is contaminated (e.g., with food residue and/or other non-hazardous waste)
♦ plastic scrap and waste mixed with other types of scrap and waste
♦ plastic scrap and waste containing halogenated polymers (e.g., PVC)
♦ mixed plastic scrap and waste, with the exception of shipments consisting of polyethylene (PE), polypropylene (PP), and polyethylene terephthalate (PET) that meet the criteria described in Basel listing B3011
Parties to the Basel Convention may have different interpretations of the types of plastic scrap and waste that is covered by Basel listing Y48.
Hazardous plastic waste is also controlled under the Convention and is defined as plastic waste, including mixtures of such waste, containing or contaminated with Basel Annex I constituents, to an extent that it exhibits a Basel Annex III characteristic. These wastes are described under Basel listing A3210, listed in Annex VIII of the Convention.
Hazardous plastic waste is also controlled under the Organization for Economic Cooperation and Development Council Decision on Transboundary Movements of Waste destined for Recovery Operations [OECD-LEGAL-0266], and is defined under OECD listing AC300 as plastic waste, including mixtures of such waste, containing or contaminated with Appendix 1 constituents, to an extent that it exhibits an Appendix 2 characteristic.
These criteria are provided in the Basel listing B3011 in Annex IX of the Convention, however, many of the terms used in the Basel listing such as “almost exclusively”, “recycling in an environmentally sound manner,” and “separate recycling” are not defined (Read Frequent Question #14).
Trade in Basel-controlled non-hazardous plastic scrap, Basel listing Y48, between the United States and Canada can continue under the terms of Read
Dirección General de Gestión Integral de Materiales y Actividades Riesgosas (DGGIMAR)
Secretaría de Medio Ambiente y Recursos Naturales (SEMARNAT)
National Army No. 223, 15th Floor Ala A
Col. Anáhuac, Miguel Hidalgo Mayor's Office
Postal Code 11320,
Mexico City, Mexico
Mexico requires that export notifications be original documents and include the signature of the exporter or the exporter's legal representative. Responses from Mexico will be issued by official letter. EPA suggests that U.S. exporters work with Mexican importers to comply with Mexican requirements.
| Requirement | Summary |
|---|---|
| Export notice (or import notice in some cases) | Exporter notifies Competent Authority of the exporting country of the intent to export. In cases where only the importing country controls the waste as hazardous, the importer submits an import notice to the Competent Authority of the importing country. An export cannot proceed unless the Competent Authority of the importing country provides written consent to the notice. View the standard Basel export notice form. |
| International movement document | An international manifest accompanies the waste from origin to foreign recycling facility. Includes information about the shipment, recycling facility, and transporters. View the standard Basel movement document form. |
| Contract | Exporter and foreign recycling facility establish a contract specifying responsibilities for environmentally sound management. |
| Confirmation of receipt | Foreign recycling facility must confirm receipt of each shipment to both the exporter and the Competent Authority of the exporting country using the international movement document. The confirmation of receipt is required for each shipment. The international movement document serves as the basis of the confirmation of receipt. |
| Confirmation of recovery | Foreign recycling facility must confirm the completion of the recycling operation and inform both the exporter and the Competent Authority. The confirmation of recovery is required for each shipment. The international movement document serves as the basis of the confirmation of recovery. |
| Financial guarantee | Transboundary shipments must be covered by a financial guarantee (e.g., insurance policy, bank letters, bonds) intended to provide funds for alternative management in cases where shipment and recovery cannot be completed as originally intended. |
| Packing, labeling and transportation | Shipments must be packaged, labelled, and transported in conformity with generally accepted and recognized international rules and standards. |
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