New International Requirements for the Export and Import of Plastic Recyclables and Waste

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In May 2019, 187 countries decided to significantly restrict international trade in plastic scrap (recyclables) and waste to help address the improper disposal of plastic waste and reduce its leakage into the environment. As a result of these changes, transboundary shipments of most plastic scrap and waste are controlled, or regulated, for the first time under a treaty called the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal, effective January 1, 2021. Moving forward, international shipments of most plastic scrap and waste are allowed only with the prior written consent of the importing country and any transit countries.

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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

  1. 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.
     
  2. 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.

    For more details on the Basel listing changes, read Frequent Questions #3 and #4. You can also read the Basel plastic scrap and waste amendments.

  3. What types of plastic scrap and waste are controlled under the Basel Convention?
    As of January 1, 2021, the Basel Convention controls international shipments of most plastic scrap and waste destined for recycling or disposal. In other words, transboundary movements of most plastic scrap and waste are subject to Basel Convention prior notice and consent requirements. This includes hazardous and most non-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 new requirements adopted under the Basel Convention plastic waste amendments take effect on January 1, 2021. You can read more information about the amendments at the Basel Convention website.
  4. What types of plastic scrap are not controlled under the Basel Convention?
    Plastic scrap must meet a very narrow and strict set of criteria for transboundary movements of this material to not be subject to Basel Convention prior notice and consent requirements.
     

    In general, plastic scrap must be pre-sorted, clean, destined for “recycling in an environmentally sound manner” and be classified in one of the following groups: 

    ♦  Plastic scrap “almost exclusively” consisting of one non-halogenated polymer (e.g., PE, PP, PET, PS, ABS).
    ♦  Plastic scrap “almost exclusively” consisting of one cured resin or condensation product (e.g., epoxy resins)
    ♦  Plastic scrap “almost exclusively” consisting of one of a limited number of fluorinated polymers (e.g., polyvinyl fluoride)
    ♦  Mixed plastic scrap consisting of PE, PP, and PET, provided it is destined for “separate recycling” of each material

    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).

    These new requirements adopted under the Basel Convention plastic waste amendments take effect on January 1, 2021. You can read more information about the amendments at the Basel Convention website.
  5. Can the United States trade in plastic scrap with Basel Party countries?

    The Basel Convention contains a provision prohibiting Parties from trading in Basel-controlled wastes (e.g., plastic scrap and waste covered by Basel listings Y48 and A3210) with non-Parties, like the United States, in the absence of a pre-determined agreement between countries that meets certain Basel criteria. The United States has bilateral and multilateral agreements with a few countries, including Member countries of the Organization for Economic Cooperation and Development (OECD) under the OECD Council Decision on Transboundary Movements of Waste destined for Recovery Operations [OECD-LEGAL-0266]. However, the requirements OECD countries apply to transboundary movements of non-hazardous plastic scrap and waste vary, and some countries may not allow trade in Basel-controlled non-hazardous plastic scrap, Basel listing Y48, (Read Frequent Question #3) with the United States. Specific information about the requirements OECD countries are applying to trade in non-hazardous plastic scrap is available on the OECD website.

    Trade in Basel-controlled non-hazardous plastic scrap, Basel listing Y48, between the United States and Canada can continue under the terms of a U.S.-Canada bilateral arrangement established in late 2020 (Read Frequent Question #7).

    The United States has separate bilateral agreements with Canada, Mexico, Costa Rica, Malaysia and the Philippines which cover transboundary shipments of hazardous waste under specific terms.  For example, under the bilateral agreements with Costa Rica, Malaysia and the Philippines, the United States may receive hazardous waste for recycling or disposal from Costa Rica, Malaysia, and the Philippines, but may not export hazardous waste to these countries.

  6. What are the requirements for U.S. exports and imports of Basel-controlled non-hazardous plastic scrap and waste?

    The vast majority of plastic scrap and waste is not regulated under the U.S. Resource Conservation and Recovery Act (RCRA), and therefore, is not subject to RCRA export and import requirements. (For information about the RCRA requirements for exports and imports of hazardous plastic waste, refer to Frequent Question #8.)

    Nonetheless, U.S. exports and imports of 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. Because of a 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 allowed to trade in Basel-controlled plastic scrap and waste (read Frequent Question #3) with the United States (a non-Party), in the absence of a separate agreement between countries that meets certain Basel criteria. The United States has separate agreements with several countries, including Member countries of the Organization for Economic Cooperation and Development (OECD) under the OECD Council Decision on Transboundary Movements of Waste destined for Recovery Operations [OECD-LEGAL-0266]. However, the requirements OECD countries apply to transboundary shipments of non-hazardous plastic scrap and waste vary, and some countries may not allow trade in Basel-controlled non-hazardous plastic scrap, Basel listing Y48, (Read Frequent Question #3) with the United States. It is EPA’s understanding that most OECD countries are requiring prior notice and consent for trade in Basel-controlled non-hazardous plastic scrap and waste. Specific information about the requirements OECD countries are applying to trade in non-hazardous plastic scrap is available on the OECD website.

    Under a U.S.-Canada bilateral arrangement established in 2020, transboundary movements of the non-hazardous plastic scrap and waste covered by Basel listing Y48 are not subject to prior notice and consent requirements when subject to transboundary movement between the two countries and destined for environmentally sound management in either country (Read Frequent Question #7).

    Additional information about the import and export requirements of specific countries, please refer to the tool available on the website for the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal. U.S. exporters and importers can also contact the ‘Competent Authority’ of the country or countries involved in the transboundary shipment and work with the foreign importer or exporter to determine what requirements may apply.  Each country has designated a ‘Competent Authority’ who serves as the primary point-of-contact on waste export and import matters. Contact information for competent authorities is available on the Basel Convention website. 

  7. What are the requirements for exports and imports of non-hazardous plastic scrap and waste between the United States and Canada?
    Under the terms of a U.S.-Canada bilateral arrangement established in October 2020 for the transboundary movement of non-hazardous scrap and waste, the non-hazardous plastic scrap and waste covered by the new Basel listing Y48 (Read Frequent Question #3) are not subject to prior notice and consent requirements when the material is destined for environmentally sound management in either country. The arrangement does not apply if transboundary movements of non-hazardous plastic scrap and waste (including Basel listing Y48) between the United States and Canada involve shipment to a third country.
  8. What are the requirements for exports and imports of non-hazardous plastic scrap and waste between the United States and Mexico?
    As of January 1, 2021, Mexico is applying prior notice and consent requirements for U.S. exports of non-hazardous plastic scrap and waste. Therefore, exports to Mexico are not allowed unless consent is received from Mexico’s Secretaría de Medio Ambiente y Recursos Naturales (SEMARNAT), the Mexican environmental agency. U.S. exporters should send export notifications for non-hazardous plastic scrap and waste (Basel code Y48) directly to SEMARNAT using the OECD/Basel notification form at the address below.

    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.

    Mexico is applying prior notice and consent requirements to Mexican exports of non-hazardous plastic scrap and waste to the U.S. (i.e., U.S. imports). SEMARNAT will send export notifications to EPA and EPA will issue a “neither consent nor object”, which is equivalent to a consent. EPA will issue a “neither consent nor object” to the notice because U.S. imports of non-hazardous scrap and waste are not regulated under RCRA. Once SEMARNAT receives EPA’s “neither consent nor object,” SEMARNAT will communicate EPA’s decision to the Mexican exporter. SEMARNAT has informed EPA that they will not require export notices for subsequent requests involving the same Mexican exporter, same U.S. receiving facility, and same type of plastic scrap or waste. New export notices will be required if any of these elements’ changes. EPA suggests that U.S. importers work with Mexican exporters to comply with Mexico’s requirements.
  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)?
    Transboundary shipments of the non-hazardous plastic scrap and waste covered by the new Basel listing B3011 are not controlled under the Basel Convention (Read Frequent Question #4). Therefore, the United States does not anticipate that Basel Party countries will impose Basel Convention requirements on U.S. exports and imports of this material, including the Basel provision prohibiting trade in Basel-controlled waste between Parties and non-Parties. However, implementation of the new Basel plastic scrap and waste amendments may vary between Basel Parties. For information about the import and export requirements of specific countries, please refer to the tool available on the website for the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal. Information about the requirements applied by OECD countries is available on the OECD website. 
  10. What are the requirements for U.S. exports and imports of hazardous plastic scrap and waste?
    Transboundary shipments of hazardous waste, including hazardous plastic waste, are subject to export and import  requirements under regulations implementing the U.S. Resource Conservation and Recovery Act (RCRA). The vast majority of plastic scrap and waste is not regulated as hazardous waste in the United States. It is the responsibility of the U.S. waste generator to determine if a waste intended for export is regulated as hazardous waste under RCRA. For imports, the U.S. importer must comply with RCRA generator requirements as the U.S. generator because arranging for the import causes the waste to become subject to RCRA for the first time. U.S. importers must be based in the United States. Brokers, transporters or receiving facilities can be U.S. importers.
     

    U.S. exports of plastic scrap and waste are also subject to applicable laws and regulations in the importing country and any transit countries. Because of a 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 in Basel-controlled plastic scrap and waste (Read Frequent Question #3) with the United States (a non-Party), in the absence of a separate agreement between countries. The United States has separate agreements covering transboundary shipments of hazardous waste with several countries, including Member countries of the Organization of Economic Cooperation and Development (OECD) under the OECD Council Decision on Transboundary Movements of Waste destined for Recovery Operations [OECD-LEGAL-0266]. Also read Frequent Question #5.

  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?
    U.S. exports of plastic scrap and waste that are not regulated as hazardous waste in the United States, but are controlled as hazardous waste (i.e. OECD listing: AC300 or Basel listing: A3210) by the importing country are subject to the Amber or hazardous control procedures in the country or countries that control the waste as hazardous. This is consistent with the mutatis mutandis procedures in Section II(B)(4)(d) of the OECD Council Decision on Transboundary Movements of Waste destined for Recovery Operations [OECD-LEGAL-0266], and is referenced in the regulations implementing the U.S. Resource Conservation and Recovery Act at 40 CFR 262.82(a)(2)(ii). In other words, the foreign importer is expected to submit an import notification to the foreign competent authority who is typically based in the country’s environmental agency.
     

    U.S. exports of non-hazardous plastic scrap and waste that are controlled by the importing country (Basel listing Y48) are subject to the Basel Convention provision prohibiting trade between countries that have ratified the Convention (i.e., Parties) and non-Party countries, unless a separate agreement is in place between countries.  The United States has separate agreements with several countries, including Member countries of the Organization for Economic Cooperation and Development (OECD) under the OECD Council Decision on Transboundary Movements of Waste destined for Recovery Operations [OECD-LEGAL-0266]. However, uncertainty remains about whether OECD countries will allow trade in Basel-controlled non-hazardous plastic scrap with the United States and, if allowed, what requirements those countries will impose on such trade.

    U.S. exports of non-hazardous plastic scrap and waste are not regulated under the Resource Conservation and Recovery Act (RCRA). U.S. exporters must work directly with the OECD country of import and/or foreign importer to determine where an export notice should be directly sent to for review. U.S. EPA cannot receive or forward such non-hazardous plastic scrap and waste export notices to the proposed OECD importing and/or transit country. Contact information for competent authorities is available on the Basel Convention website.

  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?
    For U.S. imports of plastic scrap and waste that are not regulated as hazardous in the United States but are controlled as hazardous in the country of export, U.S. EPA expects to receive a notice from the foreign competent authority of the exporting country.  The shipments will likely have to comply with contract requirements under the country of export's regulations, but will not be subject to RCRA hazardous waste import requirements if not regulated as hazardous waste in the United States. For import of scrap and waste not regulated as hazardous waste under RCRA, EPA will issue a “neither consent nor object” to the notice, which is equivalent to a consent.
     
  13. What steps are involved in completing transboundary shipments of Basel-controlled waste for recycling under the Basel Convention?
    The following table summarizes the key steps involved in completing a transboundary shipment of waste for recycling controlled under the Basel Convention, including Basel-controlled plastic scrap and waste (Read Frequent Question #3). Individual countries may have requirements that vary from those described below. You can read more information about the amendments at the Basel website.
     
    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.

    Read more about the Basel Convention and how it impacts U.S. exporters and imports of hazardous waste.

  14. Are the terms used in the Basel plastic scrap and waste amendments defined under the Basel Convention?
    The Basel plastic scrap and waste amendments include a number of terms, such as “almost exclusively”, “almost free from contamination and other waste”, “recycling in an environmentally sound manner”, and “separate recycling” that are not defined under the Basel Convention. It is EPA’s understanding that Basel Parties intend to undertake work to determine how to clarify these terms.
     
  15. When do the new Basel Convention requirements for plastic scrap and waste take effect?
    The new Basel Convention requirements for transboundary shipments of plastic scrap and waste take effect on January 1, 2021.

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Last updated on August 26, 2024