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LESSON 7 | How can we combat the illegal traffic of

plastic waste?

This lesson describes the key elements for an efficient and effective control regime to prevent and
combat illegal traffic, including inter-agency collaboration for enforcement of the Basel Convention. It
explores what is considered to be illegal traffic and how to deal with it, including take-back procedures.
It also explains the consequences of confirmed cases of illegal traffic.

LEARNING OBJECTIVES

Upon completion of this lesson, you will be able to:

1. describe what constitutes illegal
traffic of wastes under the Basel
Convention;
2. discuss the procedures, tools and
methods for the take-back of waste
as a result of illegal traffic; and
Questions are posed throughout the text for you
to check own understanding. The questions are
in various formats, from open (reflection points)
to multiple choice, true/false, ranking, and/or
matching. The answers can be consulted at the
end of the journal.

3. describe how inter-agency can be

set up

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WHAT IS illegal traffic?

The Basel Convention not only specifies the
conditions and procedures for transboundary
movements of hazardous wastes to take place.
It also defines what amounts to “illegal traffic” as
well as the consequences of illegal traffic. Under
the Convention, Parties must consider that illegal
traffic is criminal and must take appropriate
measures to prevent and punish such conduct.
According to Article 9.1 of the Basel Convention,
illegal traffic occurs when a transboundary
movement of hazardous or other wastes
takes place:
▪ without notification to all States
concerned;
▪ without the consent of all States
concerned;
▪ with consent obtained through
falsification, misrepresentation or fraud;
▪ when there is a material discrepancy
between documents and wastes;
▪ when the movement results in deliberate
disposal of the wastes in contravention of
the Convention, for example by dumping.

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The following activities reflect some of the ways ▪ Transporting wastes to a facility not
in which illegal traffic, as defined by the Basel designated in the contract between the
Convention, may manifest itself: exporter and the importer which lacks the
technical capacity to deal with the wastes
▪ Omitting information from, or making a
in an environmentally sound manner.
false statement in, a movement document.
▪ Disposing of wastes in such a way
▪ Transporting wastes without a
that causes an imminent danger to
movement document.
public health.
▪ Adding or replacing wastes in a shipment
▪ Exporting wastes without having obtained
when changing carrier in a way that its
the written consent of the importing State.
nature no longer matches the information
described in the movement document.

ⓘ It should be noted that most cases of illegal traffic take place without any PIC procedure or
consent at all. In these cases, hazardous or other wastes under the Basel Convention are shipped
disguised as non-hazardous waste or second-hand goods.

The illegal traffic in waste is mainly driven by:

SOCIO-ECONOMIC FACTORS: the need for activities, find ways to avoid the law and
raw materials and second-hand goods, the high continue to adopt illegal procedures for waste
costs of sound management of plastic wastes management.
in developed countries, the opportunities for
WEAK ENFORCEMENT: due to the complexity
illegal actors to operate in a market with high
of detection and investigation/prosecution, low
financial benefit.
ratio of sentences and low ratio of already light
POLITICAL AND ENVIRONMENTAL FACTORS: fines related to illegal waste activities.
improved regulation and enforcement might
encourage criminals to adapt their illegal

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In establishing the constituent elements in the
case of “illegal traffic”, investigations should
answer questions such as:
▪ Is the substance in question a good
or a waste?
▪ How should the waste be classified? Is
the waste a hazardous or other waste
according to the BaselConvention or is it
defined as such in the State concerned?
▪ Are the countries concerned Parties to the
Basel Convention?
▪ Have they made a decision to prohibit or
restrict the import / export of hazardous
or other wastes?
▪ Did a transboundary movement occur?
▪ Is the waste destined for final disposal or
a recovery operation?
▪ Which legal regime applies to the waste
transport?
▪ Did any of the elements (a)–(e) given
in paragraph 1 of Article 9 to the Basel
Convention take place?
▪ Do the wastes in question fall within
the scope of the Basel Convention? In
some cases, it’s necessary to distinguish
between “equipment / products”
and “wastes”
▪ Once a movement is deemed illegal, who
is responsible for the illegal act?
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Q1: Which of the following activities lead to
illegal traffic?
□ Transporting wastes controlled by the Basel
Convention without a movement document
□ Adding or replacing hazardous wastes
in a shipment when changing carrier,
altering the information described in the
movement document
□ Transporting hazardous wastes to a facility not
stated in the movement document
Q2: Sort the drivers of illegal traffic of plastic
waste, choose between: socio-economic
(1), political and environmental (2) and weak
enforcement (3)
____ low probability of being detected
____ the need for raw materials
____ high financial benefits
____ enforcement in one area might lead to
increase of the illegal activities in other area
____ high costs of ESM of plastic wastes
____ improved regulation in one area might lead
to illegal activities in other area
____ the need for second-hand goods
____ low risk of being prosecuted and sentenced
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HOW TO deal with illegal traffic?

What authorities should do when faced with

a possible case of illegal trafficking of waste
depends very much on the powers entrusted to
them under the applicable rules and regulations.
The authority to control documents, stop, open,
and physically inspect vehicles/containers,
and detain shipments for further investigation
seems to be commonplace. On the other hand,
authorities may not have the authority to take
administrative, civil or criminal investigation/
enforcement measures, for instance, taking
samples or gathering additional evidence. The
national legal and institutional framework also
specifies the responsibilities of other relevant
authorities and may clarify how such authorities
should cooperate.

When an inspector or law enforcement officer is

confronted with a possible case of illegal traffic of
hazardous or other wastes, there are some crucial
points to be considered. Firstly, the possibly
illegal shipment is to be secured and for that the
shipment needs to be intercepted and moved
to a secure area for detention. Secondly, a case
is to be built through gathering administrative
and physical evidence and contacting involved
players. A well-documented case is essential
for a possible prosecution, either in the country
of export or in the country of import. Thirdly,
contacts are to be made and maintained
throughout the investigation process with the
competent authorities in the countries of export
and import, and, if applicable, transit, in particular
if the wastes are to be taken back by the State
of export.

It is important to collect and report as much documents or information available from

relevant information as possible. Elements to be
gathered may include:
▪ A written report of the findings: describe
all the steps of the investigation and the
evidence gathered. It is important to
describe what triggered the inspection in
the first place.
▪ Originals or copies of documents that
contain evidence: movement and
notification documents and shipping
the exporter, importer, shipping lines and
shipping agents. All the paperwork should
be carefully assessed.
▪ Statements from persons involved or
witnesses: e.g. shipping agents, truck
drivers, the exporter or importer.
▪ Photographs or footages of the load itself,
labels, placards, container, etc.
▪ Results of analysis if samples have
been taken.

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These elements could also be used in the
framework of enforcement actions by a
prosecutor. The provisions of the Convention
can be enforced in various ways, such as through
administrative, civil or criminal proceedings. In
addition, an out-of-court settlement can, in some
instances, be considered the most suitable way
forward. A regulatory or enforcement agency
may have various options open to it, depending
on the nature and severity of the transgression.
WHAT ARE the consequences of illegal traffic?
The Convention provides for the consequences
of a transboundary movement deemed to
constitute illegal traffic. Depending on whose
responsibility it is in a case of illegal waste
trafficking, there are generally three cases:
1. In cases where the transboundary
movement of hazardous wastes or
other wastes is deemed to be illegal
traffic as the result of conduct on the
part of the exporter or generator,
paragraph 2 of Article 9 requires the
State of export to ensure that the
wastes in question are taken back
by the exporter or generator or, if
necessary, by itself into the State
of export, or, if impracticable, are
otherwise disposed of in accordance
with the provisions of the Basel
Convention.
2. Paragraph 3 of Article 9 sets
provisions for those cases where
the transboundary movement of
hazardous wastes or other wastes is
deemed illegal traffic as the result of
conduct on the part of the importer
or disposer. In these cases, the State
BASEL SECRETARIAT GUIDANCE ON ILLEGAL TRAFFIC: http://www.basel.int/Implementation/
LegalMatters/Compliance/GeneralIssuesActivities/Activities201617/IllegalTraffic/tabid/4581/
Default.aspx
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Q3: What is the order of the proceedings
when an inspector is confronted with a
possible case of illegal traffic of hazardous or
other wastes (from 1 to 4)?
____ The interception of the possibly illegal
transport
____ Contacting competent authorities in
importing and exporting countries
____ Gathering evidence
____ The security of the possibly illegal transport
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 the State itself.
In the situations described above, in
principle a period of 30 days applies
for the take back or sound disposal,
from the time the State of export or
import has been informed about the
illegal traffic, or such other period of
time as States concerned may agree.
3. 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 need to ensure
through cooperation that the wastes
in question are disposed of as soon as
possible in an environmentally sound
manner, as set forth in paragraph 4 of
Article 9. Improper implementation of
paragraphs 2, 3 and 4 of Article 9 may
lead to the dumping of the wastes
and therefore harm to human health
and the environment.

Q4: As per Article 9 of the Basel Convention,
how much time is given for the take back or
sound disposal of hazardous wastes from the
time the State of export or import has been
informed about the illegal traffic?
□ 30 days
□ 45 days
□ 60 days
□ 90 days
WHO ARE key actors in the inspection and enforcement chain?
The enforcement of the Basel Convention at
the national level commonly involves multiple
government departments and agencies with
responsibilities for the prevention, detection,
investigation and enforcement of illegal waste
The following are some examples of enforcement actors:
COMPETENT AUTHORITIES
The Competent Authority (CA) is responsible
for receiving written notification of the
transboundary movement of hazardous wastes
and other wastes and for responding to it.
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Q5: The Basel Convention requires that in
confirmed cases of illegal traffic wastes, the
wastes in question must be taken back by the
State of export.
□ True
□ False
Q6: Each Party shall introduce legislation to
prevent and punish illegal traffic.
□ True
□ False
traffic. It is critical for the effective enforcement
that the respective roles and responsibilities of
these departments and agencies are clearly set
out in national legislation.
ENVIRONMENTAL AGENCIES
Environmental agencies are responsible for
ensuring compliance with national and possibly
international environmental laws and regulations
for developing policies and rules, for issuing
permits and for dealing with data analysis. In
some countries, environmental agencies are
also the competent authorities for the Basel
Convention. They support other actors in
important ways in combatting illegal traffic.

ENVIRONMENTAL INSPECTORATES
Relevant government ministries, such as
ministries of Natural Resources or the
Environment, will usually have particular
functions and responsibilities for dealing with
illegal traffic of hazardous and other waste. In
some States, these tasks are (partly) delegated
to regional or local authorities, such as provinces
or municipalities. Officers associated with these
environmental authorities are typically involved in
the compliance checking, inspections, detection
and/or identification of waste offences. Officers
of this kind should be legislatively authorized,
trained and empowered to conduct their tasks.
POLICE
Police may be involved in detecting and/or
identifying waste offences or they may be called
upon to conduct specialized and/or advanced
investigative functions, which generally fall
beyond the mandate of waste inspectors or
officers. Relevant police may include national,
regional, port, railway and/or local police, as well
as police departments having responsibilities for
dealing with waste crime, economic and financial
crime, the handling of crime scenes and forensic
investigations, telecommunications, undercover
operations and general criminal investigations. In
some jurisdictions, it will be essential for police
to be involved in complex cases of illegal traffic
of waste. Police may perform their functions in
relation to illegal traffic under a variety of national
laws, directives and regulations, including laws
relating to organized crime, money-laundering
and corruption.
CUSTOMS ADMINISTRATION
Customs administration agencies will also meet
illegal trafficking at mainly ports and land borders.
They will generally be mandated to detect and/
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or identify waste trafficking at these locations in
accordance with customs legislation. Customs
administration officials are generally trained and
empowered to conduct general investigations,
file cases and collect and seize evidence. Customs
administration officers often play important roles
in collecting intelligence, identifying high risk
shipments, and special investigations.
PORT AUTHORITIES
The port authority is responsible for the
management of the ports and is, for example,
informed about the movements of goods and
wastes through the port. Port authorities may
be public or private entities, or a combination
of the two. Importantly, port authorities may
have shared responsibilities to check the
imports, including the checking of documents
accompanying the shipment. At this stage, port
authorities may report cases that may need
further investigation. If further investigation
is necessary, such as sampling the shipment
or contacting the exporter of the goods, the
container needs to be detained in the port. This
will be organized by the port authority.
PROSECUTORS AND JUDGES
Prosecutors normally oversee and direct
investigations into illegal trafficking cases, while
judges play a role in applications for warrants
and the use of special investigative techniques.
In some jurisdictions, judges may have powers
to assign cases to the most relevant agency,
taking into account the designation, mandates
and powers of various government agencies with
investigative roles.
Generally, judicial institutions serve several
functions in society, among them: the peaceful
settlement of disputes; upholding the rule of law;
and applying and interpreting the law.

OTHER OFFICERS
Certain other government officers could come
across waste crimes. The role of such officers in
investigations into waste trafficking depends to a
great degree on specific domestic arrangements.
Other specialized agencies, such as anti-money-
HOW TO organize inter-agency collaboration for enforcement?
Preventing and combating illegal waste traffic
requires the cooperation of several enforcement
agencies at the national and international levels,
for instance, in the ports and at the borders.
For example, customs officers are not alone in
undertaking this task and they might rely on
the relevant national environmental agencies
It is up to individual Parties to decide how to
set-up inter-agency collaboration at the national
level. Next, there are some suggestions which
Parties may find useful as to how to promote
cooperation between the involved agencies.
Cooperation among enforcement authorities
can be established by law or formalized with a
Memorandum of Understanding (MoU). Such
agreements could cover the following elements:
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laundering officers, financial investigation units,
anti-corruption commissions and tax revenue
authorities, may also contribute to investigations
of waste trafficking on the basis of specialized
laws granting them enforcement powers.
to provide them with the appropriate legal
and technical information, equipment and
facilities. Similarly, national environmental and
enforcement agencies often need the support
of the Customs Administration to perform
inspections at border crossings.
▪ The purpose of the agreement/MoU;
▪ Information about the Parties to the
agreement/MoU and the agencies
overseeing its implementation, such as
chief executives of the institutions);
▪ The goals of each institution in relation to
waste transport controls;
▪ The legal powers and duties available to
each institution;
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▪ A statement of how each institution will ▪ Points of contact;

exercise those powers and duties with ▪ Process for review of the agreement/
regard to waste transport controls; MoU, including regular review meetings
▪ Agreed joint working relationships; at a high level; and
▪ Information exchange procedures; ▪ Period of validity.

HOW TO make collaboration happen?

Current challenges in collaboration relate to: Some approaches to promote inter-agency

collaboration include:
▪ Ensuring sustained collaboration:
limited time and resources mean that ▪ Establishing formal cooperation
collaboration efforts started with good agreements, e.g. jointly agreed
intentions may not continue if only few guidelines, documents outlining the
individuals or agencies are driving the rules and procedures for communication
effort rather than the whole group. and coordination between relevant
▪ Limitations on sharing intelligence: agencies, etc.
restrictions, often placed by data security ▪ Establishing informal cooperation channels.
legislation and civil liberties legislation. ▪ Conducting joint operations and
These restrictions often govern the type joint training.
and recipients of the information and
▪ Leveraging participation in conferences,
require the setup of formal procedural
including COPs, to network with
requirements to access intelligence and
stakeholders and conduct dedicated
share information between agencies.
waste shipment workshops and parallel
▪ Incompatibility of platforms: data and sessions at such events.
information storage systems and record
keeping at different agencies are located
on different platforms. Therefore, search
and data extraction may not be compatible
with systems of other agencies.

Investigations

States may opt to divide the responsibilities

for investigating waste offences between
multiple agencies according to the stage of the
investigation or the seriousness of the offences
that appear to be involved.

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EXAMPLE OF A MECHANISM, NATIONAL TASK FORCES, RECOMMENDED BY INTERPOL

A National Environmental Security Task Force (NEST) brings together police, customs,
environmental agencies, prosecutors, non-governmental organizations and intergovernmental
partners to focus on crime, that affects the environment, and fighting efforts towards networks
and crimes that affect a particular country.

NESTs allow law enforcement to stand alongside scientific experts whose knowledge and access
to resources are invaluable in the fight against environmental criminals. A NEST draws on the
mandates of each agency involved to combat crimes that affect the environment from all angles –
from on-the-ground illegal poaching to investigations into the financial and tax affairs of criminal
networks.

It is recommended that, prior to establishing a NEST, member countries host a high-level

meeting (a National Environmental Security Seminar, or NESS) to bring together relevant experts,
stakeholders and decision-makers to identify and prioritize the national environmental security
needs. The issues identified at this seminar can then be used to guide the formation of the NEST.
Following the seminar, it is also recommended that member countries consider establishing
a National Environmental Security Steering Committee (NESSC) to guide the formation and
direction of the NEST.

Q7: In cases where cooperation among
enforcement authorities is not established by
law it can be formalized with a Memorandum
of Understanding (MoU). Which of the
following elements could be included in the
MoU?
□ The purpose of the MoU
□ Information about the Parties to the MoU and
the agencies overseeing its implementation,
such as chief executives of the institutions)
□ The goals of each institution in relation to
waste transport controls
□ The legal powers and duties available to each
institution
□ Agreed joint working relationships
□ Information exchange procedures
□ Points of contact
□ Process for review of the MoU, including
regular review meetings at a high level
□ Period of validity

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Q8: Data security legislation and civil Q9: What does NEST stand for?
liberties legislation can pose a challenge to
collaboration and it directly relates to:

□ The sustainability of the collaboration

□ Exchange of intelligence
□ The difference in data storage systems of
different agencies

CONGRATULATIONS! YOU have reached the end of lesson 7.

You can move on to lesson 8, the final lesson
of this module and the end of the course. The
final lesson will describe the main steps required
to undertake a risk assessment, develop risk
indicators and perform administrative and
physical checks. It will explain how to identify
plastic wastes. Visual screening and sampling
will be discussed as well as the use of customs
codes during the identification process. Special
attention will be paid to the safety of the officers
whilst performing visual screening.

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Answers:

Q1: all statements are correct Q3:

Q2: 1 The interception of the possibly

illegal transport
3 low probability of being detected
2 The security of the possibly illegal transport
1 the need for raw materials
3 The gathering of evidence
1 high financial benefits
4 Contacting competent authorities in
2 enforcement in one area might lead to
importing and exporting countries
increase of illegal activities in another area
Q4: 30 days
1 high costs of ESM of plastic wastes
Q5: false
2 improved regulation in one area might lead
to illegal activities in other area Q6: true

1 the need of second-hand goods Q7: all statements are correct

3 low risk of being prosecuted and sentenced Q8: exchange of intelligence

Q9: National Environmental Security Taskforce

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