Basel Export Application Form Guide (Notification Document)

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Blocks 1–10: Party and Waste Identification

Block 1

Exporter-Notifier Registration

Identifies the legal entity initiating the transboundary movement. Competent authorities use this block to verify the notifier's registration status, country of origin, and legal authority to export hazardous waste under the Basel Convention.

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Block 2

Importer-Consignee Information

Names the receiving facility and the country of import. This block establishes the destination party's legal identity and must match the consignee named in any pre-consented or bilateral agreement between the countries concerned.

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Block 3

Notification Number & Shipment Type

Records the unique reference number assigned by the competent authority upon notification submission. Also specifies whether the movement is a single shipment or part of a general notification covering multiple trips.

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Block 4

Total Intended Number of Shipments

Declares the total number of individual trips planned under a general notification. Competent authorities use this figure when evaluating the scale of the movement and assessing environmental risk exposure over the consent period.

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Block 5

Total Intended Quantity

States the total weight or volume of hazardous waste covered by the notification in metric tonnes or litres. Discrepancies between notified and actual quantities are a leading cause of customs holds and compliance violations.

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Block 6

Intended Period of Time for Shipment(s)

Defines the start and end dates during which shipments may legally move under the consent. Movements outside the approved period are treated as unauthorised transboundary movements under Basel Article 9.

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Block 7

Packaging Type(s) & Special Handling

Specifies the UN-approved packaging codes and flags special handling requirements. Incorrect packaging declarations are among the most common causes of notification rejection by importing country authorities.

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Block 8

Intended Carrier(s)

Lists all carriers authorised to transport the waste, including registration numbers and countries. Adding an unlisted carrier during transit requires a formal amendment to the notification before movement begins.

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Block 9

Waste Generator-Producer

Identifies the original producer of the hazardous waste. This block creates the legal chain of custody from waste origin through export and is referenced in enforcement proceedings.

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Block 10

Disposal/Recovery Facility

Names the licensed facility performing final treatment, disposal, or recovery in the country of import. The facility must hold valid operating permits under the importing country's domestic law at the time consent is granted.

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Blocks 11–21: Technical and Administrative Details

Block 11

Disposal/Recovery Operation

Records the Basel Convention Annex IV operation code (D or R code) describing how the waste will be processed. Selecting the wrong code is a common error that triggers requests for additional information from importing authorities.

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Block 12

Designation & Composition of the Waste

Provides the physical and chemical composition of the hazardous waste in plain language. Authorities rely on this block to confirm the waste matches the hazard codes declared elsewhere in the form.

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Block 13

Waste Physical Characteristics

Describes the physical state of the waste — solid, liquid, sludge, gaseous, or other. This directly affects packaging requirements, transport regulations, and the environmental risk assessment during consent review.

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Block 14

Waste Identification and Classification

The most technically complex block. Lists applicable Basel Annex codes, OECD codes, national codes, and UN hazard classes. Classification errors here account for the majority of notification rejections across all Basel Party states.

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Block 15

Countries/States Concerned & Border Crossings

Maps the complete transit route from country of export to country of import. Each transit country listed has the right to grant or withhold consent under Article 6 of the Basel Convention.

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Block 16

Customs Offices (EU Member States Only)

Required only for shipments entering or exiting EU member states under Regulation (EC) No 1013/2006. Non-EU movements leave this block blank but must not omit it from the form.

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Block 17

Exporter & Generator Declaration

The legally binding signature block where the exporter and generator certify the accuracy of all information. An unsigned or undated Block 17 renders the entire notification invalid.

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Block 18

Number of Annexes Attached

Declares how many supporting annexes accompany the notification. The number stated must exactly match the physical documents submitted — missing annexes are the most common reason a notification is declared incomplete on first review.

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Block 19

Competent Authority Acknowledgement

Completed by the importing country's competent authority to confirm receipt. Under Article 13, acknowledgement must be issued within three working days. The financial guarantee typically cannot be released until this block is returned.

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Block 20

Competent Authority Consent/Objection

Records formal written consent or objection from all competent authorities concerned. No physical shipment may begin until all required consents are in hand and no valid objection is outstanding.

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Block 21

Specific Conditions or Objection Reasons

Used by competent authorities to attach legally binding conditions to a consent or to state formal reasons for objection. All conditions must be met before and during each individual shipment.

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COP-17 update: Annex IV and e-waste guidelines

COP-17 was held from 28 April to 9 May 2025 and adopted 28 Basel Convention decisions. Operators should treat those decisions as the current reference point when preparing Basel Convention files for transboundary movements.

BC-17/15 adopted a replacement Annex IV. The update is scheduled to become effective on 1 January 2030, following depositary communication on 1 July 2029. Until national implementation is confirmed, use current domestic rules but plan workflows, contracts, and recovery/disposal references for the 2030 Annex IV replacement.

BC-17/4 adopted new technical guidelines on transboundary movements of e-waste and used electrical and electronic equipment (EEE). For e-waste and used EEE movements, reference these COP-17 guidelines when preparing classification, PIC, ESM, and supporting documentation.

Practical operator note: for 2025–2029 files, record which Basel decision basis is being used, confirm competent-authority expectations, and revisit Annex IV and e-waste assumptions before shipment approval or renewal.