Transboundary Movement Flowcharts

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Visual process flowcharts help navigate the complex Basel notification procedures by showing decision points, parallel processes, and sequential steps. This page provides text-based flowchart descriptions for the major transboundary movement processes. These can be used to create visual diagrams, understand process flow, train staff, and identify where you are in the notification cycle.

Complete PIC Procedure Flowchart

MAIN PROCESS FLOW:

START → PLANNING PHASE

• Exporter identifies waste stream requiring transboundary movement
• ↓
• Classify waste (Y-codes, Annex VIII/IX, H-codes)
• ↓
• Identify receiving facility in import country
• ↓
• Determine transport route (identify transit countries)
• ↓
• Verify Basel/OECD applicability
• ↓
• Decision Point: Is this a Basel-controlled waste?
• → NO: Not subject to Basel → Proceed under national laws only
• → YES: Continue ↓

PRE-NOTIFICATION PREPARATION

• Identify competent authorities (export, import, transit countries)
• ↓
• Gather required documentation:
• - Contract between exporter and disposer
• - Facility permits and authorizations
• - Waste characterization
• - Financial guarantee/insurance
• - Transport documentation
• - ESM documentation
• ↓
• Complete Basel notification form (Annex V A)
• ↓
• Translate documents if required
• ↓
• Prepare notification packages (export, import, transit authorities)

NOTIFICATION SUBMISSION

• Submit notification simultaneously to:
• - Export country competent authority
• - Import country competent authority
• - Transit country competent authorities (each)
• ↓
• Obtain acknowledgment of receipt
• ↓
• WAIT (Parallel processing by authorities)

COMPETENT AUTHORITY REVIEW (PARALLEL PROCESSES)

Export Country Authority:

• Reviews notification for completeness
• ↓
• Assesses compliance with export regulations
• ↓
• Coordinates with other agencies if needed
• ↓
• Decision: Consent, Conditional Consent, or Objection
• ↓
• Notifies exporter and import/transit authorities

Import Country Authority:

• Reviews notification for completeness
• ↓
• Assesses facility authorization (permits, ESM)
• ↓
• Verifies waste classification
• ↓
• Evaluates environmental impact
• ↓
• May request additional information
• ↓
• Decision: Consent, Conditional Consent, or Objection
• ↓
• Notifies exporter and export/transit authorities

Transit Country Authorities (each):

• Reviews transit notification
• ↓
• Assesses route and timing
• ↓
• Decision: Consent, Acknowledgment, Tacit Consent, or Objection
• ↓
• Notifies exporter and other authorities

DECISION POINT: ALL CONSENTS RECEIVED?

• → NO (Any objection or missing consent):
• - Cannot proceed with movement
• - Options: Withdraw notification, appeal, modify proposal, find alternative route/facility
• - Return to earlier step or END
• → YES (All countries consented): Continue ↓

SHIPMENT PREPARATION

• Ensure all consent conditions met
• ↓
• Prepare movement document (Annex V B)
• ↓
• Arrange transport (carrier, packaging, dangerous goods compliance)
• ↓
• Notify competent authorities of impending shipment (if required)
• ↓
• Verify financial guarantee in place

MOVEMENT

• Exporter completes Section C of movement document
• ↓
• Waste shipped from export country
• ↓
• Carrier completes Section D at acceptance
• ↓
• Waste transits through transit countries
• ↓
• Waste arrives at import country facility
• ↓
• Importer completes Section E on arrival
• ↓
• Customs clearance
• ↓
• Waste delivered to facility

DISPOSAL/RECOVERY

• Facility processes waste according to notification
• ↓
• Disposer completes Section F of movement document upon completion
• ↓
• Movement document distributed to competent authorities
• ↓
• Records retained (typically 3-5 years minimum)
• ↓
• END (successful completion)

SeeSection C: PIC Procedure Workflowsfor detailed step-by-step guidance.

Exporter Decision Tree

WASTE CLASSIFICATION DECISION TREE:

START: Do I have waste requiring disposal/recovery?

• → NO: Not waste (functional used equipment) → Not subject to Basel
• → YES: Continue ↓
• Is it listed in Basel Annex I (Y-codes)?
• → NO: Check if "other waste" (household) → If no, not Basel-controlled
• → YES: Continue ↓
• Does it exhibit Annex III characteristics (H-codes)?
• → YES: HAZARDOUS WASTE → Full Basel notification required
• → NO: NON-HAZARDOUS but controlled → Streamlined procedures may apply

DESTINATION COUNTRY DECISION TREE:

START: Where am I shipping?

• Destination is OECD member country?
• → YES: Continue ↓
• - Is waste on OECD green list?
• → YES: Information requirements only (simplified)
• → NO: Is it on amber list?
• → YES: Prior notification required (may have tacit consent option)
• → NO: Red list or not listed → Full Basel procedures
• → NO (Non-OECD): Continue ↓
• - Is export country Party to Basel?
• → NO: Cannot export to Basel Parties (unless Article 11 agreement)
• → YES: Continue ↓
• - Is destination country Party to Basel?
• → NO: Bilateral agreement required (Article 11)
• → YES: Full Basel notification procedures apply
• - Is destination Party to Bamako Convention (Africa)?
• → YES: Hazardous waste imports prohibited → Cannot ship
• → NO: Proceed with Basel notification
• - Has Ban Amendment entered force for destination?
• → YES (and export from OECD): Hazardous waste export prohibited
• → NO: Proceed with notification

Competent Authority Review Process

IMPORT AUTHORITY REVIEW FLOWCHART:

• Notification received
• ↓
• Completeness check
• → Incomplete: Request additional information → Exporter provides → Return to completeness check
• → Complete: Continue ↓
• Waste classification review
• → Classification disputed: Request clarification/testing → Return to exporter
• → Classification accepted: Continue ↓
• Facility authorization verification
• → Not authorized: Reject OR request facility obtain authorization
• → Authorized: Continue ↓
• ESM assessment
• → ESM concerns: Request additional ESM documentation OR conditional consent OR reject
• → ESM adequate: Continue ↓
• Environmental impact evaluation
• → Unacceptable impact: Reject OR request mitigation measures
• → Acceptable impact: Continue ↓
• Policy considerations (domestic waste priority, capacity, etc.)
• → Policy reasons to reject: Issue objection with explanation
• → No policy barriers: Continue ↓
• Coordination with other government agencies (if required)
• → Other agencies object: Address concerns or reject
• → Other agencies approve or no objection: Continue ↓
• DECISION: Issue consent (with or without conditions)
• ↓
• Notify exporter, export authority, transit authorities
• ↓
• Enter notification in tracking system
• ↓
• Monitor for movement document completion

Movement Document Lifecycle

ANNEX V B MOVEMENT DOCUMENT FLOWCHART:

• START: All consents received for notification
• ↓
• Exporter prepares movement document
• ↓
• Exporter completes Sections A and B (notification and shipment details)
• ↓
• Waste packaged and loaded for shipment
• ↓
• Exporter signs Section C (exporter certification)
• ↓
• Movement document accompanies shipment
• ↓
• Carrier receives waste and shipment
• ↓
• Carrier signs Section D (carrier certification) with date of receipt
• ↓
• Transport to destination (through any transit countries)
• ↓
• Decision Point: Any discrepancies or incidents during transport?
• → YES: Document on movement document, notify authorities → Investigation/resolution
• → NO: Continue ↓
• Waste arrives at facility in import country
• ↓
• Importer/facility receives shipment
• ↓
• Importer signs Section E (importer certification) with arrival date
• ↓
• Decision Point: Waste matches notification?
• → NO: Discrepancy documented, competent authority notified → Resolution (may trigger re-import)
• → YES: Continue ↓
• Facility processes waste (disposal or recovery operation)
• ↓
• Processing completed
• ↓
• Disposer signs Section F (disposer certification) with completion date
• ↓
• Movement document copies distributed:
• - To export country competent authority
• - To import country competent authority
• - To transit country authorities (if required)
• - Exporter retains copy
• - Facility retains copy
• ↓
• Competent authorities update records (notification completed)
• ↓
• END

SeeMovement Document (Annex V B)for detailed completion guidance.

Rejection and Re-Import Process

WHEN MOVEMENT CANNOT BE COMPLETED:

• START: Waste shipped under Basel notification
• ↓
• TRIGGER EVENT (one of the following):
• - Import country refuses entry at border
• - Facility rejects shipment (doesn't match notification)
• - Facility unable to accept (closure, capacity, damage)
• - Waste materially different from notification
• - Illegal traffic determined
• - Contract breach by either party
• ↓
• Immediate notification to competent authorities (export, import, transit)
• ↓
• Waste secured in temporary storage (if already in import country)
• ↓
• Competent authorities determine responsibility:
• - Exporter fault (mischaracterization, false info) → Exporter must re-import
• - Importer fault (breach of contract) → Importer must arrange alternative
• - Facility failure (unforeseen closure) → Negotiate resolution
• - Illegal traffic → Exporter must re-import + penalties
• ↓
• Decision Point: Re-import to export country?
• → NO (alternative facility in import country found):
• - Amend notification or submit new notification
• - Transport to alternative facility
• - Complete as normal movement → END
• → YES: Continue with re-import ↓
• Export country notified of re-import duty (Basel Article 8)
• ↓
• Export country must accept re-import (no refusal allowed)
• ↓
• Re-import notification submitted (import country to export country)
• ↓
• Financial guarantee activated if in place (covers re-import costs)
• ↓
• Transport arranged back to export country
• ↓
• Export country customs entry
• ↓
• Waste managed in export country under domestic regulations
• ↓
• Costs borne by responsible party (typically exporter)
• ↓
• If illegal traffic: Additional penalties, enforcement actions
• ↓
• END

SeeRe-Import Guarantee Documentationfor financial guarantee details.

General vs. Individual Notification

NOTIFICATION TYPE DECISION:

• START: Waste stream identified
• ↓
• Is this a one-time shipment or ongoing?
• → One-time: INDIVIDUAL NOTIFICATION
• - Submit notification for single shipment
• - Specify exact quantity
• - Single movement document
• - Notification expires after shipment completion
• → Ongoing shipments: Continue ↓
• Check requirements for GENERAL NOTIFICATION:
• - Same generator throughout? (YES required)
• - Same disposer/facility throughout? (YES required)
• - Same waste code and characteristics? (YES required)
• - Same transport route? (YES required)
• - Predictable schedule? (Helpful but not always required)
• ↓
• ALL requirements met?
• → NO: Use individual notifications for each shipment
• → YES: GENERAL NOTIFICATION eligible
• - Submit general notification
• - Specify total quantity and estimated frequency
• - Validity period granted (typically 1 year)
• - Advance shipment notification before each shipment (timing varies by country)
• - Separate movement document for each shipment
• - Track cumulative quantities against approved total
• - Renew before expiration if continuing

OECD Simplified Procedures

OECD GREEN LIST FLOWCHART:

• START: Waste for recovery in OECD country
• ↓
• Is waste on OECD Green List (Appendix 3)?
• → NO: Use amber list procedures or full Basel
• → YES: Continue ↓
• Does waste meet purity/contamination standards for green list?
• → NO: Reclassify to amber list → Full notification required
• → YES: Continue ↓
• Check for national opt-out by import country
• → Country opted out of green list: Use amber list procedures
• → No opt-out: GREEN LIST PROCEDURES APPLY
• - NO prior notification to competent authorities required
• - Prepare information document (contract, waste description)
• - Information document accompanies shipment
• - Comply with general waste transport regulations
• - Commercial transaction (no government approval needed)
• ↓
• Ship waste with information document
• ↓
• Facility receives and processes
• ↓
• Maintain records
• ↓
• END

SeeOECD Member Country Proceduresfor detailed OECD guidance.

Using Flowcharts Effectively

FOR TRAINING:

• Walk through flowcharts with new staff
• Identify decision points where expertise needed
• Practice with example scenarios
• Create visual diagrams from text descriptions
• Post process flows in work areas

FOR PROJECT PLANNING:

• Use flowcharts to identify all required steps
• Estimate time at each stage
• Identify parallel processes that can proceed simultaneously
• Plan for decision points and potential outcomes
• Build contingency plans for rejection scenarios

FOR TROUBLESHOOTING:

• Identify where in process you are
• Determine what triggered current situation
• Follow flowchart to identify resolution options
• Communicate status to stakeholders using flowchart language

FOR CONTINUOUS IMPROVEMENT:

• Track where delays occur in process
• Identify common rejection reasons
• Update internal procedures based on flowchart insights
• Streamline document preparation for repeated steps

References

• Basel Instruction Manual - Process Guidance
• Basel Notification Process Overview
• OECD Waste Shipment Procedures

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.