Block 11: Disposal/Recovery Operation
Block 11: Disposal/Recovery Operation
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Block 11 – Quick Reference
Disposal/Recovery Operation
Confirms the approved operation code and technology to be applied to the waste at the receiving facility.
Basel Basis
Annex IV-A (Disposal) / IV-B (Recovery) and ESM principles
Field Type
Operation code (R/D) and technology
Required For
All Basel movements
What Block 11 Captures
Block 11 records the specific legal operation — not just the facility, but exactly what will be done to the waste once it arrives. Every Basel movement must declare either a D-code (disposal) or an R-code (recovery) drawn from the standardized lists in Annex IV of the Basel Convention.
The declared operation code must:
- Match the code authorized in the original notification
- Align with the receiving facility's permit scope (Block 10)
- Correspond to the actual technology employed at that facility
If Block 10 tells authoritieswherethe waste is going, Block 11 tells themwhat happens to it— and competent authorities use these two blocks together to assess the legality and environmental soundness of the movement.
R-Codes: Recovery Operations
Code Operation R1 Use as fuel or other energy generation R2 Solvent reclamation/regeneration R3 Recycling/reclamation of organic substances (non-solvent) R4 Recycling/reclamation of metals and metal compounds R5 Recycling/reclamation of other inorganic materials R6 Regeneration of acids or bases R7 Recovery of components for pollution abatement R8 Recovery of components from catalysts R9 Used oil re-refining or other reuses of previously used oil R10 Land treatment for agricultural or ecological benefit R11 Uses of residual materials from R1–R10 R12 Exchange of wastes for submission to R1–R11 R13 Accumulation of material intended for any operation in this list
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ULAB / Battery Recycling note
Lead-acid battery recycling typically usesR4(metals and metal compounds). Confirm against your facility authorization before declaring.
D-Codes: Disposal Operations
Code Operation D1 Deposit into or onto land (landfill) D2 Land treatment (biodegradation) D3 Deep injection D4 Surface impoundment D5 Specially engineered landfill D6 Release into water body (except seas/oceans) D7 Release into seas/oceans D8 Biological treatment not elsewhere specified D9 Physico-chemical treatment not elsewhere specified D10 Incineration on land D11 Incineration at sea D12 Permanent storage D13 Blending or mixing prior to another D operation D14 Repackaging prior to another D operation D15 Storage pending any D operation
How to Complete Block 11
1
Determine whether the movement is for disposal or recovery. This must match the notification.
2
Select the single most accurate R-code or D-code from the tables above.
3
State the technology employed at the facility (e.g., "pyrometallurgical smelting," "hydrometallurgical leaching," "mechanical shredding and separation").
4
Cross-reference against the facility's current permit (Block 10) to confirm the declared operation is within authorized scope.
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R12/R13 and D13–D15 Interim Operations
If the declared operation is R12, R13, D13, D14, or D15, you must attach an annex identifying the subsequent facility where the final R1–R11 or D1–D12 operation will be completed. Block 11 alone is not sufficient for interim operations.
Common Errors – Correct Approach
Wrong
Using R4 when facility is only authorized for R13
Correct
Declare the actual authorized operation; attach annex for subsequent R4 facility
Wrong
Changing the operation code on the movement document without authority approval
Correct
Obtain formal variation from competent authority before any code change
Wrong
Listing a technology that does not match the declared R/D code
Correct
Technology description must logically correspond to the declared code
Wrong
Leaving the technology field blank
Correct
Always specify technology — it is required for competent authority assessment
Frequently Asked Questions
Can I change the operation code after the notification is approved?
▼
No. The code on the movement document must match the approved notification. Any change requires a formal variation through the competent authority before the shipment departs.
Can R and D codes be used interchangeably?
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No. Recovery (R) and disposal (D) are legally distinct categories under the Basel Convention. Using the wrong category can invalidate consent and expose the exporter to enforcement action.
What if my waste goes through an interim operation before final recovery?
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Declare the interim operation (R12 or R13) in Block 11, and attach an annex identifying the subsequent facility and the final operation (R1–R11) where the actual recovery takes place.
Is Block 11 the same in the notification and movement document?
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The notification Block 11 has three sub-fields: D/R code, technology employed, and reason for export. The movement document Block 11 is simplified to D/R code only. Do not deviate from the approved notification.
Supporting Documents
- Doc 5: Classification Guide (R/D Codes)— R and D code definitions per Basel Annex IV.
- Doc 16: Process Flow Diagram— Technology description and operation flow for facility authorization.
- Doc 19: Movement Form Instructions (Block 11)— Official Basel completion instructions for operation fields.
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DexMetal Expert Tip
Always validate Block 11 against the facility's current permit and the approved notification before dispatch. A mismatch between the movement document and the notification is one of the most common grounds for shipment rejection at the border.
← Back to
Block 10: Disposal/Recovery Facility
Next →
Block 12: Designation of Waste
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