Block 3: Notification Number & Shipment Type
Block 3: Notification Number & Shipment Type
← Basel Knowledge Hub/Basel Form Guide/ Block 3
Block 3 – Quick Reference
Notification Number & Shipment Type
Records the authority-assigned notification number and three classification tick-boxes defining the nature of the movement.
Basel Basis
Article 6(1), Basel Convention; Annex V-A Block 3
Field Type
Administrative — notification ID + three tick-boxes
Required For
All Basel movements
What Block 3 Captures
Block 3 serves two distinct purposes. First, it is where the competent authority of the State of export stamps or prints the official notification identification number — this is the reference that links every subsequent document (movement documents, authority correspondence, consents) back to this notification. Second, it contains three sets of tick-boxes that legally classify the proposed movement. The exporter completes the tick-boxes before submission; the notification number is assigned by the authority.
The Three Tick-Box Sets
A: Single or Multiple Shipments
- A(i) Individual shipment— One consignment under this notification.
- A(ii) Multiple shipments— A general notification covering multiple shipments under a single consent. Valid for up to one year (three years for pre-consented OECD facilities).
B: Disposal or Recovery
- B(i) Disposal— Waste destined for a D-code operation. Permitted under Basel Convention and EU Regulation. Not permitted under OECD Decision (which covers recovery only).
- B(ii) Recovery— Waste destined for an R-code operation. Permitted under all three instruments.
C: Pre-consented Recovery Facility
- TickYesonly where the OECD Amber control procedure applies and the receiving facility formally holds pre-consent status for the declared waste type.
- TickNoin all other cases — including all non-OECD movements.
How to Complete Block 3
1
Leave the notification number field blank.
The competent authority of the State of export assigns this number using the ISO 3166-1 alpha-2 country code as a prefix (e.g., TT-2026-001 for Trinidad and Tobago).
2
Tick A(i) for a single shipment
or A(ii) for a general notification covering multiple planned shipments.
3
Tick B(i) for disposal operations
(D-codes) or B(ii) for recovery operations (R-codes). This must match Block 11.
4
Tick C: No
unless the OECD Amber pre-consent procedure formally applies to this movement.
⚠️
Authority-Assigned Number Only
Leave the notification number field blank. The competent authority assigns this number — never write your own reference number.
Common Errors – Correct Approach
Wrong
Exporter writes their own notification number
Correct
Leave blank — the competent authority assigns this number
Wrong
B(i) Disposal ticked for an R-code recovery movement
Correct
Tick B(ii) Recovery for all R-code operations including R4 lead recycling
Wrong
C: Yes ticked without OECD Amber pre-consent basis
Correct
Tick C: No for all standard movements — Yes is for a specific OECD procedural category only
Wrong
Any tick-box left blank
Correct
All three sets must be completed before submission
Wrong
A(i) Single ticked when multiple shipments are planned
Correct
Use A(ii) Multiple if more than one shipment is intended under this consent period
Frequently Asked Questions
When is a general notification (A(ii)) preferable to multiple single notifications?
▼
Where you are shipping the same waste type to the same facility regularly within a 12-month period. One general notification covers all planned shipments, reducing administrative burden for both the exporter and the competent authorities.
What is the ISO country code for Trinidad and Tobago?
▼
TT. So a T&T notification number might look like: TT-2026-001.
Can I change A(i) to A(ii) after consent is granted?
▼
No — changing the shipment type requires a new notification. Plan whether single or multiple is appropriate before submission.
Supporting Documents
- vCOP8 Official Form and Completion Instructions — Block 3– Official Annex V-A/V-B forms and completion instructions.
💡
DexMetal Expert Tip
The tick-boxes in Block 3 define the legal framework for the entire movement. B(i) vs B(ii) determines which international instruments apply and what the competent authority will assess the notification against. Get these right before anything else.
← Back to
Block 2: Importer-Consignee
Next →
Block 4: Total Shipments
Need Help Completing Your Notification?
DexMetal's Basel compliance tools guide you through every block with validation and country-specific guidance.
Explore the Knowledge Hub →