Block 9: Waste Generator-Producer
Block 9: Waste Generator-Producer
← Basel Knowledge Hub/Basel Form Guide/ Block 9
Block 9 – Quick Reference
Waste Generator(s)-Producer(s)
Identifies the entity that generated the waste, the site of generation, and the process by which it was produced.
Basel Basis
Article 2(19), Article 6(1), Basel Convention; Annex V-A Block 9
Field Type
Party identity — waste generator(s) and generation process
Required For
Required by Basel Convention. Not required under OECD Decision for recovery movements — but most authorities expect it.
What Block 9 Captures
Block 9 establishes the origin of the waste — who produced it, where, and through what process. The Basel Convention requires this information for all transboundary movements to enable traceability from source to final treatment. Where the true generator is unknown, Article 2(19) of the Basel Convention deems the person in possession or control of the waste to be the generator.
How to Complete Block 9
1
If the exporter (Block 1) is also the generator,
write
"Same as Block 1"
and complete the site and process of generation fields below.
2
If the exporter is not the generator,
enter the generator's registration number (where applicable), full legal name, address, and contact details.
3
Describe the site of generation
— the specific location where the waste was produced or collected.
4
Describe the process of generation
— how the waste came into existence (e.g.,
Collection and aggregation of end-of-life lead-acid batteries from automotive workshops, retail battery outlets, and industrial users across Trinidad and Tobago
).
5
If more than one generator is involved,
write
"See attached list"
and append full details for each in a numbered annex.
Common Errors – Correct Approach
Wrong
Block 9 left blank because OECD Decision does not require it
Correct
Basel Convention requires it — include for all movements regardless of instrument
Wrong
"Unknown" entered as generator name
Correct
Where the true generator is unknown, the person in possession or control is deemed the generator — use their details
Wrong
Vague process description: "collection of batteries"
Correct
Be specific — name the types, sources, and geographic scope of collection
Wrong
Generator details left off when exporter and generator differ
Correct
Both entities must be identified separately — exporter in Block 1, generator in Block 9
Wrong
Multiple generators listed inline without an annex
Correct
Use "See attached list" and provide full details for each generator in a numbered annex
Frequently Asked Questions
If I collected batteries from many sources, who is the generator?
▼
The collector/aggregator is the generator for Basel purposes where the original producers cannot be individually identified. Use your own entity details and describe the collection process in the site/process field.
Does the generator need to sign the notification?
▼
The generator is required to sign Block 17 (the declaration) where practicable. Where it is not practicable (e.g., multiple anonymous sources), document the reason.
Can generator details be kept confidential?
▼
Some countries permit generator details to be submitted in a confidential annex available only to competent authorities. Check the importing country's requirements.
Supporting Documents
- vCOP8 Official Form and Completion Instructions — Block 9– Official Basel Convention form and instructions for completing Block 9.
💡
DexMetal Expert Tip
A well-written site and process description in Block 9 reduces the likelihood of authority queries about waste origin. For ULAB exporters, describe the collection network, the battery types accepted, and the geographic area covered — even one paragraph is significantly better than a blank field.
← Back to
Block 8: Intended Carrier(s)
Next →
Block 10: Disposal/Recovery Facility
Need Help Completing Your Notification?
DexMetal's Basel compliance tools guide you through every block with validation and country-specific guidance.