Complete Code Reference Tables
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Basel notifications require precise use of standardized codes to classify wastes, describe operations, and specify hazardous characteristics. This reference consolidates all major code systems in one place, providing quick lookup tables with definitions and application guidance. Understanding these codes is essential for completing notification forms accurately and ensuring competent authorities can properly assess your proposed movement.
Y-Codes (Basel Waste Categories)
WHAT Y-CODES ARE:
- Basel Annex I: Categories of wastes to be controlled
- 45 categories identified by Y-code (Y1-Y45, with some gaps)
- Broad categories encompassing many specific waste types
- Used in Block 14 of notification form
- Most general classification level
KEY E-WASTE RELEVANT Y-CODES:
Y1: Clinical wastes from medical care
- Not typically e-waste related unless medical electronics
Y10: Waste substances and articles containing or contaminated with PCBs and/or PCTs
- Legacy electronics containing polychlorinated biphenyls
- Old transformers, capacitors from pre-1980s equipment
- Increasingly rare in modern e-waste streams
Y29: Mercury; mercury compounds
- Mercury-containing components from e-waste
- LCD backlights (pre-LED), mercury switches, fluorescent tubes
- Mercury thermostats, sensors
- Requires special handling and ESM
Y31: Lead; lead compounds
- Lead-containing e-waste components
- CRT glass (3-4 kg lead per unit)
- Lead solder on circuit boards (pre-RoHS)
- Lead-acid batteries
- Most common Y-code for hazardous e-waste
Y34: Acidic solutions or acids in solid form
- Electrolytes from certain batteries
- Acids used in e-waste processing
Y49: ELECTRONIC WASTE (e.g., discarded television sets, computers, mobile phones)
- Added in 2025 amendments to Basel Convention
- Specifically for electronic waste not exhibiting Annex III hazardous characteristics
- Applies to intact equipment and components without hazardous characteristics
- Most important Y-code for modern e-waste exporters
- See Section B for complete Y49 guidance
SeeY49 Non-Hazardous E-Waste Classificationfor detailed Y49 guidance.
Annex VIII Codes (Hazardous Waste)
WHAT ANNEX VIII IS:
- List of wastes characterized as hazardous under Article 1(1)(a)
- Alphanumeric codes: A1010, A1020, etc.
- Considered hazardous unless proven otherwise
- Presumption of hazardous classification
- Used in Block 14 alongside or instead of Y-codes
KEY E-WASTE ANNEX VIII CODES:
A1010: Metal wastes and waste consisting of alloys
- Includes antimony, beryllium, cadmium, lead, mercury, selenium, tellurium, thallium
- Relevant for metal components and solder
A1020: Waste having as constituents or contaminants (excluding metal waste in massive form): antimony, cadmium, lead, mercury, thallium
- Circuit boards with lead solder
- Electronic assemblies containing listed metals
A1180: WASTE ELECTRICAL AND ELECTRONIC ASSEMBLIES OR SCRAP containing components such as accumulators, mercury-switches, glass from cathode ray tubes, activated glass, PCB-capacitors, cadmium, mercury, lead, PCBs
- Classic e-waste classification before Y49 introduction
- Presumed hazardous electronic waste
- Applies when hazardous components present
- Still used for clearly hazardous e-waste
A1181: ELECTRONIC WASTE (e.g., discarded television sets, computers, mobile phones) and e-scrap (e.g., printed circuit boards) containing or contaminated with Annex I constituents to an extent that they exhibit Annex III characteristics
- Added in 2025 amendments
- Replaces A1180 for modern e-waste classification
- Applies when waste exhibits Annex III hazardous characteristics
- Most common code for hazardous e-waste post-2025
SeeA1181 Hazardous E-Waste Classificationfor detailed A1181 guidance.
A2010: Glass waste from cathode-ray tubes
- CRT glass specifically
- High lead content (20-30% by weight in neck glass)
- Panel glass lower lead but still hazardous
- Applies to separated CRT glass
A4070: Wastes from the production, formulation and use of inks, dyes, pigments, paints, lacquers, varnish
- May apply to certain plastic casings with coatings
- Less common for e-waste
Annex IX Codes (Non-Hazardous Waste)
WHAT ANNEX IX IS:
- List of wastes not covered by Article 1(1)(a) (not intrinsically hazardous)
- Presumption of non-hazardous classification
- Still subject to Basel controls (not exempt from notification)
- Alphanumeric codes: B1010, B1020, etc.
- More likely to qualify for streamlined procedures
KEY E-WASTE ANNEX IX CODES:
B1010: Metal and metal-alloy wastes in metallic, non-dispersible form
- Clean segregated metals from e-waste
- Aluminum, copper, iron/steel, zinc, tin, nickel
- Must be free of hazardous contaminants
- Common for sorted metal fractions
B1110: ELECTRICAL AND ELECTRONIC ASSEMBLIES containing only metals or alloys
- Was used for e-waste scrap before 2025
- Deleted in 2025 amendments
- Replaced by Y49 for non-hazardous electronic waste
- Do not use B1110 after 2025—use Y49 instead
B1115: Waste metal cables coated or insulated with plastics, not included in list A
- Cables and wiring from e-waste
- Must not contain hazardous materials or be contaminated
- Copper recovery from cables
B3011: Plastic waste (B3011)
- Clean segregated plastics from e-waste casings
- Must be free of hazardous constituents
- Sorted by polymer type preferred
- Subject to growing restrictions (Basel plastic waste amendments)
B4030: WASTES composed mainly of glass
- Was used for non-CRT glass from electronics
- Deleted in 2025 amendments
- Replaced by Y49 for electronic waste glass
- Do not use B4030 after 2025
H-Codes (Hazardous Characteristics)
WHAT H-CODES ARE:
- Basel Annex III: List of hazardous characteristics
- Identifies WHY waste is hazardous
- H1-H13 (H14 and H15 proposed but not adopted)
- Used in Block 14 to specify hazardous characteristics
- Critical for classification and handling requirements
COMPLETE H-CODE LIST:
H1: Explosive
- Substances capable of explosion
- Rare for typical e-waste
- Possibly lithium batteries under certain conditions
H3: Flammable liquids
- Liquids with flash point below 60°C
- Electrolytes in certain batteries
- Capacitor fluids
H4.1: Flammable solids
- Solids readily combustible or causing fire
- Some plastics and insulation materials
- Magnesium components
H4.2: Substances or wastes liable to spontaneous combustion
- Self-heating materials
- Certain battery chemistries if damaged
- Rare in typical e-waste
H4.3: Substances or wastes which, in contact with water, emit flammable gases
- Water-reactive materials
- Some battery chemistries
- Uncommon in most e-waste
H5.1: Oxidizing
- Substances causing or contributing to combustion
- Certain battery materials
H5.2: Organic peroxides
- Specific class of oxidizers
- Rarely present in e-waste
H6.1: POISONOUS (ACUTE)
- Substances causing death or serious injury if ingested/inhaled/absorbed
- Heavy metals: lead, mercury, cadmium
- Most common H-code for e-waste
- Circuit boards with lead solder
- CRT glass with lead
- Mercury switches and displays
H6.2: Infectious substances
- Not typically applicable to e-waste
- Relevant only for medical electronics with biological contamination
H8: Corrosives
- Substances causing severe damage to living tissue or materials
- Battery electrolytes (acids, alkalis)
- Flux residues on circuit boards
H10: Liberation of toxic gases in contact with air or water
- Materials releasing toxic gases under certain conditions
- Some plastics when heated or burned
- Certain battery chemistries
H11: TOXIC (DELAYED OR CHRONIC)
- Substances causing serious long-term health effects
- Heavy metals (lead, mercury, cadmium) bioaccumulate
- Persistent organic pollutants (POPs)
- Common for e-waste due to heavy metal content
H12: ECOTOXIC
- Substances presenting immediate or delayed environmental hazards
- Heavy metals toxic to aquatic life
- Persistent in environment
- Nearly all hazardous e-waste exhibits H12
- Bioaccumulation and ecosystem effects
H13: Capable of yielding another material after disposal (leachate, emission, etc.)
- Materials that become hazardous through transformation
- Plastics releasing toxic compounds when burned
- Heavy metals leaching from landfills
- Common characteristic for e-waste in disposal scenarios
SeeHazardous Characteristics Assessmentfor detailed H-code determination guidance.
D-Codes (Disposal Operations)
WHAT D-CODES ARE:
- Basel Annex IV A: Disposal operations
- D1-D15: Methods of final waste disposal
- Used in Block 17 of notification form
- Distinguish from recovery (R-codes)
- Generally subject to stricter controls than recovery
COMPLETE D-CODE LIST:
D1: Deposit into or onto land (e.g., landfill)
- Most common disposal method
- Hazardous waste landfills with engineered containment
- Generally prohibited for transboundary e-waste movements
- Competent authorities reluctant to approve
D2: Land treatment (e.g., biodegradation)
- Not applicable to e-waste
- Organic waste treatment method
D3: Deep injection (e.g., injection of pumpable wastes into wells)
- Not applicable to e-waste
- Liquid waste disposal
D4: Surface impoundment (e.g., placement into pits or lagoons)
- Not applicable to solid e-waste
- Liquid/sludge disposal
D5: Specially engineered landfill
- High-specification landfill with enhanced containment
- Liner systems, leachate collection, monitoring
- May be used for e-waste residues after processing
- Not typically approved for intact e-waste export
D6: Release into a water body except seas/oceans
- Not applicable to e-waste
- Prohibited for hazardous waste under most jurisdictions
D7: Release into seas/oceans including sea-bed insertion
- Not applicable to e-waste
- Generally prohibited internationally
D8: Biological treatment not specified elsewhere
- Not applicable to e-waste
- Organic waste treatment
D9: Physico-chemical treatment not specified elsewhere
- Chemical stabilization, solidification
- May apply to e-waste treatment residues
- Prior to final disposal (often precedes D1 or D5)
D10: Incineration on land
- Thermal destruction without energy recovery
- Distinguish from R1 (incineration WITH energy recovery)
- Rarely used for e-waste (energy recovery preferred)
- May apply to contaminated plastic fractions
D11: Incineration at sea
- Not applicable
- Internationally prohibited
D12: Permanent storage (e.g., emplacement of containers in a mine)
- Not typically used for e-waste
- More common for nuclear or extremely toxic waste
D13: Blending or mixing prior to submission to any operation in Section IV A
- Mixing different waste streams before disposal
- Preliminary operation before D1-D12
- May apply if consolidating e-waste streams
D14: Repackaging prior to submission to any operation in Section IV A
- Changing packaging before disposal
- Preliminary operation before D1-D12
- May apply at transfer facilities
D15: Storage pending any operation in Section IV A
- Temporary storage before disposal
- Not final disposal itself
- Used for consolidation or awaiting disposal capacity
R-Codes (Recovery Operations)
WHAT R-CODES ARE:
- Basel Annex IV B: Recovery operations
- R1-R13: Methods of material recovery and reuse
- Used in Block 17 of notification form
- Preferred over disposal (D-codes)
- Most e-waste exports are for recovery (R-codes)
COMPLETE R-CODE LIST:
R1: Use as a fuel or other means to generate energy
- Incineration WITH energy recovery
- Distinguish from D10 (incineration without energy recovery)
- May apply to plastic fractions with calorific value
- Cement kilns using e-waste plastics as fuel
- Must demonstrate net energy recovery
R2: Solvent reclamation/regeneration
- Not typically applicable to e-waste
- Used for liquid waste streams
R3: Recycling/reclamation of organic substances not used as solvents
- Not typically applicable to e-waste
- Organic waste recovery
R4: RECYCLING/RECLAMATION OF METALS AND METAL COMPOUNDS
- Most common R-code for e-waste
- Recovery of copper, aluminum, gold, silver, platinum group metals
- Smelting and refining operations
- Mechanical separation followed by metal recovery
- Circuit board processing for precious metals
- Iron/steel recovery from casings
R5: Recycling/reclamation of other inorganic materials
- Glass recovery from e-waste (not CRT glass which is hazardous)
- Ceramic materials
- Less common than R4 for e-waste
R6: Regeneration of acids or bases
- Not typically applicable to e-waste itself
- May apply to processing chemicals recovery
R7: Recovery of components used for pollution abatement
- Recovery of catalytic converters, filters
- Not common for consumer electronics
R8: Recovery of components from catalysts
- Not applicable to most e-waste
R9: Used oil re-refining or other reuses of previously used oil
- Not applicable to e-waste
R10: Land treatment resulting in benefit to agriculture or ecological improvement
- Not applicable to e-waste
- Organic waste composting
R11: Uses of residual materials obtained from any of the operations numbered R1-R10
- Using residues from other recovery operations
- Slag from smelting used in construction
- Secondary use of processing residues
- Often combined with R4
R12: Exchange of wastes for submission to any operation numbered R1-R11
- Transfer or trading of waste between facilities
- Preliminary to actual recovery operation
- Broker or trader operations
R13: Accumulation of material intended for any operation in Section IV B
- Storage pending recovery
- Not recovery itself but preliminary step
- Consolidation before processing
- Temporary storage awaiting sufficient quantity
SeeBlock 17: Disposal/Recovery Operationsfor selecting appropriate R-codes.
UN Class Numbers (Dangerous Goods)
WHAT UN NUMBERS ARE:
- Four-digit numbers identifying dangerous goods for transport
- Required if waste classified as dangerous goods
- Used in Block 13 (physical characteristics) of notification
- Also required for dangerous goods transport documentation
- UN Model Regulations harmonize across transport modes
COMMON UN NUMBERS FOR E-WASTE:
UN 3077: Environmentally hazardous substance, solid, n.o.s.
- Most common UN number for e-waste
- Class 9 (Miscellaneous dangerous goods)
- Packing Group III (low danger)
- Applies to hazardous e-waste not better classified elsewhere
- Circuit boards, electronic assemblies, mixed e-waste
UN 3481: Lithium ion batteries contained in equipment
- Electronic devices with installed lithium ion batteries
- Class 9
- Special provisions Section II packaging exceptions often applicable
- Battery capacity limits (100Wh per battery typical threshold)
- Laptops, phones, tablets with batteries
UN 3480: Lithium ion batteries
- Loose lithium ion batteries (not installed in equipment)
- Class 9
- More restrictive than UN 3481
- State of charge limitations
- Separate battery shipments
UN 3090: Lithium metal batteries
- Non-rechargeable lithium batteries
- Class 9
- Stricter requirements than lithium ion
- Less common in modern consumer electronics
UN 2794: Batteries, wet, filled with acid
- Lead-acid batteries
- Class 8 (Corrosive)
- Packing Group II
- UPS batteries, automotive batteries from equipment
UN 2800: Batteries, wet, non-spillable
- Sealed lead-acid batteries (valve-regulated)
- Class 8
- Packing Group III
- Less hazardous than UN 2794
SeeTransport Documentationfor dangerous goods compliance.
OECD Green and Amber Lists
WHAT OECD LISTS ARE:
- OECD Council Decision on waste classifications for trade
- Green List: Minimal controls (general information requirements)
- Amber List: Prior notification and consent required
- Apply to movements between OECD member countries for recovery
- Simplify procedures compared to full Basel
SeeOECD Member Country Proceduresfor detailed OECD classification guidance.
GREEN LIST (APPENDIX 3) - SELECTED E-WASTE RELEVANT:
GC010: Electrical assemblies consisting only of metals or alloys
- Clean metal assemblies without hazardous components
- Sorted metal fractions
- No plastics, glass, or hazardous attachments
GB040: Plastic wastes, provided not mixed and prepared according to specification
- Sorted plastic fractions from e-waste
- Must be single polymer type
- Clean and free of contaminants
- Subject to increasing restrictions (plastic waste amendments)
GG040: Glass waste
- Non-CRT glass from electronics
- Window glass, display covers (non-leaded)
- Must be free of hazardous materials
AMBER LIST (APPENDIX 4) - E-WASTE RELEVANT:
Most unsorted or mixed e-waste falls under amber list:
- Electronic assemblies not meeting green list purity
- Circuit boards with components attached
- Mixed plastic fractions
- E-waste with hazardous components not removed
- Requires full prior notification and consent
Practical Guidance
FOR BLOCK 14 (WASTE CLASSIFICATION):
- Start with Y-code (Y49 or Y31 most common for e-waste)
- Add Annex VIII code if hazardous (A1181 post-2025)
- Or Annex IX code if non-hazardous (though Y49 replaces most Annex IX e-waste codes)
- Specify H-codes that apply (H6.1, H11, H12 typical for hazardous e-waste)
- Include UN number if dangerous goods (UN 3077, UN 3481 common)
FOR BLOCK 17 (OPERATIONS):
- Recovery: Use R4 for metal recovery (most common)
- May add R1 if energy recovery from plastics
- May add R13 if storage/consolidation involved
- Avoid D-codes unless truly disposal (rare for e-waste exports)
- Match operations to facility permit authorization
FOR STREAMLINED PROCEDURES:
- OECD green list = fastest approval between OECD countries
- Requires high purity, sorted materials
- Investment in sorting pays off with simplified procedures
- Mixed/contaminated waste = amber list = full notification required
Common Errors
- Using deleted codes B1110 or B4030 after 2025 (use Y49 instead)
- Not specifying H-codes for hazardous waste
- Wrong R-code (using R1 when R4 appropriate)
- Missing UN number when waste is dangerous goods
- Inconsistent codes across Block 13, 14, and 17
- Using Y-code without corresponding Annex VIII/IX code
- Claiming green list when material doesn't meet purity standards
- Not checking latest code amendments before submission