DexMetal

Movement Document (Annex V B)

← Back to Supporting Documents

While the Annex V A notification form obtains prior approval for waste movements, the Annex V B movement document accompanies each actual shipment. This document tracks the waste from generator to final disposal facility, creating a chain of custody and providing proof that waste reached its authorized destination. Understanding how to complete the movement document, who must sign it, and when it must be submitted is essential for legal waste movements and closing out notifications properly.

Purpose of Movement Document

LEGAL REQUIREMENTS:

  • Basel Article 4(7)(c) requires movement document to accompany each transboundary movement
  • Links actual shipment to approved notification
  • Provides evidence waste transported and managed as authorized
  • Required for customs clearance in many jurisdictions
  • Separate document required for each shipment under general notification

CHAIN OF CUSTODY TRACKING:

  • Documents transfer of responsibility from generator to carrier to disposer
  • Each party signs acknowledging receipt and acceptance
  • Creates legal record of waste custody throughout movement
  • Demonstrates compliance with notification conditions
  • Facilitates enforcement if mismanagement occurs

NOTIFICATION CLOSURE:

  • Disposer certification on movement document confirms waste received and processed
  • Exporting competent authority needs completed movement documents to close notification
  • Importing competent authority tracks shipments against approved notification
  • Outstanding movement documents may prevent future notification approvals

Annex V B Document Structure

STANDARD BASEL MOVEMENT DOCUMENT SECTIONS:

  • Section A: Notification details (links to approved notification)
  • Section B: Shipment details (quantities, dates, transport routing)
  • Section C: Exporter/Generator certification and signature
  • Section D: Carrier certification and signature (may have multiple carriers)
  • Section E: Disposer/Facility certification and signature
  • Section F: Certification of disposal/recovery completion

NATIONAL VARIATIONS:

  • Some countries use Basel Annex V B form directly
  • Others use national forms incorporating Basel requirements (US EPA, EU Annex VII)
  • National forms may have additional fields beyond Basel minimum
  • Verify which form version importing country requires
  • Electronic systems may replace paper forms in some jurisdictions

Key Movement Document Information

NOTIFICATION REFERENCE:

  • Notification tracking number or reference code
  • Date of notification approval and consent letter number
  • Links movement document to specific approved notification
  • Ensures shipment covered by valid authorization
  • Critical for competent authority tracking

SHIPMENT IDENTIFICATION:

  • Unique shipment number if multiple shipments under general notification
  • Shipment date and expected arrival date
  • Transport mode and routing information
  • Quantity shipped (must be within notification authorization)
  • Number and type of packages

WASTE DESCRIPTION:

  • Must match notification form waste description
  • Basel waste codes (Y-codes and Annex VIII/IX codes)
  • Physical characteristics and packaging
  • UN number if dangerous goods
  • Any discrepancies from notification require explanation or amendment

PARTIES INVOLVED:

  • Generator name, address, contact information
  • Exporter (if different from generator)
  • Carrier(s) with license numbers
  • Importer information
  • Facility name and permit number
  • Must match parties listed in approved notification

Completion and Signature Requirements

EXPORTER/GENERATOR SECTION:

  • Completed before shipment leaves exporting country
  • Certifies waste description accurate and shipment authorized under notification
  • Confirms packaging complies with transport regulations
  • Signed by authorized representative with title and date
  • Exporter retains copy before releasing to carrier

CARRIER SECTION:

  • Carrier signs upon accepting waste for transport
  • Acknowledges receipt of packages and condition
  • Certifies authorized to transport hazardous waste
  • Multiple carrier signatures if intermodal transport (road to sea, etc.)
  • Each carrier responsible for their transport leg

IMPORTER/FACILITY SECTION:

  • Signed upon arrival at receiving facility
  • Acknowledges receipt of waste and condition
  • Notes any discrepancies from shipment description
  • Date of receipt recorded
  • Facility retains original or copy per national requirements

DISPOSER CERTIFICATION SECTION:

  • Completed after waste processing completed
  • Certifies disposal or recovery operation performed as authorized
  • Date of completion and R-code or D-code used
  • Actual quantity processed (may differ slightly from received quantity)
  • Signed by facility authorized representative
  • Critical for notification closure

Document Distribution

DURING SHIPMENT:

  • Original or copy accompanies shipment throughout transport
  • Carrier must have movement document in vehicle/vessel
  • Required for customs clearance at borders
  • Authorities may inspect and verify against notification approval
  • Electronic versions acceptable if jurisdiction allows

AFTER SHIPMENT COMPLETION:

  • Completed original to exporting competent authority (proves shipment closed)
  • Copy to importing competent authority
  • Copy retained by generator/exporter
  • Copy retained by facility
  • Retention period typically 5-7 years per national regulations

TIMING FOR SUBMISSION:

  • Some jurisdictions require submission within 30 days of shipment
  • Final certification section submitted after disposal/recovery completed
  • Facility may have 60-180 days to complete processing and certify
  • Delays in certification submission can affect future notifications

Electronic Movement Documents

ELECTRONIC SYSTEMS:

  • Some countries implement electronic tracking systems
  • EU uses electronic data interchange (EDI) for Annex VII movements
  • Electronic submission may be mandatory in certain jurisdictions
  • Real-time tracking provides better oversight
  • Reduces paperwork and processing time

HYBRID PAPER/ELECTRONIC SYSTEMS:

  • Paper movement document during transport
  • Electronic submission to competent authorities after completion
  • Scanned signed documents uploaded to online portals
  • Common transitional approach

SYSTEM REQUIREMENTS:

  • User registration in electronic system
  • Digital signatures or authentication methods
  • Data field requirements may differ from paper forms
  • Technical support for system access issues
  • Verify system requirements before first shipment

Advance Shipment Notification

SEPARATE FROM MOVEMENT DOCUMENT:

  • Many competent authorities require advance notice before each shipment
  • Typically 3-7 days before shipment date
  • Provides shipment date, quantity, carrier, routing details
  • Allows competent authorities to alert customs and border inspection
  • May be formal notification or simple email depending on jurisdiction

INFORMATION PROVIDED IN ADVANCE NOTICE:

  • Notification tracking number
  • Expected shipment date
  • Quantity and number of packages
  • Carrier information and vehicle/vessel details
  • Border crossing points and estimated transit times
  • Contact information for shipment tracking

Discrepancies and Problems

QUANTITY DISCREPANCIES:

  • If received quantity differs significantly from shipped quantity, investigate
  • Document reason for discrepancy (spillage, reweighing, moisture loss, etc.)
  • Note discrepancy on movement document
  • Small variations (under 5%) generally acceptable
  • Large discrepancies may require incident report to competent authorities

DAMAGED OR REJECTED SHIPMENTS:

  • If facility rejects shipment due to contamination or mischaracterization, document reason
  • Movement document should note rejection and reason
  • Re-import procedures triggered per Article 8
  • Notify competent authorities immediately
  • Original notification may be voided or suspended

TRANSPORT INCIDENTS:

  • Spills, accidents, or delays during transport documented on movement document
  • Incident reports filed with competent authorities per national requirements
  • Insurance claims may reference movement document
  • Cleanup costs and environmental damage tracked

Integration with Basel Notification

CROSS-REFERENCES TO NOTIFICATION FORM:

  • Movement document implements Block 11 (total quantity intended for movement)
  • Tracks against Block 12 (number of shipments)
  • Verifies Block 17 operations actually performed
  • Confirms Block 5 facility actually received and processed waste

SeeSection A: Basel Form Guidefor notification form completion.

GENERAL NOTIFICATIONS:

  • Single notification may cover multiple shipments over 12 months
  • Separate movement document required for each shipment
  • Cumulative quantity tracked against notification authorization
  • Cannot exceed approved total quantity across all shipments
  • Track shipment count against notification limit (e.g., 12 shipments approved)

SeeFinal Authorizationfor general notification management.

Practical Guidance

FOR PREPARING MOVEMENT DOCUMENTS:

  • Create template with standard information pre-filled
  • Complete shipment-specific fields before each shipment
  • Triple-check notification tracking number (errors cause customs delays)
  • Ensure all required signatures obtained before shipment departs
  • Make multiple copies (at least 4: carrier, facility, exporter, authority)

FOR TRACKING DOCUMENT COMPLETION:

  • Maintain spreadsheet tracking all movement documents
  • Follow up with facility for final certification signatures
  • Submit completed documents to competent authorities within required timeframes
  • Keep copies of all submitted documents
  • Note when competent authorities confirm receipt and acceptance

FOR WORKING WITH CARRIERS:

  • Provide carrier with clear instructions on movement document handling
  • Ensure carrier understands signature requirements
  • Verify carrier will surrender document to facility (not lose it)
  • Use experienced Basel carriers familiar with movement document procedures

Common Errors

  • Not completing movement document before shipment (trying to do it retroactively)
  • Wrong notification tracking number linking to incorrect authorization
  • Missing carrier signatures when waste transferred between carriers
  • Facility delays in completing final certification section
  • Not submitting completed documents to competent authorities within required timeframe
  • Quantity on movement document exceeds notification authorization
  • Incomplete waste descriptions not matching notification form
  • Wrong parties listed (carrier not on approved notification)
  • Movement document lost during transport (always make copies before releasing)
  • Using outdated form version not accepted by competent authorities

References

Section: Supporting Docs · Type: reference