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Best practices for functioning
of regulatory agencies
Centre for Science and Environment
March 29, 2015
Evolution of environmental legislation
STOCKHOLM CONFERENCE
Stockholm Conference 1972
“ The environment problems of
developing countries are not side
effects of excessive
industrialization but reflects the
inadequacy of development. The
rich countries may worth upon
development as the cause of
environment destruction but to us
it is one of the primary means of
improving the environment for
living or providing food, water ,
sanitation and shelter of making
deserts green and mountain
habitable”.
Hierarchy of legislation
Constitution
Acts
Rules
Notifications
Constitutional provisions
42nd Amendment Constitution, 1976:
48A Directive Principle of State Policy – “State shall endeavor to protect and improve the environment and to safeguard the forests and the wildlife of the country”
51A Fundamental Duties – It shall be the duty of every citizen of India “to protect and improve the natural environment including various lakes, rivers & wildlife and have compassion for living creatures”.
Environmental
Legislations in
India
POLLUTION CONTROL ACTS RULES AND
NOTIFICATIONS IN INDIA(10)
The Water(Preventionand Controlof Pollution)Act, 1974
The Water(Preventionand Controlof Pollution)Cess Act,1977
The Air(Preventionand Controlof Pollution)Act, 1981
The Public Liability Insurance Act, 1991
The NationalGreen TribunalAct, 2010
(01) (02) (03) (04) (05) (06)
(011)
The Rules,1975
(012)
Procedure for Transaction of
Business Rules, 1975
(0111)
• Constitution of Appellate Authority• Delegation of powers to Union Territory (UT)• Central Water Laboratory
(032)(031)
Air Rules,1981
(0311)
• Declaration of air pollution control areas• Constitution of appellate authority• Fee for analysis
Air Rules,(UT)1983
(021)
Cess Rules,1978
(051)
Rules, 1991
The Environmental(Protection) Act, 1986
RULES AND NOTIFICATION UNDER E (P) ACT
E (P) ACT
(O4)
041(Key Rules)
Pollution Control049
Waste (Management and Handling) Rules
E(P) Rules, 1986
• Authorized inspection• Authorized persons to take
sample• Delegation of powers• Emission standards• Ambient noise standards• National ambient air quality
standards• Vehicular emission standards• Handling of azo dyes• Coastal regulation zone• Doon valley regulation zone• Dahanu regulation• EIA notification
Noise Pollution Act, 2000
042 Hazardous waste,1989
043 Bio-medical waste,1998
044 Municipal solidwaste, 2000
045 The BatteriesRules, 2001
Products Chemical and Accidents
044 The OzoneDepletingsubstances, 2000
045 the RecycledPlastics Manufactureand Usage Rules,1999
046 The Bureau ofIndian StandardsCertificationRegulation, 1997
045 Eco-MarkScheme, 1991
046 The Manufacture,Storage and Import ofHazardous ChemicalsRules, 1989
047 The ChemicalAccidents (Emergencyplanning,Preparedness andResponse) Rules,1996
048 The Manufacture,Use, Import, Export,Storage of HazardousMicroorganismsGeneticallyEngineeredOrganisms or CellsRules, 1989
Environmental Regulators
• CENTRAL GOVERNMENT
• STATE GOVERNMENT
• CENTRAL POLLUTION CONTROL BOARD
• STATE POLLUTION CONTROL BOARD/COMMITTEE
INTER AUTHORITY NETWORK
PARLIAMENT
CENTRAL
GOVERNMENT
Concerned Ministry
Central
Board
ACTS
RULESBILL
ACTS
RULES
FORMATION
DIRECTION
FUND
SUPERSEDE
ADVICE
State
Board
State
Government
State
Assembly
INFORMATION
DIRECTION
DIRECTION
FORMATION
DIRECTION
FUND
SUPERSEDEADVICE
BILL
BILLRULES
Major functions of SPCB and CPCB
● Making regulations, and the
regulatory and monitoring
functions
● Data management, information
dissemination and capacity
building of stakeholders
● Planning, execution and advisory
functions
● Research and development
Making regulations, and the regulatory and
monitoring functions
● Making regulations, and the
regulatory and monitoring
functions
● Data management, information
dissemination and capacity
building of stakeholders
● Planning, execution and advisory
functions
● Research and development
Making regulations, and the regulatory and
monitoring functions
● Making rules
● Environmental monitoring
● Consent/authorisation mechanism
● Inspection and compliance
assurance
● Self-regulation, including
environmental audit
● Penal provisions
Data management, information dissemination
● Data generation and management
● Dissemination of information
● Mass awareness programme
● Public participation
● Capacity building of stakeholders
Major functions of SPCB and CPCB
Planning, execution and advisory
functions
● Planning and securing execution
● Advisory functions
Research and development
Report Card – Manpower crunch
While…
• Number of industries have gone up significantly
• Board’s scope of responsibilities has gone up
manifold – more legislations
BUT…
• The number of employees remain unchanged
• Difficulties in attracting right kind of manpower
• Existing technically qualified staff leaving for better
opportunities
Report Card: Manpower crunch
• No or minimal increase in sanctioned positions even though number of industries going up
• In Karnataka PCB, number of sanctioned posts dropped by 6.5 per cent while the number of industries went up by 156 per cent
0
100
200
300
400
500
600
700
800
900
2002-03 2003-04 2004-05 2005-06
San
cti
on
ed
Po
st
0
5000
10000
15000
20000
25000
30000
35000
40000
Nu
mb
er
of
ind
ustr
ies
Sanctioned Post
Number of industries
Report Card: Manpower crunch
14
63
15
0
24
14
66
9
38
25
14
66
8
38
25
14
50
4
38
26
15
56
4
46
21
0
10
20
30
40
50
60
70
GPCB KSPCB MPCB CSPCB WBSPCB
Boards
Perc
en
tag
e o
f vacan
t p
osit
ion
s
2001-02 2002-03 2003-04 2004-05 2005-06
Most state boards have high percentage of vacantposts – difficulty in hiring due to bureaucraticrequirement
Report Card: Manpower crunch
• Not only less manpower, the state boards
also do NOT have right kind of manpower
• Most boards dominated by administrative
staff
52
62
45 4743 4548
38
55 5357
55
0
10
20
30
40
50
60
70
GP
CB
KS
PC
B
MP
CB
CS
PC
B
TN
SP
CB
WB
SP
CB
% Technical and Scientific
staff
% Non technical staff
Report Card: Manpower crunch
Insufficient technical manpower, means
overworked employees
• One technical staff in GPCB is responsible
for as many as 68 industries,
• In case of Maharashtra and Karnataka
board, it is as high as 182 and 142
industries respectively
• On an average, one technical staff in
GPCB is able to give only 4.65 days to
monitor per industry in the state, 2.33 in
KSPCB and 1.66 days in MPCB
Imminent measures
• Hiring should be made easier
• Balance maintained between administrative
and technical staff
• Attractive pay package and incentive
programmes
• Promotion process should be streamlined
• Benefits should be at par with the private
sector
Lack of qualified legal staff
● The CPCB/SPCBs are the prosecuting authorities in
case of pollution control violation, as well as the target of
an increasing number of law suites for failure to enforce
compliance.
● Number of PILs and judicial mandates has grown over
the years, there has been little attention paid to building
legal capacity and training.
● Increasingly difficult for SPCBs to prosecute cases, in
part due to the lack of legal knowledge and enforcement
resources to collect the necessary evidence to convict
polluters.
● At the same time, industry often has the resources – both
legal and financial – to defend against protracted
litigation or to negotiate a favorable settlement.
Report Card: Legal Cases
• Decline in cases filed by PCB– Time consuming
– Low rate of conviction
– Large percentage of pending cases
48
18
76
96
38
55
0
20
40
60
80
100
120
GPCB MPCB OSPCB CSPCB UPSPCB KSPCB
Perc
en
tag
e o
f p
en
din
g c
ases
Quality of manpowerExpert Job profile
Sociologist 1. Assess the socio-economic profile and changes in an area
2. Assess socio-economic impacts on the local community
Environmental statistician 1. For enabling efficient use of statistical tools for better understanding
2. Helping eliminate all possible sources of error in environmental analysis
Economist 1. Performing Cost benefit analysis
2. Bringing an economic perspective to the team of experts by analysis the proposed
policy or regulation.
Software engineer 1. Employing useful software tools to analyze the feasibility or impacts of a project.
2. Updating and building interactive websites
Environmental health expert 1. Assessing environmental health related issues of the region
Spokesperson 1. For clear and efficient communication by the technical team to the rest of the
stakeholders
Occupational Health Expert 1. Assessing Occupational Health hazards by the industries
Forest Manager/Ranger 1. For addressing issued related to forest management
2. Green belt development
Planner 1. For providing a holistic view of techno-socio political construct of the environment in
the region
Experienced environmental advocate 1. For providing legal advice to the technical board
Report Card: Financial Details
• No financial constraint
• During 2005-06, income of various boards
were in crores, especially of boards from
industrialised states - Rs 1397.8 lakhs
(GPCB), Rs 5421.4 lakhs (MPCB), etc.
• Most boards do NOT depend on external
funds
– On an average, 80 per cent of income is from
internal source (water cess, consent fees)
– However, some boards like J&K, North-east are
heavily dependent on funds due to various
reasons
Report Card: Financial details
• Internal fund – Consent fees and water
cess account for major chunk
• In the case of GPCB, the water cess,
consent fee and NOC contribute 69 per
cent of total income
• Rate of consent fees vary from state to
state
• Cess is applicable for some industries so
states which do not have these industries
loose on their revenue
Report Card: Expenditure
• Many of the boards do not even spend 60 per cent of their
resources and thus have surpluses
• MPCB and GPCB were left with a surplus of Rs 25.19 crores in 2005-06 and Rs 22.97 crores in 2004-05 respectively
• Major expenditure is on salary: Very less on monitoring of Industries or capital investment
68.7
22.3
44.4
63.7
23.8
85.9
45.1
0.0
20.0
40.0
60.0
80.0
100.0
GPCB KSPCB MPCB OSPCB CSPCB TNSPCB WBSPCB
Percen
tag
e e
xp
en
dit
ure o
n s
ala
ry
an
d w
ag
es (
%)
Report Card: Expenditure
• Amount spent of monitoring industry is very low
• On average every year, GPCB spends only Rs.
2188 to monitor one industry while MPCB spends
only Rs. 2903,
• This cost also includes travel, accommodation,
sample collection and analysis
• Prior approvals is required before making capital
investments as a result very few have spent on
developing infrastructure
Imminent measures
• Remove the restrictions on spending of the
boards
• Boards need to reassess their spending:
Separate fund for monitoring and inspection
• Water cess: Mandatory for all type of
industries
• Evaluate potential new sources of revenue:
penalties, bank guarantees
Good practices: Advisory
● River pollution: Public protest led to
inventorisation
● SPCB and CPCB advised Government of
India on river quality in India
● Advisory based on detailed technical and
scientific study
● Based on the recommendation:● National River Conservation Direction was set
up to take the remedial action
● Fund was provided by the government
Good practices: Advisory
● Air and water pollution by small scale
industries: public protest and court
intervention
● CPCB did inventorisation and suggestion
for technology improvement
● Government of India accepted the
recommendations
● Impact● Technology transfer
● Loan from banks at low interest
Good practices: Planning
● Protest across the country on environmental and
social impact from industrialisation
● CPCB hired German experts and prepared
zoning atlas
● Zoning Atlas: Accessed pollution load in different
areas, identified areas where least impact, water
and land availability, low chances of public
protest
● Impact
● Appreciated by civil society
● Rejected by government under political
pressure
Good practices: Planning
● Identification of critically polluted areas
● Moratorium on expansion and new industries
● Action plan to reduces the pollution and get
removed from the list
● Opportunity for states to clean up the polluted
sites
● Impact
● Appreciated by civil society
● Rejected by government under political
pressure
Good practices
Consent Management: Case study from MPPCB
● Transparent Consent Mechanism: 07-08
● Presentations on first and third Thursdays of
every month
● Feed back from all the officers - same day –
uploaded on website
● Disposal time reduced from 120 days to 20-30
days
● Any person may attend
● Improved transparency and reduced
corruption
Good practices
Environment Compliance Assistance Centre (ECAC)
● ECAC was established by the Dept of Environment,
Govt of West Bengal and West Bengal Pollution
Control Board
● Being done through regional exchange of innovative
policies and practices with support from the United
States Agency for International Development
(USAID).
● ECAC provides industries with access to a wide
range of information on environmental compliance
and enforcement to assist them in meeting national
and international regulatory requirements and going
beyond with voluntary measures.
● Major focus areas of ECAC is providing support to
small and medium sectors
Good practices
● GPCB set up help desks at all the regional
offices to assist industries in submitting
applications and forms for consent and
authorisation.
● Help desks mainly cater to the small scale
industries: difficult to regulate because of
their sheer number
● Small-scale: run by local heavyweights
and illetrate: face difficulties in filling up
forms and understanding the compliance
procedures
Good practices in data management
• Case study from Gujarat Pollution Control Board
● GPCB started working on a software developed by
NIC (National Informatics Centre) called XGN
(Xtended Green Node)
● XGN makes the functioning of the board
transparent and accountable and has also helped
in speeding up GPCB’s work without recruiting
additional staffs
● GPCB can now keep track of when the consent of
a particular industry would expire, when the last
inspection was conducted or how many times it
has violated the statutory norms.
Good practices in data management
1) Industry profile 9) Hazardous waste
2) Online application module 10) Bio-medical waste
3) Application scrutiny section 11) Legal
4) E-file movement 12) Public grievance
5) Inspection 13) Municipal solid waste
6) Sample analysis 14) Water Cess
7) Accounting 15) General file
8) GPCB/CPCB projects movement
Good practices in data management
Good practices
Online Environmental Management by MPCB
● Maharashtra Pollution Control Board (MPCB) came up
with a facility for online submission of environmental
statement.
● The industries can now fill the Form V concerning
environmental compliance online on the MPCB’s
website.
● The filed data can be filtered by MPCB as per Region,
Industry Type, Sub Industry Type, Industry Category and
Sub Industry Category.
● Is equivalent to a brief audit report filed by industrial units
to provide details of their use of water, fuel, raw material
consumption, hazardous waste generation, emissions
and effluent water treatment.
Good practices
● The online initiative helps MPCB to create a database of
the polluting industries.
● Facilitates easy and prompt calculation of the total
emissions, hazardous waste and effluents.
● Create a complete communication directory with consent
details enabling instantaneous audit of Companies.
● A Red Flag is generated in case of discrepancies
enabling MPCB to take instant action.
● Website also generates quick and instantaneous reports
which include graphical representation of Air, Water and
Hazardous Waste to identify the critically polluted areas
● To check the authenticity of data companies submit an
affidavit along with the data.
Good practices: Inspection
● CCTV cameras are installed at industrial units across
industrial clusters in Gujarat.
● Cameras capture images of emissions from smoke
stacks at industrial units and transfer them through
Digital Video Recorder (DVR) to the regional office of
GPCB.
● The data is then accessed by the regional office using
internet and live feeds of smoke stacks and can be seen
on a LCD-TV installed there.
● The recordings are stored for 30 days
● Surveillance officer at GPCB contacts the person in
charge of the unit through mobile in case of thick
emissions observed from their stack and directs them to
control the emission immediately
Good practices: Inspection
Good practices: Inspection
● The areas of Narol, Saijpur and Ranipur home to above
100 textile units are under this project. They use highly
polluting solid fossil fuels or wood in Boiler or Thermic
Fluid Heater.
● A total number of 29 DVR have been installed which are
connected to 57 cameras that cover 89 stacks of Boiler
or Thermic Fluid Heater in 75 industries.
● One of the limitations of CCTV monitoring is that it can
be done only during daylight hours.
● However, with limited staff in office the system became
helpful for better surveillance and monitoring of air
pollution.
● Yielded positive outcomes by optimizing fuel
consumption and reducing air pollution levels.
National Air Quality Index (NAQI) - India
• NAQI was launched recently in India on April
6, 2015.
• It is tool which uses numbers to simplify and
categorise the air pollution level in the city.
• This index uses six different colour codes to
classify how harmful the pollution in a specific
area is, as - good, satisfactory, moderate,
poor, very poor and severe.
Flaws in the NAQI
• For this system to work efficiently it is important that all the
stations should work properly: out of 28 locations half of them
shows result - “Insufficient data for computing AQI”.
• People don’t know what they should do as precautionary
actions based on pollution levels.
• In fact the government has not planned an aggressive action
plan which tells people what they should do and apart from
this how to combat the problem of air pollution.
• The AQI at present is only for 10 cities, this number needs to
be increased so that the citizens all over the country can know
about the pollution in their area.
Some International good Practices in AQI
Beijing:
• Local government in China are now liable to pay fine if
air pollution level hits critical marks.
• When orange warning signal is issued the polluting
industries are directed to cut down the emission or shut
down completely.
• Construction sites will halt excavation and demolition
operations, and barbeques and fireworks are banned on
heavily polluted days.
PARIS:
• In Paris public transport was made free which resulted in
moving out almost 50 per cent of vehicles from the
roads.
• Lorries were instructed to ply at a speed not more than
20 km/hr.
• On smoggy days drivers are advised to bypass the city
or are not allowed to enter. Apart from this diesel
vehicles are not allowed on smoggy days.
• Vehicles with odd / even number plates are allowed on
alternate days.
Transparency
● Websites
● All have websites but updation is irregular
● Meghalaya: Public hearing details were last updated
in 2011
● Annual report
● Meghalaya: 2011-12
● Assam, AP, Tripura, Nagaland: not on website
● Sikkim: NO information except EIA
● Publication: 1 or 2 have but are very old
● Inventorisation/ study
Capacity building
● No funding
● No staff
● No internal mechanism
Standard operating procedures
● Sweden: Inspector needs to clear a two years course on
how to conduct inspection
● India: Officers are asked to inspect without any training
● Absence of standard operating procedures
● How to do inspection?
● How to grant consent to operate/consent to establish?
● Lack of accountability
CSE’s association with regulators
● Turnaround: A Reform Agenda for
regulators
● Tripartite agreement with MoEF&CC and
CPCB to build capacities of regulators
● Conducted over 14 one-week training
programmes and 8 one month training
programmes for officers of SPCB and
CPCB
● In totality, we have trained around 453
officers of SPCB/CPCB since December
2010
CSE’s association with regulators
● Collaborated with Gujarat Pollution Control
Board and Bihar State Pollution Control
Board
● Contributes to the deliberations on better
environmental governance from time to
time; latest being the Subramanian
Committee where CSE’s
recommendations were acknowledged
● Request from Maharashtra and Tamil
Nadu Pollution Control Board
CSE, SEPA and NEA
• Milestone: CSE collaborated with
Swedish Environment Protection Agency in
2012 and Norwegian Environment agency
in 2014
• The collaboration sought to expose the
regulators to best practices in
environmental governance from developed
countries
CSE, SEPA and NEA
Indian regulators at a
waste co-processing
unit at Langesund,
Norway
Regulators at an e-waste
recycling unit at Norway
Regulators at a pulp and paper mill
at Gothenburg, Sweden
Best Practices on Regulatory Function Under Water and Air
Acts
REGULATION
PROACTIVE
REACTIVECommand
& Control
Catalytic
Norms
Consent
Vigilance
Audit
Technology
Self
Regulation
Best practices from Sweden, US
• Name and shame policy
• Five year planning: target, yearly action
plan- public document
• Specialized person for specialized job
• Information in public domain
• Trust relationship with industry
• Compliance history on website
• Online Public grievance system