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E-WASTE POLICY & REGULATIONS
Dr Lakshmi Raghupathy
GIZ
E-WASTE POLICY &
REGULATIONS
EU – SWITCH ASIA Project
Title: Establishing E-waste Channels to Enhance
Environment Friendly Recycling
Locations: Bangalore, Delhi, Kolkata and Pune
Duration: January 2010 – December 2013
Partners: ▸ GIZ – Advisory Services in Environmental
Management (ASEM) (applicant)
▸ Toxics Link (TL)
▸ Manufacturers’ Association of Information
Technology (MAIT)
▸ Adelphi Research
E-WASTE POLICY & REGULATIONS CONTENT
What are the objectives of this training? What is the role of SMEs in e-waste value chain?What are the policies & regulations for e-waste mgt?What are e-waste guidelines & when and how to use ?Why do we need e-waste rules?What are main features of the rules How to comply with the regulations?What are the advantages of compliance?Exercises – filling forms!!!!!
EU - SWITCH ASIA PROJECT
OBJECTIVES OF THE TRAINING
What are the objectives of the training programme?
The main objectives of the training module are to provide:
Understand policy & regulations applicable for e-waste
Implications of policies and regulations on their activities
How to become formal e-waste recyclers
Understanding the mandatory requirements for handling and
recycling e-waste.
How to comply with the e-waste rules.
What are various Forms to be submitted?
How to fill various formats ?
EXERCISES!!!!!!
Rules made easy ……………….
6
RECYCLING
REFURBISHMENT
RECYCLING & RECOVERY
REUSE E-WASTECOLLECTION
DISMANTLING
SEGREGATION
METALS PLASTICS
GLASSACTIVATED/
NON-ACTIVATED
E-waste value chain
2004 - National Level Workshop resulted in maneuvering the ‘Way
Forward’ for proper e-waste management system thru steps:
• Assessment, Capacity Building & Awareness
• Stakeholder Engagement
• State-of-Art Recycling Facilities
• Legislative Framework with EPR and RoHS
2007- MAIT-GTZ Study
2008 - Guidelines for Environmentally Sound Management of E-waste
released by CPCB
2008-9 - Stakeholder consultations on Guidelines and draft Rules on E-
waste (Mumbai, Delhi, Chennai and Bangalore)
2009 - Draft Rules on E-waste Management submitted to MoEF - by
GTZ, Greenpeace, MAIT and Toxics Link
2010 - Draft Rules on E-waste (Management & Handling) Rules notified
by MoEF
2010 - E-waste (Management & Handling) Rules,2011 notified by MoEF
TOWARDS E-WASTE REGULATIONS
What are the national policies & regulations?
Policies, laws and regulations applicable for the management
of e-waste are :
The National Environmental Policy 2006
The Environment (Protection) Act 1986
The Hazardous Wastes (Management and
Handling) Rules 1989 as amended in 2003 & 2008
The E-waste (Management and Handling)
Rules, 2011
POLICY & REGULATIONS ON E-WASTE
What is NEP and how does it help in e-waste management ?A comprehensive policy published by the Ministry of Environment &
Forests that was approved by the Union Cabinet on 18 May 2006.
NEP lays stress on:encourage reuse and recycling
strengthening informal sector and providing them a legal
status
establish system for collection and recycling of materials to
recover resources
environmentally safe disposal of residues
new rules for ESM
THE NATIONAL ENVIRONMENTAL
POLICY 2006
(NEP)
Why do we need e-waste rules ?
E-wastes regulated under Hazardous Wastes (M&H) Rules, 1989 as
amended in 2003 & 2008 and are categorized as:Waste generated in electronic industry - Schedule 1 (rule-31).
Schedule 2 contaminations beyond the prescribed threshold limits
applicable for qualifying as hazardous waste.
All e-waste is hazardous !!!!!!
Recycle or dispose?
No collection system – shortage of material for recycling !!!!
NATIONAL REGULATORY REGIME
First step towards e-waste Management - The “Guidelines for
Environmentally Sound Management of E-waste” published in
March 2008 by the Government of India in March 2008 – a major
milestone for E-Waste Management System for India.
The objectives of the guidelines
The main objective of these guidelines is to provide guidance for
identification of various sources of waste electrical and electronic
equipments (e-waste) and prescribe procedures for handling e-
waste in an environmentally sound manner.
The ‘guidelines’ is a reference document for the management,
handling and disposal of e-wastes and are intended to provide
guidance and broad outline.
Not mandatory requirement !!!!!!.
E-WASTE GUIDELINES
Why do you want rules?
E-waste recycling, mostly takes place in the informal sector – not aware
of basic environmental norms ----Violations!
NEP has the provision for legal recognition and strengthening of the
informal sector for collection and recycling of various materials. In
particular enhance their access to institutional finance and relevant
technologies.
The Environmental Protection Act –1986, has provisions to make rules
Separate rules for e-waste would provide for the effective control on the
e-waste channels and its recycling activities.
The unanimity amongst stakeholders recommended separate rules
which led to the evolution of the e-waste rules.
FROM GUIDELINES TO RULES
E-waste (Management & Handling) Rules 2011
notified under the Environment (P) Act, 1986
Objective – To put in place an effective mechanism to regulate the
generation, collection, storage, transport, import, export,
environmentally sound recycling, treatment and disposal reducing
wastes destined for final disposal.
Mandatory provisions – Extended Producer Responsibility (EPR),
Collection System and Registration of Recyclers and Reduction in the
hazardous substances (RoHS).
Non-compliance – punishable under E(P)Act, 1986
E-WASTE (M&H) RULES, 2011
What are the distinct features of e-waste rules and benefits ?
EPR/IPR - Extended/Individual Producer Responsibility
- e-waste flow for recycling
Collection System for e-waste - e-waste availability
No auction of e-waste - to be given only to registered
recyclers
RoHS - Reduction in hazardous substances used in
Electrical and electronic equipments - in line with the
international regime safe for recycling
Guidelines published by CPCB Linkages to rules -
guidance for handling
SPECIAL FEATURES OF E-WASTE
RULES
The major Sections of the E-waste (M&H) Rules, 2011 are
divided into Chapters where in specifics are prescribed in
rules:Chapter I – General includes applicability and definitions of the
terminologies used in these rules
Chapter II – Responsibilities of each stakeholder
Chapter III – Procedures for seeking Authorization and Registration
for handling e-waste.
Chapter IV – Procedure for Storage of e-waste
Chapter V – Reduction in Hazardous Substances (RoHS)
Chapter VI – Miscellaneous includes the Import/export, Annual
Report, Transportation of e-waste, Accident reporting and Appeal
SALIENT FEATURES OF E-WASTE
(M&H) RULES, 2011
•The E-waste (M&H) Rules, 2011 include 3 Schedules
and 4 Forms prescribed for submission of information:
Schedule I – E-waste Categories
Schedule II – RoHS exemptions
Schedule III – List of Authorities & their duties.
Form 1 – Authorization
Form 1(a) – Grant of Authorization
Form 2 – Record maintenance
Form 3 – Returns filing
Form 4 – Registration recyclers
SALIENT FEATURES OF E-WASTE
(M&H) RULES, 2011 (cond..)
What is Extended Producers Responsibility(EPR)? &
How does it influence e-waste policy?
Extended Producer Responsibility – Producer of E&E equipments is
responsible for :
Collection and channelization - of e-waste generated in
manufacture and ‘end of life’ of their product
Establishment of collection centres and take back system for end
of life equipments collectively or individually
Financing and organizing system for collection and channelization
of e-waste to registered recyclers.
Create awareness - publications & information dissemination.
Obtain Authorization from SPCB/CC
Maintain Records & File Annual Returns
EXTENDED PRODUCER
RESPONSIBILITY
What is Extended Producer Responsibility (EPR)?
‘extended producer responsibility‘ (EPR) means responsibility of any producer
of electrical or electronic equipments, for their products beyond the place of
manufacture to other phases of its life cycle, in particular, the collection and
‘end of life management’ of such products in an environmentally sound manner.
What is Individual Producer Responsibility (IPR)?
‘Individual producer responsibility’ (IPR) means the responsibility of producer
for its own products through the products’ entire life cycle including the
collection and ‘end-of-life management’ for its own branded electrical or
electronic equipments and its own branded historical waste.[Take-back system]
What is Collective Producer Responsibility (CPR)?
‘Collective Producer Responsibility’ (CPR) means the responsibility of producer,
manufacturer, importer and other stakeholders come together as a consortium
and establish an organization to take the responsibility of the end-of-life
disposal of products manufactured, imported or assembled by them. This
organization, may called the designated as ‘Producer Responsibility
Organization (PRO)’ and will be responsible for collection and channelization of
e-waste for environmentally sound recycling.
EXTENDED PRODUCER
RESPONSIBILTY
What is a Producer Responsible Organization?
The Producer Responsible Organizations is an independent organization
operating for the ‘Collective take-back’ mechanism. This is a direct
consequence of the response of the manufacturers and importers of IT products
to collectively meet their take-back obligations.
[In Europe it is essentially not-for-profit in character, founded and managed by the
industry operate with the support of national authorities.]
Responsible Management by PRO from cradle to cradle
• Takes on the producers’ legal obligations
• Manages the data collection and reporting
• Negotiates contracts with operators – transporters, recyclers
• Arranges logistics and recycling
• Manages the financing
• Maintains the audit trails
PRODUCER RESPONSIBLE ORGANIZATION
(PRO)
What are the mandatory requirements to establish collection Centres?
Collection Centres Options
Collection Centres established individually by producers under the
take back/ buy back scheme
Collection centers set by producers in collaboration with any other
stake holder
Producer Responsible Organization (PRO) – an independent
agency formed to facilitate in the establishment of the collection,
safe storage and transportation.
Recyclers can also establish collection centres.
Mandatory requirements for collection centres
All those engaged in the collection of e-waste are required to obtain
authorization
They have to maintain records and file annual returns
COLLECTION CENTRES
SETTING UP COLLECTION SYSTEM
COLLECTION CENTRES/
AGENCIES
PRODUCERS
GOVT & LOCAL BODIES
PRODUCER RESPONSIBLE
ORGANIZATION
REGISTERED RECYCLERS
Identify the responsibilities of the recyclers under
e-waste rules explain the need for compliance
Responsibility of Recyclers
All e-waste recyclers require Consent for Establishment (CFE) of
the units
Once the unit is ready apply for Consent for Operations (CFO)
All e-waste recyclers are required obtain Authorization
Registration of recyclers is mandatory for dismantling and/or
recycling of e-waste – recycler to seek registration – procedure
prescribed in rules
Registration is granted subject to:
conditions laid down.
use of Environmentally Sound Technologies
safe disposal of the waste generated are mandatory.
STAKEHOLDER RESPONSIBILTIES
23
COMPLIANCE REQUIREMENTS
DISMANLERS & RECYCLERS
CONSENT FOR ESTABLISHMENT
(CFE )
CONSENT FOR OPERATION
(CFO)
AUTHORIZATION
(Form 1)
REGISTRATION(Form 4 )
RECORDS
(FORM 2 )
RETURNS
(FORM 3)
What are the Procedures to be followed for compliance?
Authorization: Producers, collection centres/agencies, dismantlers and
recyclers require Authorization from the concerned State
Pollution Control Board/ Committee under e-waste rules.
• Form 1 – Application for seeking Authorization
Maintaining Records:
• Form 2 – Maintaining Records
Filing Returns:
• Form 3 – Filing Returns
Registration as dismantlers /recyclers: Recyclers and dismantlers are
required to obtain Registration from the concerned State Pollution
Control Board/ Committee under e-waste rules.
• Form 4 – Application for Registration of dismantlers and recyclers
UNDERSTANDING COMPLIANCE
What are the requirements for authorization compliance?
9. Procedure to grant Authorization(1) Require to obtain an authorization from the concerned SPCB/PCC
(2) Make an application in Form 1 to SPCB/PCC for grant of authorization;
If authorised under the Hazardous Wastes (M, H and T) Rules, 2008, prior to
coming into force of these rules –apply on expiry of the authorization;
(3) SPCB/PCC to grant authorization within 120 days an authorization in
Form-1(a) valid for 5 years.
(4) SPCB?PCC shall refuse authorization (applicant being heard).
(5) Authorized person to maintain record in Form-2 and submit annual returns in Form
3 by 30th June every year
(6) Application for the renewal of authorization in Form-1 at least 2 months before its
expiry of authorization
(7) To take all steps to comply with conditions of authorization.
(8) SPCB/PCC to maintain info on conditions imposed- open for inspection to any
person interested or affected
10. Power to suspend or cancel an authorization.-(1) SPCB/PCC may suspend/cancel authorization -
(2) SPCB/PCC to give direction upon suspension or cancellation of the authorization
COMPLAINCE PROCEDURE
What are the requirements for registration under compliance?
11. Procedure for grant registration. –(1) Apply for grant/renewal of Registration in Form-5 in triplicate to SPCB/PCC
(i) consent to establish SPCB/PCC Water Act 1974; Air Act 1981;
(ii) Registration certificate of District Industries Centre;
(iii) Proof of installed capacity issued by District Industries Centre;
(iv) Renewal - certificate of compliance effluent/emissions treatment disposal of hazardous wastes.
No application required if registered under HWR, 2008 till the expiry of registration;
If not registered under HWR, 2008, follow the procedure in sub rule (1) above.
(2) SPCB, to grant registration if:
Using environmentally sound technologies and possess technical capabilities
Has facilities & equipment to process e-waste
stipulate conditions as deemed necessary for safe operations
(3) SPCB to issue registration within 90 days from the date of receipt of complete application.
(4) Registration valid initially for 2 years and thereafter for 5 years upon renewals, unless registration
suspended/cancelled
(5) SPCB may refuse registration after giving reasonable opportunity of being heard to the applicant
(6) SPCB to monitor compliance of conditions stipulated for granting registration.
(7) SPCB may suspend registration granted, if recycler has failed to comply with conditions of
registration.
(8) Renewal application - at least 2 months before expiry SPCB to renew after due consideration.
(9) Dismantler/recycler to maintain records in Form 2. File annual returns in Form 3 to SPCB by 30 June
every year
(10) Central Government and Central Pollution Control Board to issue guidelines from time to time.
COMPLAINCE PROCEDURE
What are the storage requirements under compliance?
12. Procedure for storage of e-waste.-
(1) Every producer, collection centre, dismantler or recyclers may store the e-
waste for a period not exceeding one hundred and eight days and shall
maintain a record of collection, sale, transfer, storage and segregation of
wastes and make these records available for inspection:
Provided that the State Pollution Control Board may extend the said period in
following cases, namely:
(i) Collection centers who do not have access to any registered dismantling
or recycling facility in the concerned state; or Dismantlers and Recyclers up
to their annual capacity for one year ; or
(ii) The waste which needs to be specifically stored for development of a
process for its recycling, reuse.
COMPLIANCE PROCEDURE
To bring informal recyclers in the regulatory net
Educate informal recyclers about policy implications
Documentation & Maintenance of records etc. Need for filling up forms by the informal sector
Assessment of effectiveness of the training through evaluation & feedback
Recap & Refresh
CHALLENGES
ENSURE COMPLIANCE
How do we bring the informal recyclers in the regulatory
net?Explain to them the implications of the rules in simple and
lucid language
Make them understand the benefits of compliance
Build confidence in them that the regulations would facilitate
to legalize their activity
Educate them on the possibilities of their growth prospects
Use oral communication Do not use any power point
presentations
To bring informal recyclers in the regulatory net
FACILITATE COMPLAINCE
How to facilitate to understand compliance requirements?
Explanation of the Policy implications and legislative
requirements etc.
Introduction to the Role of the organization in the legal framework
Interpretation of the Policies and regulatory frame work
Development of explanatory documents on the policy and
regulatory requirements such as the consents, authorization and
registration etc., that are required for compliance and reading it
out to them
Educate informal recyclers about policy Implications
EXERCISES
How do we help the informal recyclers with compliance requirements with documentation?
Identification of forms required for documentation, maintain
records and filing returns etc. by the informal recyclers
Prepare the Formats in local language
Help them understand why and when they are required to fill
each of the forms
Explain the information to be provided
Build confidence in them to provide correct information
Documentation & Maintenance of records etc. .
How do we help the informal recyclers with compliance
requirements with documentation?
Select the forms required to be filled by informal sector
Consent for Establishment/Operation, Authorization,
registration, maintenance of records and filing of returns
Prepare the Formats in local language
Help them understand the contents of the formats
Provide step-by-step instruction on how to fill the forms
Help the recyclers in filling up the forms etc.
EXERCISES
Need for filling up forms by the informal sector .
How much have they understood compliance requirements?
Hold Informal Discussions for understanding the regulations
Provide a basic flowchart on how to proceed step-by-step
Interact/share learning's and experiences of other partners
Clarify any queries/apprehensions on legal implications
Clarify - Why are we interested in compliance?
- How will their activities will change with compliance?
- How they will be benefitted by compliance?
EXERCISES & INTERACTIVE SESSIONS
Assessment of effectiveness of the training through evaluation & feedback
Clarify & Recap the exercises with Local trainers
Clarify – Why this is required?
Why are they the chosen ones?
How do they would bring about the Multiplier effect?
Recap – through a short quiz be conducted to recap the
compliance requirements
Explain the above by citing examples from different cities
and other project partners
EXERCISESRecap & Refresh
