Issue IV | May 2015

Waste Management in India: An Overview

Introduction
An inevitable consequence of development and industrial progress is generation of
waste. Therefore, efficient waste management is a matter of international concern and
countries have set up robust regulatory waste management regimes for balancing the
objectives of development and environment sustainability. In India, the National
Environment Policy, 2006 while suggesting measures for controlling various forms of
environmental pollution lays emphasis on the need for collection and treatment systems for
recycling wastes and devising measures for environmentally safe disposal of residues.1 In
India, waste management is governed by various sub-ordinate legislations and the Ministry
of Environment, Forest and Climate Change, Government of India (“MoEF”) in conjunct
with State Pollution Control Boards of different states (“SPCB”) administer the gamut of
waste management regulations. This bulletin aims at providing an overview of the various
rules governing waste management in India and the issues faced in their compliance.

1. Regulatory Regime for Waste Management

Indian waste management rules are founded on the principles of “sustainable

development”, “precaution” (measures should be taken to avoid environmental degradation and
hazards) and “polluter pays” (polluter must bear costs for damages and harm caused to environment by
his own acts). These principles form an integral part of Indian environmental law
jurisprudence, as observed by the Supreme Court of India in various decisions.2 These
principles mandate companies and industrial units to act in an environmentally accountable
and responsible manner and for restoring the balance, if the same has been disrupted by
their business processes. Bearing the essence in mind and the increased levels of waste
generation as a by-product of development, various sub-ordinate legislations for regulating
the manner of disposal and dealing with generated waste are made by MoEF under the
umbrella law of Environment Protection Act, 1986 (“EPA”).

Section 6 empowers MoEF to make rules on a wide array of issues such as standards
for ensuring environmental soundness, allowable limits for emission of environmental
pollutants, manner of dealing with hazardous substances, location of industries and their
functioning, and measures for prevention of environmental accidents and hazards. Specific
forms of waste are the subject matter of separate rules and trigger separate compliances,
mostly in the nature of authorizations, maintenance of records, and adequate disposal
mechanisms. Some rules have specific consequences for breach, while in case of some, the
general penalty under EPA applies which involves imprisonment of person-in-charge
(director, manager, officer of a company with whose consent or connivance the breach occurred) up to 5 years

1 See generally the National Environment Policy, 2006 available at

http://www.tnpcb.gov.in/pdf/nep2006e.pdf (last accessed May 01, 2015)

2 M.C. Mehta v. Union of India AIR 1987 SC 965, Vellore Citizens Forum v. Union of India AIR 1996 SC 2715

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 Issue IV | May 2015

and/or fine up to INR 100,000 (US$ 1574).3 A brief overview of the various rules is
provided below.

1.1 Bio-medical Waste (Management and Handling) Rules, 1998

The Bio-medical Waste (Management and Handling) Rules (“BMW Rules”) regulate
the manner of disposal of bio-medical wastes (“BM Waste”) and provide a detailed
framework for the processes and mechanisms to be followed for their effective disposal. BM
Waste means any waste generated in health care processes like diagnosis, treatment or
immunisation of human beings or animals, research activities concerning production or
testing of ‘biological’4.5 Schedule I further provides categories of BM Waste such as human
anatomical, animal, microbiological and biotechnology, discarded medicines, cytotoxic drugs,
incineration ash, chemical related waste. The BMW Rules are applicable to a wide array of
institutions such as hospitals, nursing homes, clinics, dispensaries, veterinary institutions,
animal houses, pathological laboratories, and blood banks.6 Rule 8(1) requires every
occupier7 of an establishment generating, or dealing in BM Wastes in any other manner, and
of a treatment facility to make an application for authorization from SPCB. The
authorization granted is for 3 years after which it must be renewed. As per the BMW Rules,
every occupier must take all necessary steps to ensure that BM Waste is (i) handled in a
manner not causing any adverse effect to human health and environment, (ii) segregated in
containers at point of generation, (iii) handled and disposed off in accordance with
prescribed standards. Further, as per Rule 5(2), all covered institutions are mandated to
either set up treatment facilities like incinerator, autoclave, microwave system, or to ensure
that all BM Waste is treated at a common waste treatment facility. An annual return has to
be sent in prescribed format by January 31 to SPCB providing details of categories and
quantities of BM Waste handled. There is no specific penalty provided and hence, non-
compliance will invoke general penalty under EPA i.e. imprisonment of occupier up to 5
years and/or fine up to INR 100,000 (US$ 1574).

1.2 The Batteries (Management and Handling) Rules, 2001

The Batteries (Management and Handling) Rules (“Batteries Rules”) was notified
to effect a regulatory mechanism for dealing in and disposal of used lead acid batteries and
their components. The Batteries Rules apply to every manufacturer, importer, re-
conditioner, assembler, dealer, recycler, auctioneer, bulk consumer (like departments,
organisations purchasing more than 100 batteries) and consumer.8 The scope of duties of each type
of entity is provided in detail to ensure collection, recycling, transportation and sale of
batteries. For instance, Rule 10 mandates that all consumers deposit used batteries with
dealer, manufacturer, importer, assembler, recycler, re-conditioner or designated collection

3 US$1 = INR 64 approximately

4 Biologicals is defined under Rule 2(6) to mean any preparation made from organisms, micro-organism,
product of metabolism and biochemical reactions intended for use in the diagnosis, immunisation or the
treatment of human beings or animals or in related research work
5 See Rule 2(5) of BMW Rules
6 See Rule 2(8) of BMW Rules
7 As per Rule 2(8) of BMW Rules, occupier is the person who has control over the institution and its premises
8 See Rule 2 of the Batteries Rules

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 Issue IV | May 2015

centres. Further, bulk consumers are required to file half-yearly returns with SPCB. Rule 6
requires that for importing batteries from other countries for recycling in India, prior
customs clearance must be obtained. Additionally, import of batteries will be allowed only
upon producing valid registration with Reserve Bank of India and MoEF and providing an
undertaking in prescribed format along with a copy of the latest half-yearly return. Non-
compliance with the BMW Rules also attracts punishment under the EPA whereby the
person-in-charge may be imprisoned for up to 5 years and/or fined up to INR 100,000 (US$
15574).

1.3 The E-waste (Management and Handling) Rules, 2011

The E-waste (Management and Handling) Rules, 2011 (“E-waste Rules”) aim at
putting in place an environmentally sound e-waste management system9 by regulating issues
of disposal, import and recycling of e-wastes. The E-waste Rules apply to every producer,
consumer or bulk consumer (including factories under Factories Act) involved in the manufacture,
sale, purchase, and processing of electrical and electronic equipment or components, along
with all collection centres, dismantlers and recyclers of e-waste.10 E-waste is defined under
Rule 3(k) to mean waste electrical and electronic equipment, in whole or part or as rejects in
the manufacturing and repair process which are discarded. As per Rule 4, the producer of
electrical and electronic equipments must obtain authorization from SPCB, and is
responsible for collection of e-waste generated in the manufacturing processes or after end-
of-life as part of extended producer responsibility11, setting-up collection centres, financing
costs involved for recycling, creating awareness, and maintaining records and filings. The E-
waste Rules also delineate the responsibilities of collection centres, consumers, bulk
consumers, dismantlers and recyclers. The rules also provide for the manner of storage,
transportation, recycling of e-wastes, procedure for obtaining registration, maintaining of
records, etc. Non-compliance with the provisions of E-waste Rules may result in
cancellation or suspension of the authorization.

1.4 The Plastic Waste (Management and Handling) Rules, 2011

The Plastic Waste (Management and Handling) Rules, 2011 (“PWM Rules”) set up
a regulatory framework for manufacture, usage and recycling of plastic bags to ensure
management of plastic waste. Plastic waste means any plastic product such as carry bags,
pouches, etc. which has been discarded after use or end-of-life.12 The rules are applicable to
all manufacturers, stockists, distributors, retailers and users of plastic products. Rule 9
mandates every manufacturer of plastic carry bags, multilayered pouches or sachets and
every recycler to seek registration with SPCB. Such registration is valid for a period of 3
years. Further, in order to ensure that price is paid for usage of plastic, Rule 10 states that no
retailer can provide plastic carry bags free of cost. Further, the PWM Rules detail aspects of

9 Environmentally sound e-waste management is taking of all steps required to ensure that e-waste are managed
in a manner which shall protect health and environment against any adverse effects which may result from
hazardous substance contained in such e-wastes
10 See Rule 2 of the E-waste Rules
11 Extended producer responsibility means responsibility of producer beyond manufacturing till

environmentally sound management of their end-of-life products

12 See Rule 3(m) of the PWM Rules

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 Issue IV | May 2015

plastic bags such as thickness, colour, classification into virgin or recyclable or compostable
plastics, and responsibilities of municipal authorities. There is no specific penalty provided
for non-compliance and thus, penalty under EPA will apply as per which the person-in-
charge may be imprisoned for up to 5 years and/or fined up to INR 100,000 (US$ 15574).

1.5 The Hazardous Wastes (Management, Handling and Transboundary

Movement) Rules, 2008

The Hazardous Wastes (Management, Handling and Transboundary Movement)

Rules, 2008 (“HWM Rules”) were framed for regulating generation, storage, reuse,
recycling, import, transportation and treatment of hazardous wastes. India signed and
ratified the Basel Convention, 1992 dealing with transboundary movement and disposal of
hazardous waste. The restrictions on cross-border transportation of hazardous waste for
purposes of recycling as provided in the Basel Convention are incorporated in the HWM
Rules. Rule 2(l) defines hazardous waste as any waste which by virtue of its physical or other
characteristics (described as chemical, toxic, inflammable, reactive, explosive, etc.) causes or can cause
danger to health or environment, either standalone or in combination with other substances.
A list of processes generating hazardous waste is identified in Schedule I which inter-alia
includes industries engaged in petro-chemicals, oil & gas, petroleum, mines and minerals,
zinc, copper, lead based production, textiles, steel, asbestos, electronic, tannery, etc. Every
occupier of a factory under Rule 5(1) is required to obtain authorization from SPCB, and will
be responsible for safe and environmentally sound handling of hazardous wastes generated
in the establishment. As such it is mandated that every occupier must (i) sell hazardous waste
only to a registered recycler, (ii) transport such waste in the manner prescribed, (iii) prevent
accidents, and (iv) increase awareness.13 Further, the occupier has to file annual returns and
maintain records regarding generation of hazardous waste in prescribed forms.

Hazardous waste treatment is a flourishing industry in India and large quantities of

such waste are imported for recycling and treatment. With the objective of regulating illegal
traffic of hazardous wastes, it is provided under Rule 17 that prior permission of Central
Government must be obtained for importing such waste and further, the import must
conform to the shipping details. In the event that the permission is obtained through
fraudulent means or the import results in dumping of waste in breach of Basel Convention
and the general principles of international environmental law (such as sustainable development),
inference of illegal traffic would be drawn. The rules provide for detailed responsibilities for
the concerned parties with respect to recycling, storing, importing, exporting, transporting
and labelling of hazardous waste. Non-compliance vests SPCB with the power to cancel and
suspend the authorization issued.

2. Issues faced by industries

Various practical problems emerge in the implementation of these rules. The

applicable law is spread over a number of rules. These rules mandate separate authorizations
for each scenario. It would have been far easier to adhere with conditions and comply with
applicable law, if a unified legislation was notified and requirement for a single license for

13 See Rule 4 of the HWM Rules

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 Issue IV | May 2015

disposal of different kinds of wastes was put in place. Another issue faced by industrial units
is the unreasonably long time taken by SPCB and its officials to issue or renew
authorizations. Once the application is made, there is no mechanism through which status of
processing of applications can be tracked. More often than not, facilitatory payments are
resorted to obtain permits and this acts as a major disincentive. Further, there is lack of
predictability regarding the regulatory approach of various SPCBs resulting in speculative
risk assessment. Large part of inspection by SPCB is aimed at big industrial units who are
put under constant scrutiny while small and medium enterprises are left to function in a
lackadaisical manner. There is no uniform set of conditions which are imposed under
authorizations for all categories of entities and this results in absence of a nationwide
monitoring mechanism for compliances. There are no reliable statistics on the exact number
of prosecutions and revocations of authorizations, although generally industry intensive
states are more proactive in enforcing the legal mandate. There is also a lack of professional
environmental audit firms specialising in risk assessment involved in setting up business
units at particular places. These all contribute to invoke scepticism in investors.
Furthermore, maintenance of records and filings with SPCB are yet to be adapted into an IT
enabled system and the physical maintenance becomes a mammoth task due to the sheer
volume.

Conclusion
There is an increased focus from regulators towards the need for sustainable
environment and the same is evidenced from the new Companies Act which requires certain
companies to compulsorily carry out corporate social responsibility activities, including
environmental development. In order to avoid adverse consequences such as revocation of
authorization or prosecution, it is advisable that periodic internal audits and checks are
conducted for identifying non-compliances and addressing them efficiently. Further,
compliance with applicable environmental laws works to build brand image and product
value, for acting in an environmentally responsible manner.

Authored by:
Arya Tripathy

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Disclaimer – This bulletin is for information purposes and should not be construed as legal advice. © PSA