E-WASTE POLICY & REGULATIONS. Dr Lakshmi Raghupathy GIZ

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2 E-WASTE POLICY & REGULATIONS Dr Lakshmi Raghupathy GIZ

3 -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

4 EU - SWITCH ASIA PROJECT 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!!!!!

5 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 E-waste value chain E-WASTE COLLECTION REFURBISHMENT REUSE RECYCLING DISMANTLING SEGREGATION METALS RECYCLING & RECOVERY PLASTICS GLASS ACTIVATED/ NON-ACTIVATED 6

7 TOWARDS E-WASTE REGULATIONS 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 MAIT-GTZ Study Guidelines for Environmentally Sound Management of E-waste released by CPCB Stakeholder consultations on Guidelines and draft Rules on E- waste (Mumbai, Delhi, Chennai and Bangalore) Draft Rules on E-waste Management submitted to MoEF - by GTZ, Greenpeace, MAIT and Toxics Link Draft Rules on E-waste (Management & Handling) Rules notified by MoEF E-waste (Management & Handling) Rules,2011 notified by MoEF

8 POLICY & REGULATIONS ON E-WASTE 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

9 THE NATIONAL ENVIRONMENTAL POLICY 2006 (NEP) 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 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

10 NATIONAL REGULATORY REGIME 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!!!!

11 E-WASTE GUIDELINES 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!!!!!!.

12 FROM GUIDELINES TO RULES 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.

13 E-WASTE (M&H) RULES, 2011 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

14 SPECIAL FEATURES OF E-WASTE RULES 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

15 SALIENT FEATURES OF E-WASTE (M&H) RULES, 2011 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

16 SALIENT FEATURES OF E-WASTE (M&H) RULES, 2011 (cond..) 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

17 EXTENDED PRODUCER RESPONSIBILITY 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

18 EXTENDED PRODUCER RESPONSIBILTY 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.

19 What is a Producer Responsible Organization? The Producer Responsible Organizations is an independent organization PRODUCER RESPONSIBLE ORGANIZATION (PRO) 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

20 COLLECTION CENTRES 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

21 SETTING UP COLLECTION SYSTEM PRODUCER RESPONSIBLE ORGANIZATION PRODUCERS GOVT & LOCAL BODIES COLLECTION CENTRES/ AGENCIES REGISTERED RECYCLERS

22 STAKEHOLDER RESPONSIBILTIES 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.

23 COMPLIANCE REQUIREMENTS CONSENT FOR ESTABLISHMENT (CFE ) DISMANLERS & RECYCLERS CONSENT FOR OPERATION (CFO) AUTHORIZATION (Form 1) RECORDS (FORM 2 ) RETURNS (FORM 3) REGISTRATION (Form 4 ) 23

24 UNDERSTANDING COMPLIANCE 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

25 COMPLAINCE PROCEDURE 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 30 th 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

26 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.

27 COMPLIANCE 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.

28 CHALLENGES 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

29 ENSURE COMPLIANCE To bring informal recyclers in the regulatory net 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

30 FACILITATE COMPLAINCE Educate informal recyclers about policy Implications 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

31 EXERCISES Documentation & Maintenance of records etc.. 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

32 EXERCISES Need for filling up forms by the informal sector. 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.

33 EXERCISES & INTERACTIVE SESSIONS Assessment of effectiveness of the training through evaluation & feedback 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?

34 EXERCISES Recap & Refresh 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

35 THANK YOU Any Questions/Comments? Dr Lakshmi Raghupathy