Compliance
Monitoring and Reporting
under
E-Waste (Management & Handling) Rules, 2011
By
Anand Kumar
Senior Environmental Engineer
Central Pollution Control Board
05-12-2013
Implementation Status
Generation more than 800000 MTA
Authorized Producer
- 35
Authorized Collection Centres - 76
Dismantler/Recycler
- 98
Dismantling/recycling capacity - 293748 MTA
MTA – Metric Tonne Per Annum
Stake Holders
 Producer
 Bulk Consumer/Consumer
 Collection Centers
 Dismantlers
 Recyclers
 ULBs
 SPCBs/PCCs – Regulator
 CPCB – Regulator for RoHS
 MoEF – Policy Maker
E-Waste (M&H) Rules - 2011 applicability
To Maintain
Record in
Form -2
Filling
Annual
Return in
Form - 3
Authorization
Form-I
Registration
Form-IV
RoHS
Compliance
Individual Consumer
X
X
X
X
X
Bulk Consumer

X
X
X
X
Urban Local Bodies
X
X
X
X
X
Collection Centre



X
X
Producer –offer to
sell



X
Producer - importer



X

Producer Manufacturing EEE



X

Dismantler




X
Recycler




X
Type of Applicant
X = Not applicable

 = Applicable
Producer Compliance Monitoring
Authorization for
Responsibility’ (EPR)
Managing
‘Extended
Producer
 Apply to SPCBs/PCCs concerned in Form – I
 Model Authorization
Setting up collection centres or take back systems
Creating awareness
Maintaining records in Form – 2
Filing annual returns in Form -3
Bulk Consumer Compliance
 Channelization of E-Waste generated to authorized collection
centers or registered dismantlers or recyclers or is returned to
pick-up or take back services provided by the producers
 Maintaining records in Form – 2 for inspection by SPCBs/PCCs
Collection Centers Compliance Monitoring
 To obtain an authorization
 To ensure secure storage
 To ensure safe transportation of e-waste
 To maintain records in Form 2
 To file annual returns in Form 3
 The storage capacity of any collection centre should be
commensurate with available area, volume of operations
(in weight) and type of E-waste.
Calculation of space:
Cell phone – 1.0 m3/tonne
Telephone – 2.5 m3/tonne
Stereos – 7.0 m3/tonne
Monitor – 5.0 m3/tonne
Computers – 4.0 m3/tonne
TV – 6.5 m3/tonne
Fridge – 10 m3/tonne
Washing machine – 7.5 m3/tonne
Air conditioner – 6.0 m3/tonne
Collection Centers Compliance Monitoring
Contd…..

Collection centre should be secured with boundary wall and security
personnel

Both sheds and open spaces with impervious flooring can be permitted for
storage of E-waste (IT and TE waste)

Refrigeration/washing machines/air conditioners can be permitted for
storage in open space

Containers of appropriate size and shapes should be

Containers can be made of either wood or plastic or mild steel or any
appropriate material with sufficient strength and shapes (top-open
containers, caged, boxes etc) for holding the e-waste.

These containers should be placed in such a way that there should be
adequate space for movement of man and material.

The collection centre where white goods like refrigerator and air
conditioners are also stored should have adequate facilities for
handling/arresting leakage of compressor oils, CFCs/HCFCs if any.
Collection Centers Compliance Monitoring
Contd…..
Collection Centers Compliance Monitoring
Contd…..
Questionnaire for Inspection
Whether the collection centre has an MOU/agreement with a
dismantler or a recycler?
Whether the area is adequate for the quantity requested?
Whether the e-waste are kept properly in designated area?
Whether the floor is impervious or not?
Questionnaire for Verification
How much quantity collected in a year? Whether within limit
prescribed?
 Whether period of storage is within the stipulated period or not?
Whether transferred to dismantler/Recycler and how much?
Whether the records are maintained properly?
What is the overall condition of housekeeping?
Dismantler Compliance Monitoring
 To obtain authorization and registration (Form 1 & Form 4)
 To ensure proper storage and transportation of e-waste
 To ensure proper facilities of dismantling
 Proper dismantling of e-waste
 No processing of dismantled waste for recovery and/or refining
 To make available all records to the CPCB or SPCB/PCC for
inspection
 To ensure proper disposal of non recoverables/non-recyclable
residue to Treatment Storage Disposal Facility (TSDF)
 To file annual returns in Form 3
Dismantler Compliance Monitoring
Contd…..
Dismantlers can perform the following operations
 Decontamination
 Manual dismantling using appropriate tools, PPEs and dust
control equipment.
 Hammering
 Shredding
 Segregation and
 Specialized separation processes
CRT cutting into funnel and panel including removal of
phosphor coating from the panel as well as lead paste binding
the panel with the funnel.
Dismantler Compliance Monitoring
Contd…..
The premise for dismantling operation should fulfill the following requirements:
Weather proof roofing and impermeable surfaces with spillage collection facilities,
decanters, degasser and degreasers
Appropriate storage for dissembled spare parts
Appropriate containers for storage of batteries, capacitors containing PCBs or PCTs
1.
Spillage collection facilities include the impermeable pavement and sealed
drainage system.
2.
Spill kits to deal with spillages of oils, fuel and acids should be provided and
used as appropriate.
 Fine grinding, gravity separation/magnetic/density/eddy/current/electromagnetic
separators shall not be employed by dismantlers.
 Dismantlers shall not be doing fine grinding/wet shredding/wet grinding
operations, chemical leaching or heating process or melting the materials.
 Dismantlers shall not shred segregated LCDs.
Dismantler Compliance Monitoring
Contd…..
1. Dismantled circuit boards, CRTs, capacitors, batteries,
capacitors containing PCBs (Polychlorinated biphenyls)
or PCTs (Polychlorinated ter phenyls)etc shall not be
stored in open
2. The dismantler shall not discharge any process
wastewater except workers utilities and re-circulated
machine cooling water.
Dismantler Compliance Monitoring
Contd…..
Questionnaire for Inspection
Whether the dismantler has an MOU/agreement with recycler?
Whether dismantler has adequate facilities for dismantling?
Whether dismantler has proper de dusting system?
 Whether dismantler has marked the operational area and
storage area?
Whether the area is adequate for the registered quantity ?
Whether well equipped for emergency like fire/accident etc?
Whether dismantler is running the pollution Control devices?
Whether he is taken TSDF membership?
Whether records are maintained properly?
Whether returns have been filed?
Dismantler Compliance Monitoring
Contd…..
Questionnaire for Verification
 How much quantity dismantled in a year?
 Whether within limit prescribed?
 Whether proper entry in the pass book has been made?
 Whether dismantled material transferred to Recycler and how
much?
 Whether the records are maintained properly?
 To verify whether APC devices were running or not ask for electricity
bills.
 Whether form 13 of HW (M , H & TM) Rules are maintained for
transporting waste to TSDF?
 What is the overall condition of housekeeping?
Recycler Compliance Monitoring
 To Obtain an authorization and registration under
rules 9 and 11 (From 1 & Form 4)
 To have recycling facilities in accordance with the
standards or guidelines published by the Central
Pollution Control Board from time to time
 To maintain records in Form 2
 Ensure that residues generated thereof is disposed of
in the treatment and storage disposal facilities
 File annual returns in Form 3 to the State Pollution
Control Board
Recycler Compliance Monitoring
Contd…..
 A recycling facility shall have ETP and APC devices
The following processes can be employed by recyclers ;








Manual / semi-manual / automatic dismantling operations
Shredding / crushing / grinding / enrichment operations
Pyro-metallurgical operations - Smelting furnace
Hydro metallurgical operations
Electro-weaning
CRT cutting
Toner cartridge recycling
Melting, casting, molding operations (for metals and
plastics)
Recycler Compliance Monitoring
Contd…..
Questionnaire for Inspection
Whether recycler has adequate facilities for dismantling and
recycling?
Whether ETP and APCDs are adequate ?
 Whether operational area and the storage area has been
marked?
Whether the area is adequate for the registered quantity ?
Whether well equipped for emergency like fire/accident
etc?
Whether recycler is running the pollution Control devices?
Whether he is taken TSDF membership?
Whether records are maintained properly?
Whether returns have been filed?
Recycler Compliance Monitoring
Contd…..
Questionnaire for Verification
 How much quantity recycled in a year?
 Whether within limit prescribed?
 Whether proper entry in the pass book has been made?
 Whether the records are maintained properly?
 To verify whether ETP & APC devices were running or not ask for
electricity bills.
 Whether form 13 of HW (M , H & TM) Rules are maintained for
transporting residue to TSDF?
 What is the overall condition of housekeeping?
Compliance Mechanism/Reporting
National Level Enforcement
Ministry of Environment & Forests
Consumer
Verification
Verification
Regulator - SPCB
Verification
Authorization
EPR compliance
authorization
Urban Local Bodies
Registration
EST Compliance
Collection Center
Individual /
Common
Recycler / Dismantler
PRODUCER
Bulk Consumer
Authorization & MoU
Take-back
Compliance
Reporting
RHOS
Compliance
Report
CPCB
EST
Guidelines
Informal Sector,
Refurbishes,
collection bins,
mobile units etc.
Thanks
E-Waste Management – Registered Recyclers/Dismantler
S.No
1
2
3
4
5
6
7
8
9
10
11
12
State
Andhra Pradesh
Chhattisgarh
Gujarat
Haryana
Karnataka
Maharashtra
MP
Rajasthan
TN
Uttrakhand
UP
West Bengal
Total
No. of
Registered
Unit
Capacity in MTA
2
1
6
7
27
18
1
6
11
3
15
1
98
11800
900
17431
18700
23080
21680
6000
65130
38927
22150
70350
600
293748
E-Waste Management – Authorization to Producers
S.No
1
2
3
4
5
6
State
Andhra Pradesh
Delhi
Karnataka
Maharashtra
Rajasthan
UP
Total
EPR Authorization
Issued
3
12
16
2
1
1
35
Regulator