EPR Authorisation - All that you need to know

Waste is a general term accoladed to any item which has reached its end of life. Shockingly, millions of tonnes of waste, including e-waste, plastic, battery, and tyre, are produced in India every year. Unfortunately, much of this waste is dumped for dismantling and recycling in informal sectors with no regulations. Deonar, Ghazipur, Gorai, Seelampur and Okhla are some of the significant dumping sites in some metropolitan cities in India. However, this scrap is not an actual waste for some. Nearly 50,000 people scrape out a living extracting metals from this waste. But then the question arises who is responsible for sound waste management in India?

The environmental damage from the waste can generally arise from the auxiliary substances used in the recycling process, the hazardous elements contained in the products, or the byproducts so generated after processing the waste. To tackle the problem, the government introduced the Extended Producer Responsibility (EPR) that mandated the item producer to take responsibility from scratch to end. The producer includes the importer, brand owner (PIBO), manufacturer and refurbisher. To fulfil the obligation, it is mandated to obtain the EPR Authorisation for waste management from CPCB. Read on to know the complete details.

EPR Policy In India

India is actively trying to improve its Waste Management policies by learning from successful models implemented by other nations. Being a member of the Basel Convention and a signatory to international conventions, the country felt a dire need to develop a defined SOP for recyclability and reusability. Thus, the EPR Policy in India came into the picture. Based on the Polluter’s Pays Principle, the policy shifted the burden of waste management in India from the government to the PIBOs. Soon enough, Plastic, Tyre, Battery, E-Waste, and now even oil waste processors and recyclers used this responsibility as an opportunity. Allowing hefty discounts on purchasing new items, helping the government to earn more GST, bringing business to bulk consumers and benefiting recyclers are some of the salient features that left PIBOs with no choice but to obtain an EPR authorisation. Given these points, India made waste management a profitable and lucrative business. Thereby encouraging a circular economy by enacting laws and EPR policy.

A brand Owner is a person or an entity who sells any item under a registered trademark/brand label

EPR Authorisation for Plastic Waste Management

SOPs for Registration of PIBOs under Plastic Waste Management (PWM) Rules, 2016, as amended

According to the PWM Rules, EPR plastic waste packaging in India is entrusted to the PIBOs who place the products in the market. They are mandated to build a system for environmentally sound management of plastic waste produced due to their products by involving local bodies.

Moreover, PIBOs operating in more than two states must obtain an EPR certificate from CPCB, and those working in one or two states must get registration from the concerned PCC/SPCB. An EPR Action Plan for PWM must be submitted to obtain registration.

Coverage of Extended Producer Responsibility

The following plastic packaging categories are included in EPR:

• Category I Rigid plastic packaging
• Category II Flexible plastic packaging of multilayer (more than one layer with different types of plastic) or single layer plastic sheets or like & covers made of plastic sheets, plastic sachet, carry bags, or pouches
• Category III - Multilayered plastic packaging (at least one layer of plastic & at least one layer of material other than plastic); and
• Category IV - carry bags made of compostable plastics and plastic sheet or like used for packaging.

Action Plan Framework

PIBOs(those working in more than two states) must submit an EPR Action Plan for PWM to obtain EPR Authorisation. They shall fulfil EPR in all the States/UTs they are introducing their products. Following are the three alternatives available to the PIBOs:

• PWM via Directly engaging with Urban Local Body (ULB)
• PWM through Own Distribution Channel
• PWM through inviolvement with Waste Management Agency (WMA), which in turn should engage with ULBs

SOP for issuance of EPR Certificate for plastic waste management by CPCB

1. PIBOs must register on the official portal of CPCB for grant of the registration in Form-I along with the prescribed fee.

2. PIBOs must provide the EPR Action Plan Details.

3. List of documents to be given for obtaining registration from CPCB

• DIC, if the unit has a production facility
• Proof of selling in over two states (GST/tax invoice etc.)
• Valid Consents (CTE and CTO)
• Documents related to Action Plan for fulfilling EPR liability ( State/UT wise)
• i. Document issued by ULB/designated state authority related to engagement of PIBO/WMA (as applicable)
• ii. Agreement of PIBO/WMA with PWPF for PW processing (as applicable)
• iii. Registration issued by SPCBs/PCCs to PWPF to be engaged with for PW processing
• iv. Agreement of PIBO with WMA (as appropriate)

PIBO Registration

The following entities must register on the centralised portal developed by CPCB, namely: -

• Producer (P);
• Importer (I);
• The brand owner (BO); and
• Plastic Waste Processor (PWP) involved in waste-to-energy, recycling, waste-to-oil, and industrial composting.

While registering, the entities must provide the -

• GST Number
• PAN
• Aadhaar Number
• CIN of the company
• Other necessary information as required

Application Processing

1. CPCB examines the application and communicates the shortcomings to the applicant within seven working days.

2. If the applicant doesn’t respond within one month of receipt of CPCB’s communication, the application stands withdrawn.

3. The EPR Authorisation is deemed to be generated if CPCB does not respond within thirty days of receiving the complete application.

Grant of Registration and its Validity

TNew registration is valid for one year. However, subsequent registrations are valid for three years per the PWM Rules.

Submission of Half-Yearly Progress Reports by PIBOs

1. The PIBOs must submit half-yearly progress reports regarding plastic waste management for each State/ UT in their EPR Action Plan to the concerned SPCB/PCC.

2. PIBO has to prove that the quantity and type of plastic waste according to the EPR target have been processed. They must submit documentary evidence from respective processing facilities without fail. The PIBOs must also submit supporting documents as evidence of state-wise waste collection.

3. The half-yearly progress reports must be filed within 15 days of completion of the related half-year term.

Renewal of Registration

1. PIBO must apply for renewal of EPR Authorisation four months before its expiry, along with the necessary documents.

2. They must ensure that all due half-yearly reports for the preceding registration period are submitted before submitting the renewal application.

3. Registration is renewed for three years within fifteen days of receipt of complete documents from PIBOs.

Targets for EPR and Obligations of Producers, Importers & Brand-Owners:

The Extended Producer Responsibility targets for the PIBOs are determined category-wise.

Producer (P):

(a) Extended Producer Responsibility target:

Q1 = Eligible Quantity in MT

A = the avg weight of plastic packaging material (category-wise) sold in the previous two financial years

B = average quantity of pre-consumer plastic packaging waste in the last two financial years

C = the annual quantity given to the entities under sub-clause 4 (iii) in the last financial year:

Q 1 (in MT) = (A + B)

The EPR target is determined category-wise as given below -

The EPR target, as applicable, must be given by Producer as part of the Action Plan on CPCB’s centralised portal.

(b) Obligation for recycling:

Obligation for the use of recycled plastic content:

The Producer must ensure the use of recycled plastic in plastic packaging category-wise as follows: -

Importer (I):

(a) Extended Producer Responsibility Target:

Q2 = Eligible Quantity in MT

A = the avg weight of all plastic packaging material & plastic packaging of imported products (category-wise) sold and imported in the last two financial years

B = average quantity of pre-consumer plastic packaging in the last two financial years

C = the annual quantity supplied to the entities included in sub-clause 4 (iii) in the previous financial years as follows: -

Q2 (in MT) = (A + B) - C

The EPR target is determined, category-wise, as given below, namely: -

(b) Obligation for recycling

The Importer must ensure a minimum level of recycling (excluding end-of-life disposal) of plastic packaging waste collected under EPR Target, as follows -

Brand Owner (BO):

(a) Extended Producer Responsibility target:

Q3 = Eligible Quantity in MT

A = the average weight of virgin plastic packaging material (category-wise) bought and introduced in the market in the last two financial years.

B = average quantity of pre-consumer plastic packaging in the last two financial years as given below -

Q3 (in MT) = A + B

The EPR target shall be determined, category-wise, as follows: -

(b) Obligation for reuse

(I) The BO using Category I (rigid) plastic packaging for their items must have a minimum obligation to reuse such packaging as follows: -

Given that the reuse of Category I rigid plastic packaging in food contact applications must be subject to the regulation of FSSAI.

(II) Minimum obligation to reuse for Category I (rigid plastic packaging)

Role of PIBOs:

1. The PIBOs must register on the CPCB’s online centralised portal. The certificate of registration for EPR Authorisation for PIBOs will be issued via the portal.

2. PIBOs must furnish an Action Plan having details of the EPR Target, category-wise, along with the application for renewal or registration of EPR Authorisation.

3. Brand Owners must give information on plastic packaging bought from Producers and/or Importers individually. The quantities attributed to each Importer and Produce obligated upon BO must be deducted from their obligation. The record of such purchases, including category-wise quantity purchased, must be maintained individually by BO.

4. The Importers and Producers must maintain a record of the quantity of plastic packaging material available to BO. The record of such sales must be held individually by Importers and Producers. Such documents are necessary for them to fulfil the complete EPR obligation. The online platform verifies the declaration of transactions among PIBOs.

5. To fulfil the EPR obligations, the PIBOs may implement schemes like the buyback and deposit refund system (DRS) or any other model. This will prevent the mixing of plastic packaging waste with solid waste.

6. The PIBOs must file annual returns on the processed and collected plastic packaging waste to fulfil EPR obligations with the CPCB or respective PCC or SPCB on or before the 30th (last day) of June of the next financial year.

Plastic Packaging Waste Collection System by PIBOs

1. PIBOs, while fulfilling their EPR obligations, may build segregation and collection infrastructure of plastic packaging waste, as needed, depending on the plastic category. It may include the following based on the implementation modality of EPR adopted by PIBOs:

• (a) to make sure to collect the plastic packaging waste from the collection points, with an interval that is proportionate to the volume and the area covered;
• (b) set up Material Recovery Facilities (MRFs) and waste plastic collection points;
• (c) offer the collection of plastic from the facilities such as gram panchayats, urban local bodies (ULBs), other public authorities or third parties conducting waste management, & offer for the collection from all facilities that have made usage of that offer; provide for the necessary practical arrangements for transport and collection;
• (d) to make sure that the plastic packaging waste collected from the collection points is sent for recycling in a registered entity by a recycler or its allowed end use is in the decided way.

PIBOs must make sure that the network of collection points, considering the expected volume of packaging or plastic waste, the population size, accessibility and proximity to end-users, is not restricted to areas where the collection & subsequent management is profitable.

3. The facilities involved in the waste collection must hand over the waste for recycling or treatment or for identified end uses.

4. Voluntary collection points must hand over plastic packaging waste to the PIBOs or third-party agencies operating on their behalf with a view to its proper treatment and recycling or the identified end-use.

EPR Authorisation for PIBOs for waste batteries

PIBOs must fulfil the following norms to obtain EPR Authorisation for the battery as per the BWM Rules.0

Roles of the Producer (PIBO)

(1) The producer must meet the recycling, collection and/or refurbishment targets as stated in Schedule II for batteries placed in the market.

(2) Producers must fulfil the obligation of EPR for the battery they introduce in the market to ensure the completion of the refurbishing or recycling obligations.

(3) The producer must register on the www.eprbatterycpcb.in portal to get EPR Authorisation for waste battery management in India.

(4) Waste batteries collected by the producer must be sent for recycling/refurbishing rather than incineration or landfilling.

The entity or the person involved in manufacturing the battery must register via the centralised online portal as a producer in Form 1(A). The EPR certificate of registration is issued in Form 1(B).

Producer must apply for registration renewal in Form 1(A) before two months of its expiry.

(6) Producer must inform the CPCB of any changes to the details mentioned in the EPR registration and any permanent interruption related to the making available on the battery market referred to in the EPR registration.

(7) Producer must submit an EPR Plan in Form 1(C) to CPCB for the batteries manufactured in FY 2022-23 within ninety days of the publication of BWM rules.

(8) Producer must give EPR plan in Form 1(C) to CPCB by the 30th (last day) of June annually for the battery manufactured in the preceding financial year.

(9) To build a separate waste stream to collect waste batteries to fulfil EPR obligations, the producer can implement DRS, buyback, or any other scheme.

(10) Producer shall file an annual return in Form 3 related to the waste battery collected and recycled/refurbished in Form 3 by the 30th (last day) of June of the coming financial year. The information of the registered recyclers from whom the EPR certificates have been obtained must also be provided.

(11) To meet obligations to get EPR Authorisation for waste batteries, the producer can personally involve or authorise any other facility for the recycling, collection or refurbishment process. However, the duty of meeting the EPR targets remains with the producer only.

(12) Producer must be aware of the S/CPCB of violations of these norms by any facility that handles and manages waste batteries.

(13) The producer stands liable for –

• ensuring safe handling of waste battery or battery so that no damage happens to the environment and human health; and
• adhering to prohibitions and labelling needs.

Producer must meet the obligation regarding the minimum usage of domestically recycled materials in new batteries, as shown in the table below. The evaluation of the minimum use of the recycled products in the battery must be regarding the total dry weight of the battery. In case the battery is imported, the producer must meet the obligation of the minimum use using getting such quantity of recycled materials used by exporting such amount of recycled items or by other businesses.

Roles of Refurbisher

(1) A refurbisher must -

• i. apply in Form 2(A) to the SPCB for grant of one-time registration;
• ii. make sure that hazardous waste produced from any activity of the facility is managed as per Hazardous & Other Wastes (Management & Transboundary Movement) (HWM) Rules, 2016;
• iii. make sure that it performs any activity as per CPCB guidelines;
• iv. make sure that other waste produced during refurbishing and handling activities is managed according to PWM Rules, 2016 and Solid Waste Management Rules (SWM), 2016;
• v. ensure that refurbishment facilities and processes comply with the CPCB standards or norms;
• vi. ensure that the waste battery is eliminated from collected items if the battery is included in the equipment.

(2) All refurbishers must register with SPCB on the centralised portal. The registration certificate is issued in Form 2(B).

(3) Refurbishers must file quarterly returns in Form 4 by the end of the month, after the quarter end.

(4) The total amount of waste battery processed by the facility engaged in refurbishment quarterly is made available on the centralised portal of CPCB and the entities' websites.

(5) Refurbishers seeking to obtain EPR Authorisation must not deal with any non-registered other entity.

Roles of Recycler

1. CPCB generates EPR certificates via the centralised online portal depending on the recycled/ refurbished quantities assigned to recyclers/refurbishers. They can then sell the allotted EPR certificates to the producer in exchange for a waste battery.

2. EPR Authorisation for recyclers and refurbishers is generated depending on the percentage fulfilment of material recovery targets for a specified year, the weight of the battery processed and the geographical source of the battery, imported or domestic.

3. The following formula is used to estimate the EPR certificates for recyclers: EPR certificates (kg) = (Actual recovery of battery materials (in %)/Recovery target for a particular year of the battery type (in %)) x quantity of battery processed (in kg) x (1-A)

Note: A=0.2 for waste batteries sourced through imports allowed under HWM Rules, 2016 and 0 for waste batteries generated domestically.

4. Surplus EPR certificates in a category may only be used for carry forward, off-setting and sale for the same battery category.

(i) A surplus EPR certificate under recycling can be used for recycling. However, a surplus EPR certificate under refurbishing can’t be used for recycling.

5. A producer can buy EPR certificates limited to its liability of the current year plus any excess liability of preceding years plus 10% of the current year's liability.

6. A producer can fulfil its EPR obligation under a category by buying surplus EPR certificates from other producers of the similar battery category.

7. EPR certificates bought by the producer will be automatically adjusted against their liability.

• (i) EPR certificates used by the producer to fulfil EPR obligations must not be exchanged again; and
• (ii) priority in adjustment will be given to earlier liability.

8. EPR certificates produced by recycler or refurbisher are valid for seven years to meet the producer’s obligations.

Targets for Extended Producer Responsibility

• (i) The EPR target must include the collection targets stated in the tables below and the 100% recycling/refurbishment target of the EPR collection target of the specified year.
• (ii) In case of a new producer placing a battery in the market in the coming years post publication of these rules, the EPR targets are applicable for different types of battery, depending on the average life of the battery stated in the tables below for the respective battery types.
• (iii) EPR target for the producer must be specific to the kind of battery.
• (iv) Recycling waste batteries means recycling battery materials like nickel, lead, lithium, cobalt, plastics, glass, rubber, etc.
• (v) The producer will fulfil the EPR obligation via the EPR certificate given by the recycler/refurbisher. In the absence of EPR certificates with refurbishers/recyclers, the producer must also be responsible for collection.

EPR Authorisation for PIBOs for waste tyres

The provisions of Extended Producer Responsibility (EPR) for Waste Tyre apply to the following entities, namely: -

• recycler;
• producer; and
• retreaded.

Registration of PIBOs for EPR Authorisation for waste tyres

(1) The entities must register on the official portal.

(2) EPR Authorisation for waste tyres is necessary to conduct business.

(3) In case any registered facility provides false information or willfully hides information for obtaining registration or return or report or information needed to be given or furnished under the Schedule or in case of any irregularity, the registration of such facility may be revoked by the CPCB for three years after giving a chance of being heard. Also, environmental compensation may be levied in such cases.

(4) The facilities registered under sub-paragraph (1) must not deal with unregistered recyclers or producers.

(5) If any facility is included in more than one category, it must register under those categories individually.

(6) The CPCB may charge such registration fees from the applicants as may be mentioned from time to time with the consent of the steering committee (SC).

Modalities of the EPR Regime

(1) All producers must meet the following EPR obligations: -

(a) For manufacturers or importers of new tyres: -

(b) For waste tyre importers: -

• (i) The EPR obligation for waste tyre importers in the year (Y) is 100% of the tyre imported in the year (Y-1)
• (ii) Importing waste tyres for generating pyrolysis oil or char is prohibited.

EPR certificate generation

(1) The CPCB generates EPR Authorisation via the portal in favour of a registered recycler, and the eligible quantity for generating EPR certificates is calculated as follows,

• (i) The quantity eligible for grant of EPR Authorisation is calculated as: -

• QEPR = QP x CF x WP

• (ii) CPCB determines the conversion factor CF for each end product;
• (iii) SC reviews the weightage WP from time to time, given the availability of material, technological advancements and other factors;
• (iv) the weightage WP = 1 for imported waste tyres for all categories and the value of waste tyre certificate is reduced by dividing it by the WP of specific certificates when the EPR certificates bought by waste tyre importers are adjusted against their EPR obligation.

(2) The validity of the EPR certificate is two years from the end of the financial year it was granted.

Responsibilities of the producer (PIBOs)

The producer of EEE is responsible for -

(1) implementing the EPR with the given frameworks:-

(a) channelisation and collection of e-waste produced from the ‘end-of-life’ of their products or ‘end-of-life’ products with similar EEE code and historical waste in line with the targets mentioned in EPR - Authorisation;

(b) the process used for e-waste channelisation from 'end-of-life' items, including those from their service centres, to authorised recyclers/dismantlers must be according to the EPR - Authorisation. In cases of fluorescent and other mercury-containing lamps, where recyclers are not available, channelisation can be to Treatment, Storage and Disposal Facility (TSDF) from the collection centre;

(c) EPR - Authorisation must have a general scheme for EEE collection from the electronics items put in the market previously, like via collection centres, dealers, PRO, buyback scheme, DRS, exchange scheme, etc., whether individually or via any authorised agency and channelising the collected products to authorised recyclers;

(d) the producer must implement EEPR individually or collectively. Individually, a producer may establish his own collection centre or implement take back scheme or both to fulfil EPR. In a collective system, they may collaborate as a member with a PRO, e-waste exchange, or both. It is mandatory for the producer in every case to obtain EPR - Authorisation for e-waste from CPCB in Form-1;

(e) the EEE import is allowed only to producers with EPR authorisation;

(f) the CPCB grants the Extended Producer Responsibility - Authorisation in Form 1(aa).

(g) Operation without EPR - Authorisation by any producer is regarded as causing harm to the environment.

Procedure for Seeking and Grant of Authorisation

(1) Extended Producer Responsibility - Authorisation of Producers

• (i) every producer must apply for EPR - Authorisation within three months;
• (ii) on receiving the complete application, the CPCB evaluates the EPR Plan. On being satisfied, the Board grants EPR - Authorisation for e-waste within four months. The EPR - Authorisation remains valid for five years;
• (iii) an application for the renewal of Authorisation is made in Form-1 four months before its expiry to CPCB. The Board then renews the Authorisation for five years after receiving a compliance report from the concerned SPCB.

Targets for Extended Producer Responsibility - Authorisation

EPR targets producers who have initiated sales operations currently, i.e. the number of years of sales operations is not more than the average life of their items stated in the norms issued by the CPCB from time to time.

As per E-waste (Management) Amendment Rules, 2018, Targets for EPR - Authorisation are given below -

Verification and Audit

The CPCB, personally or via an assigned agency, can verify the compliance of producers or recyclers via inspection and periodic audits. The actions against non-fulfilment of EPR obligations, targets and responsibilities and violations are per the norms of paragraph 10.

Refusal of a grant to EPR Authorisation

The CPCB, after giving enough chances of being heard to the applicant, can refuse to grant EPR – Authorisation. In such case, the producer forfeits his right to place any EEE in the market till Authorisation is given.

Cancel the EPR Authorisation to PIBOs

CPCB conducts random checks, and if it finds the holders of the EPR - Authorisation failing to comply with any of the norms of the Authorisation or with any rules of the Act or these guidelines and after allowing a reasonable chance of being heard and after recording reasons thereof in writing cancel or suspend the EPR - Authorisation issued for as long as it considers necessary in the public interest and informs the respective SPCB within ten days of cancellation. Upon suspension or cancellation of the EPR authorisation, the CCPCB/SPCB instructs the persons whose Authorisation has been suspended for the safe storage and management of the e-waste. Such persons are mandated to comply with such instructions.

Fulfilment of EPR Obligations

The PIBOs must provide the information of recycling certificates only from registered recyclers and the quantity sent for end-of-life disposal. This must be done by the 30th (last day) of June of the next financial year while filing annual returns on the website. The online portal will verify the information furnished by PIBOs and registered PWPs. In case of difference, the lower figure will be considered towards fulfilling the EPR obligation of PIBOs. PCC/SPCB/CPCB may verify the certificates.

Guidelines for Environmental Compensation

CPCB provides the norms for collecting and imposing environmental compensation on recyclers, PIBOs and end-of-life processors in case of non-fulfilment of obligations framed in these regulations. The fine is also levied for violations of conditions or false certificates/information as necessary under these norms.

After knowing all the norms for obtaining an EPR Authorisation, there is no reason not to apply. A recent report shows over 1500 PIBOs registered for EPR Authorisation last year. So, if you're also planning to start your business, get your Authorisation now.