Start your business in Uttar Pradesh by quickly obtaining UPPCB CTE/CTO.

The Uttar Pradesh Pollution Control Board (UPPCB) has been set up as a regulatory authority for implementing several environmental laws. One of the significant responsibilities of the board in controlling pollution is to grant UPPCB NOC to any commercial activity being carried out in the state. This NOC is granted in two stages - one before the facility's establishment and the second before the operations start on the premises.

Uttar Pradesh Pollution Control Board (UPPCB) - Overview

UPPCB is a statutory organisation invested in implementing environmental laws and regulations within the jurisdiction of Uttar Pradesh. UP Water Pollution Prevention and Control (P & C) Board, formed on 3 rd February 1975 initially under the Act with the same name, was consequently renamed UPPCB on 13 th July 1982. This renaming was after the enactment of the Air (Prevention and Control of Pollution) Act, 1981. UP Pollution Control Board was also endowed with the functions and powers under the Water (P & C of Pollution) Cess Act, 1977, and other responsibilities under the Environmental Protection Act (EPA), 1986.

The primary function of the Uttar Pradesh Pollution Control Board

The following are the primary functions of the UP Pollution Control Board in exercising its duties under various Acts.

  • Issue of Consent certificate under norms of section - 25/26 of the Water (P & C of Pollution) Act, 1974.
  • The board issues No Objection Certificates (NOC) from the pollution point of view, including the adequacy of the site from an environmental angle.
  • Issue of UPPCB Consent Certificate under provisions of section - 21 of the Air (P & C of Pollution) Act, 1981.
  • The principal functions of the UPPCB, as stated in the Water and Air Acts, are the control, prevention, and reduction of water and air pollution. The primary undertaking of the board is to help entrepreneurs and industries to fulfil their essential obligations to protect the environment.
  • Besides this, the UP Pollution Control Board regularly quality monitors the primary surface water bodies at 34 locations and ambient air quality at 19 sites in the state.
  • Water Cess evaluation and collection.
  • Identification and evaluation of municipal and industrial pollution sources and control thereof.
  • Conducting mass awareness programmes.
  • Development of Pollution Control Technologies.
  • Notification of effluent and emission standards.
  • Instituting legal action against defaulters.
  • Issuing  Hazardous Waste Authorisation.
  • Identify onsite crisis management plans and isolated storages under the Storage, Manufacture and Import of Hazardous Chemicals Rules, 1989.
  • Implementing Biomedical Waste Rules, 1998.

The Water Prevention Act

Salient obligations of industries and local bodies

  • To obtain prior consent to establish (CTE) for new discharge U/S 25 of the Act. This is mandatory for every local body/industry discharging trade effluent or domestic sewage into streams, water, well, sewers or on land. To obtain CTE from UPPCB, the applicant must submit the complete consent application with the board and the prescribed consent fee. It is obligatory to furnish additional information sought by the board. UPPCB grants the consent certificate with specific conditions and validity date upon receiving the application. Also, the board can refuse consent for reasons to be recorded in writing.
  • After obtaining CTE and installing all facilities, the industry must apply for consent to operate (CTO) U/S 25 of the Act. Similar provisions of application and grant of CTO by UPPCB exist for industries discharging the trade/effluent waste before the enactment of the Act [U/S 26 of the Act].
  • On expiry of 4 months of filing, the complete application CTE/CTO is deemed to be granted unconditionally unless granted or refused earlier. However, This will not hold in case of an incomplete application or if UPPCB raises any query that remains unanswered. Also, in such cases, the period extends from the submission date of additional information, i.e. complete information.

Powers of UPPCB

i. To obtain information - On installation, construction or disposal systems if relevant to pollution prevention or control [U/S 20].

ii. Carry out any related work - If any industry fails to take up the same despite giving particular time-bound notice by the UPPCB, for executing such work, any expenses incurred along with interest must be recovered from such industry or person as land revenue arrears [U/S 30].

iii. To instruct - The board can instruct any officer/person/authority who must adhere to the instructions. The instructions may include directions for prohibition /closure/regulation of any industrial process or operation or regulation/stoppage of services such as water and electricity. The instruction must be in writing and followed by a chance of being heard via a show cause notice U/S 33-A (except under cases of grave injury to the environment).

iv. Collect and monitor samples of wells/streams or trade effluent - have legal validity in the case of trade effluent, the person taking the sample must serve notice in the prescribed form, divide the sample into two parts and seal it if the industry requests this. One sample part must be sent to a lab recognised by Uttar Pradesh Pollution Control Board U/S 17 (2). The second part is sent on request and at the cost of the occupier to the state lab notified U/s 52 of the Act.

v. Inspect and seize - Enter and inspect any place for conducting any functions of the board to monitor compliance or to scrutinise any records, plants, documents etc. and seize, if necessary. [U/S 23].

The Air Prevention Act

Salient features of the Act

  • As per norms in Sec. 21 (1) & (2), no person can establish or operate any industrial plant without the UPPCB's consent. Every application for consent must be made in the prescribed form and accompanied by the fee.
  • Within four months of receiving the application, the board must complete the formalities to either grant or refuse the consent certificate by UPPCB. Also, while processing the consent application, the board may seek any information about the industry after serving notice in Form II.
  • U/S 22(A), operating any industrial plant to cause air pollutant emission over the set standard, is liable for litigation by the board.

Powers of UP Pollution Control Board

In addition to offering consultation to state government for restricting or declaring an area as Air Pollution Control Area, UPPCB is endowed with the following powers :

i. Power of entry and inspection - Any person the board empowers can enter the industry premises to determine the pollution control equipment status or otherwise necessary for Act compliance. The concerned person of the industry is bound to render assistance as deemed necessary for guaranteeing measures and performing the functions stated in the Act [U/S 24].

ii. Power to take samples - UP Pollution Control Board or any person empowered by it has the power to collect samples of air or emission from any flue, chimney, duct or any other outlet in such a way as prescribed [U/S 26].


Under the existing pollution control laws, all industrial units must obtain UPPCB clearance before establishing the unit in the form of Consent To Establish (NOC). This must be sought from an environmental point of view. For obtaining the CTE, the board has prescribed an application format. Industries must apply along with necessary enclosures about details such as site location, registration certificate from Industry Department, suggested pollution control plans, etc.

The completed application must be submitted either to GM, DIC or Member Secretary, UPPCB Lucknow or to ROs of the board. To ease the process of obtaining CTE from UPPCB, the board has decentralised this certificate's issuance power. The powers have been delegated to GM, DIC and Regional Officer (RO), UPPCB.

(a) 221 type of Small Scale Non-Polluting Industry

Uttar Pradesh Pollution Control Board has exempted 221 types of small-scale non-polluting industries from obtaining the SPCB NOC. However, these industries must obtain registration/CTE (NOC) from GM and DIC.

(b) 27 categories of Large Scale Industry

The following 27 categories of industries must obtain CTE from UPPCB before establishing the unit from the Member Secretary of the board, Lucknow. These industries must furnish all the necessary details asked in the application form. Notably, the CTE is issued by the Head Office of UPPCB within three months after inspection and recommendation from the concerned RO.

These industries are as follows -

  • Sugar
  • Fertiliser (Phosphate/Nitrogen)
  • Cement
  • Fermentation and distillery
  • Petrochemicals
  • Aluminum
  • Thermal power
  • Sulphuric acid
  • Oil refinery
  • Tanneries
  • Copper smelter
  • Iron and steel
  • Zinc smelter
  • Pulp and paper
  • Dye and dye intermediates
  • Basic Drugs and Pharmaceuticals
  • Pesticide manufacturing and formulation
  • Textile industries (woollen, cotton, synthetics, including dyeing and bleaching process)
  • Manufacture of edible vegetable oil and non-edible oil
  • Manufacture of glass and glass products involving the use of liquid and fossil fuel
  • Foundries
  • Electroplating and galvanising process industries
  • Synthetic rubber
  • Ceramic industry
  • Chlorinated hydrocarbon (including paraffin wax)
  • Manufacture of alkaline and acid
  • Chemical industries (including the manufacture of bromine, chlorine, fluorine and its compound)

(c) 29 categories of industry identified as requiring Environmental Clearance (EC) under the EP Act Environmental Impact Assessment (EIA)

The Ministry of Environment, Forest & Climate Change (MoEF&CC), Govt. of India (GoI), has identified 29 types of industries that must submit EIA reports. Before issuing consent certificates to these types of industries, UPPCB conducts the environmental public hearing. The board issues NOC for site clearance based on the public hearing report. Subsequently, MoEF&CC gives the final EC.

Here’s the list of projects needing EC from the central government

  • River valley projects, including significant irrigation, hydel power and their combination, including flood control
  • Nuclear Power and related projects like nuclear fuel complexes, heavy water plants, rare earth
  • Harbours, Ports, Airports (except minor harbours and ports)
  • Petroleum Refineries, including product and crude pipelines
  • Pesticides (Technical)
  • Chemical Fertilizers (Nitrogenous and Phosphatic other than single superphosphate)
  • Petrochemical complexes (Aromatic and Olefinic), Petrochemical intermediates like Carprolactam, DMT, LAB, etc. and production of essential plastics like HDPE, LDPE, PP, and PVC.
  • Exploration for gas and oil and their production, transportation, and storage
  • Pharmaceuticals and bulk drugs
  • Synthetic rubber
  • Asbestos products and Asbestos
  • Primary metallurgical industries (like production of Steel and Iron, Copper, Aluminum, Zinc, Lead and Ferro Alloys)
  • Hydrocyanic acid and its derivatives
  • Chlor-alkali industry
  • Integrated paint complex, including the manufacture of resins and basic raw materials needed in the paint manufacturing
  • Storage batteries integrated with the manufacture of oxides of lead and lead-antimony alloy.
  • Viscose staple fibre and filament yarn
  • All tourism projects between 200 - 500 meters of high tide line or at locations with an elevation of more than 1000 meters with an investment of more than Rs. 5 crores
  • Thermal power plants
  • Mining projects (major minerals) with leases of more than 5 hectares
  • Tarred roads in forest areas  and/or  the Himalayas
  • Highway projects
  • Distilleries
  • Raw skins and hides
  • Dyes
  • Paper, pulp and newsprint
  • Cement
  • Electroplating
  • Foundries (individual)

(d) Industries that must obtain CTE from UPPCB

Industries must obtain UPPCB clearance before establishing the industrial unit from the Member Secretary of the board Lucknow.

  • Meat processing unit
  • Slaughterhouse
  • Dairy (Milk processing 150 kl/day)
  • Food and vegetable processing
  • Bone mill
  • Detergent (where chemical processing is done)
  • Stone crushers

(e) Consent to Establish issued by Regional Office

All industries other than 27 categories (Head Quarter, UPPCB), 221 categories (GM, DIC), 29 categories (Public Hearing) and seven categories of industries mentioned at point (D) must obtain UPPCB CTE from Regional Offices of the board within a month. The industries must be of small scale size and non-polluting.

Documents required to obtain Consent Certificate from UPPCB

The list of documents to be attached with the consent applications is as follows -

(1) CTE by Uttar Pradesh Pollution Control Board

  • 1. A covering requisition letter stating the status of the activities and industry.
  • 2. Copy of the attested lease/sale deed or any other appropriate documents as proof to gurantee possession of the factory/site for which the application is made.
  • 3. Copy of attested Memorandum of Articles (MoA) in case of Private/Public sectors or registered partnership deed in case of partnership company.
  • 4. Layout plan showing the location of several process equipment, outlet location, utilities such as generator, boiler, etc., effluent treatment plant (ETP), and non-hazardous and hazardous waste storage yard.
  • 5. Schematic diagram indicating the distance of roads, water bodies, proposed/existing residential areas, important religious locations, agricultural lands, educational institutions, archaeological places, ancient monuments and other sensitive areas for a 2 km radius from the units.
  • 6. Detailed manufacturing process for each product along with detailed process flow chart.
  • 7. Details of water and wastewater balance for the process.
  • 8. Details of material balance for each process and product.
  • 9. Land use classification certificate as obtained from the competent authority of UP.
  • 10. Auditor's certificate with break up info for the suggested Gross fixed Assets duly certified by a CA and the financial provisions for pollution control measures.
  • 11. Consent fee under Water and Air Acts payable to the UPPCB.
  • 12. Groundwater clearance obtained from the competent authority (if applicable).
  • 13. Sewage Treatment Plant (STP) proposal having details of treatment methodology, design characteristics of sewage, mode of disposal, detailed drawing of STP and its layout, design criteria for various units, a diagram showing the hydraulic profile and manner of disposal of treated sewage & its adequacy (if applicable).
  • 14. Effluent Treatment Plant (ETP) proposal having info including breakup quantity of trade effluent, breakup quantity of water requirement with sources, sources of trade effluent, treatment methodology, characteristics of wastewater, mode of disposal, design criteria for various units, diagram showing the hydraulic profile and way of disposal of treated effluent and its adequacy, detailed drawing of ETP and its layout, complete details of land in case of on land disposal (if applicable).
  • 15. Air Pollution Control (APC) measures proposal having info regarding sources of emission, fuels used, characteristics, concentration and quality of pollutant, adequacy of APC measures and stack, a proposal along with design criteria & drawing for the proposed APC measures, odour/noise causing operations and its specific control measures (if applicable).
  • 16. the Material Safety Data Sheets (MSDS) must be enclosed for every item if hazardous chemicals are used as raw materials. Suppose the quantity of the hazardous chemicals handled exceeds the threshold limit. In that case, the unit must furnish any one or combination of the following documents as needed under the Hazardous and Other Wastes (Management and Transboundary Movement) (HOWM) Rules 2016, Onsite emergency preparedness plan/Risk assessment report/Off-site emergency preparedness plan (if applicable).
  • 17. In case of transport of hazardous chemicals, method of transportation, info of chemicals transported and its safety measures (if applicable).
  • 18. Industries attracting EIA Notification must submit EC obtained from the MOEF&CC/SEIAA along with the EIA Report (if applicable).
  • 19. Statutory clearances obtained from the competent authority regarding forest areas, Eco-sensitive zones, TTZ areas etc. (if applicable).
  • 20. Proposal for installation of an online monitoring system for effluent and or emissions as applicable.

(2) CTO from UPPCB for trial production after obtaining CTE

  • 1. A covering requisition letter indicating the industry's status and activities.
  • 2. Compliance statement on the CTE special conditions stipulated under Water and Air Acts.
  • 3. The latest audited Balance Sheet/Auditor’s Certificate indicating the Current Assets, Fixed Assets and Current Liabilities.
  • 4. Photographs of the provided measures of APC/ETP/other compliances of conditions (If applicable).
  • 5. Compliance statement on the EC conditions stipulated under EP Act (if applicable).
  • 6. Agreement with CBMWTF/Common TSDF (if applicable).

(3) CTO under Water and Air Acts

  • 1. A covering requisition letter clearly states the industry's status and activities.
  • 2. Info of production capacity, actual products manufactured month-wise during the last two financial years.
  • 3. Details of changes, if any, in the quantity of trade effluent/sewage generated and mode of disposal of the same indicated against in the original consent order (if applicable).
  • 4. Details of changes in the emission quantity, height, and number of stacks/chimneys indicated against in the original consent order (if applicable).
  • 5. Details of changes, if any, in the name of the company's management/Board of Directors (if applicable).
  • 6. Latest analysis report of the trade effluent/treated sewage samples (if applicable).
  • 7. Latest analysis report of the AAQ, stack monitoring and noise level (as applicable).
  • 8. Compliance report on the conditions of the latest Hazardous/Bio-medical Waste Authorisation issued to the unit (if applicable).
  • 9. Compliance report on the renewal of consent/latest consent order conditions stipulated under the Water and Air Acts issued to the unit.
  • 10. The latest Audited Balance Sheet/Auditor’s certificate showing the Current Assets, Fixed Assets and Current Liabilities.
  • 11. Details and mode of payment of consent fee under Water and Air Acts.
  • 12. Status of Water Cess payment along with the details of the last bill (if applicable).
  • 13. Details of online monitoring system installed for effluent and/or emissions as applicable.
  • 14. Complete details of systems adopted for ZLD and details of land in case of on-land disposal, along with the photographs (if applicable).

Frequently Asked Questions

  • 1. What is the application fee structure for obtaining Consent to Establish & Consent to Operate from UPPCB for units covered under the BMW Rules?

    Sl. No.

    Total Capital Investment (in Rs.)

    Fee (in Rs.) per annum


    Not exceeding 5 Lakh



    Above 5 & up to 20 lakh



    Above 20 & up to 50 Lakh



    Above 50 & up to 1 Crore



    Above 1 & up to 5 Crore



    Above 5  & up to 10 Crore



    Above 10 & up to 25 Crore



    Above 25 & up to 50 Crore



    Above 50 & up to 100 Crore



    Exceeding 100 Crore


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