Rules 10 explained: this guide covers what it means, who it applies to, the step-by-step process, documents required, fees, due dates and penalties in India — so you can stay compliant with confidence and avoid costly mistakes.
Rule 10 is the certificate rule: registered refurbishers and recyclers earn EPR certificates, producers buy them to meet targets, and certificates may be traded within a price band. Rules 11 and 12 list the functions of the CPCB, which registers producers, audits and hears appeals, and of the State Boards, which register refurbishers and recyclers. Rule 10 was reshaped in 2023 and 2024, and rule 11 in 2023.
These Rules are current as amended up to S.O. 958(E) dated 24 February 2025. Later amendments, CPCB guidelines and notifications should be checked. If you buy, sell or hold EPR certificates, or need to follow a registration or appeal, our compliance documentation team can prepare the record.
Registered refurbishers and recyclers provide certificates for waste battery processing, never beyond installed capacity (rule 10(1) and (2)). A certificate is valid for seven years for meeting a producer's obligation (10(14)). The CPCB registers producers within two weeks, with deemed registration if not refused (rule 11(3)), and the registration is valid until cancelled or withdrawn (11(4)). Appeals against CPCB orders on producers go to the Ministry (11(13)).
Rule 10: certificates
Who gives them and on what basis
| Sub-rule | Content as it stands |
|---|---|
| 10(1) | Registered refurbishing and recycling entities provide certificates for waste battery processing |
| 10(2) | The amount recycled or refurbished shall never exceed installed capacity; certificates are category-wise and based on "relevant parameters as prescribed by the Central Pollution Control Board" (substituted in 2023 for the reference to GST data) |
| 10(3) | Certificates are for the type and quantity refurbished or recycled and can be transacted to meet EPR |
| 10(6) | The CPCB generates certificates through the portal on recycled or refurbished quantities; recyclers and refurbishers can sell them to producers "for fulfilling their extended producer responsibility obligations" |
| 10(7) | Certificates are generated on the weight of waste battery processed or refurbished and the weight of battery material produced, as per CPCB guidelines, and the CPCB ensures every certificate is issued on waste battery actually processed or refurbished |
| 10(8) | No certificate is generated for recycling or refurbishment of waste battery imported under the HOWM Rules, 2016, and separate accounting is maintained for imported waste battery |
| 10(14) | Certificates are valid for seven years for meeting producers' obligations |
Sub-rules (4) and (5), the recovery target table and its review, were omitted in 2023, and the earlier formula in sub-rule (8) was replaced by the weight-based rule above.
How producers use them
- A certificate in a category can only be used for offsetting, carry forward and sale for the same category of battery (10(9), as substituted in 2023).
- A producer can meet its obligation in a category by buying surplus certificates from other producers of the same category (10(10)).
- A producer can buy certificates up to its liability for the current year plus leftover liability of preceding years plus ten per cent of the current year liability (10(11)).
- Purchased certificates are adjusted automatically against liability, earlier liability first, and certificates used to meet obligations cannot be exchanged again (10(12)).
- Refurbishers and recyclers record and submit transactions on the portal with quarterly returns (10(13)).
Platforms and the price band
Sub-rules (15) and (16), inserted in 2023, allow one or more trading platforms for sale and purchase of certificates, through an accredited agency and under CPCB guidelines approved by the Central Government, operated under guidelines the Central Government notifies on CPCB recommendation. Sub-rule (17), as substituted by G.S.R. 190(E) of 14 March 2024, says the CPCB shall fix the highest and lowest price for certificates equal to hundred per cent and thirty per cent of the environmental compensation leviable for non-fulfilment of EPR obligations as determined by the CPCB under rule 13; sub-rule (18) says the exchange price on the portal shall lie between them. Before that, sub-rule (17) had asked the CPCB to fix prices every six months or as required, keeping in view the cost of collection and the compensation regime. The compensation amounts themselves are not printed in the Rules.
Rule 11: functions of the CPCB
| Topic | Provision |
|---|---|
| Registration | Registers producers through the portal in Form 1(B) (11(1)); may determine the fee for applications and returns (11(2)); registers within two weeks of a completed application, and on expiry of two weeks the registration is deemed done if not refused (11(3), as amended 2023); valid until cancelled or withdrawn (11(4), substituted 2023); shares relevant information with the State Board through the portal (11(5)) |
| Suspension, cancellation | May suspend or cancel registration, or impose environmental compensation, for non-compliance with EPR obligations under Schedule II or other violations, after a reasonable opportunity of being heard (11(7), 11(12)) |
| Compliance | Ensures compliance by producers including those supplying batteries by distance contracts (11(8)); verifies by inspection and periodic audit, by itself or a designated agency (11(10)); audits data, including using GST Network information (11(11)) |
| Appeals | An appeal against a CPCB order on suspension or cancellation of producer registration lies to the Ministry, disposed of within forty-five days after submission (11(13)); the Joint Secretary or equivalent is the Appellate Authority and the appeal is made in writing with a copy of the order within thirty days (11(14)); an appeal by a recycler or refurbisher against a State Board order is disposed of by the CPCB within thirty days, with the Member Secretary as Appellate Authority (11(15), (16)) |
| Others | Guidelines on environmentally sound procedures (11(17), substituted 2023); annual compilation of State data (18); mechanism for certificate exchange (19); annual list of producers who failed targets (20); stakeholder dialogue (22); implementation Committee meeting once in six months (23); technology review and recommendations (24 to 26); annual report to the Central Government (21, substituted 2023) |
In 2023 the five-year validity in sub-rule (4) was replaced, renewal on Form 1(A) in sub-rule (6) was omitted, and sub-rule (9) on deemed registration was omitted because sub-rule (3) now carries the deeming words.
Rule 12: functions of the State Board
The State Board registers refurbishers and recyclers in Form 2(B) through the portal and verifies compliance through inspection and periodic audit in its jurisdiction (12(1)). If information supplied is found to be false, it may suspend or cancel registration for up to five years after a reasonable opportunity of being heard, with action under rule 13 (12(2)). It publishes an annual list of entities that have not fulfilled their EPR obligations, forwards their quarterly reports to the CPCB and publishes them online (12(3)), maintains stakeholder dialogue (12(4)) and sends an annual report to the CPCB by 30 June (12(5)). The rule 13 compensation and penalty are explained in rules 13 to 15.
Who is affected
Producers buying certificates, recyclers and refurbishers earning them, platform agencies, the CPCB and State Boards. Recyclers who handle imported waste battery should note that no certificates arise from it.
Example
Prism Cells Limited, a producer, has a liability of 1,000 kg of portable batteries for the current year and no leftover liability. Under rule 10(11) it can buy certificates up to the liability plus ten per cent, that is 1,100 kg, from recyclers or from other producers with surplus in the same category, and cannot use a surplus of automotive certificates for it (rule 10(9)). It holds each certificate for no more than its seven years' validity.
Need help with EPR certificate transactions?
Certificates are category-specific, capacity-bound and time-limited, and each purchase has to be traceable on the portal. Our compliance documentation team can help you build a certificate ledger and the records to support audit.
Key takeaways
- Certificates arise only from registered refurbishing and recycling, within installed capacity, and not from imported waste battery.
- They are valid for seven years and usable only within the same category.
- The price band is thirty to a hundred per cent of the compensation under rule 13, since March 2024.
- CPCB registration is due within two weeks, deemed if not refused, and valid until cancelled.
- Appeals against CPCB orders on producers go to the Ministry within thirty days of the order.
Read next
- Rules 13 to 15 and the Schedules: compensation, penalty, portal and targets
- Rule 4: producer EPR
- Rules 5 to 9: refurbishers and recyclers
- E-Waste and Battery Waste Rules: amendments 2023 to 2025
Disclaimer: Based on the environment rules, guidelines and notifications named above as published in the Gazette of India, read with every amendment notified up to 3 October 2026 that the article names (consolidated reading texts from the CPCB 2021 compilation and the Goa State Pollution Control Board 2025 compilation were checked against the amending notifications), as consulted on 3 October 2026. Later amendments, CPCB guidelines, State Board orders and fees should be checked. This article is general information, not legal advice; check the official text before acting.