effectiveness in the functioning of state pollution...

EFFECTIVENESS IN THE

FUNCTIONING OF STATE POLLUTION

CONTROL BOARD

Approach and Issues

Introduction• ‘Environment’ means ‘Surroundings’.

• Section 2(a) of the Environment (Protection) Act,1986 says that

‘environment includes water, air and land and the inter-relationship

which exists among and between water, air and land, human beings,

other living creatures, plants, micro-organisms and property

• United Nations Conference on the Human Environment held in

Stockholm in 1972 gave impetus for various measures to address

environment concerns through various legislative and administrative

means.

• Many acts were enacted to protect environment. Out of those,

SPCBs are responsible for implementation and monitoring of

following 4 acts-

• The Water (Prevention and Control of Pollution) Act, 1974.

• The Water (Prevention and Control of Pollution) Cess Act, 1977.

• The Air (Prevention and Control of Pollution) Act, 1981.

Introduction• The Environment (Protection) Act, 1986 and the rules made there

under i.e. Environment (Protection) Rules, 1986 and the rules

made for Management and Handling of Municipal Solid Wastes

(1999), the Bio-Medical Wastes (1998), Hazardous Wastes

(2002), Plastic Wastes (1999), Batteries (2001) and E-waste

(2011); and Noise (Regulation and Control) Rules 2000, as

amended from time to time.

• Central and State Pollution Control Boards statutorily constituted

under Section 3 and 4 of Water/Air Acts.

• Other acts related to Environment are implemented by MoEF and

Forest Department.

Functions of PCBs

• To plan comprehensive programme for prevention, control or

abatement of Water/Air/Noise pollution.

• To advise the State Government on any matter concerning

prevention, control or abatement of water/air/noise pollution.

• To collect and disseminate information relating to pollution.

• To collaborate with Central Pollution Control Board in organizing

the training of persons engaged/to be engaged in a programme

relating to prevention, control and abatement of pollution.

• To inspect sewage or trade effluents, works and plants for the

treatment of sewage and trade effluents and to review plans,

specifications etc.

• To lay down, modify or annul effluent standards for the sewage

and trade effluents

• To evolve method of utilization of sewage and suitable trade

effluents in agriculture.

Functions of PCBs• To inspect air pollution control areas and control equipment and to

assess air quality and to take remedial steps required.

• To lay down, in consultation with Central Board, Standards for emission of air pollutants into the atmosphere from industrial plants, automobiles or any other source.

• To establish or recognize a laboratory/laboratories for analysis of samples

• To levy and collect the cess at the prescribed rates on water consumed by persons carrying on industries and by local authorities and credit the proceeds to the Consolidated Fund of India.

• To grant authorization for handling of Wastes (Hazardous, Municipal, Bio- Medical, Plastic, Batteries and E-waste) under the relevant Management and Handling rules.

• To grant registration to dismantler/recycler of e-wastes (Rule 11 of e-waste (Management and Handling) Rules, 2011.

• To monitor compliance of conditions imposed while granting authorizations/registration under the relevant Management and Handling rules.

Functions of PCBs

• To monitor compliance of the Standards regarding ground water, ambient air, leachate quality and the compost quality including incineration standards under Rule 6 of Municipal Solid Waste (Management and Handling) Rules,2000.

• To ensure compliance of provisions of Batteries (Management and Handling) Rules, 2011 (Rule 12 of the said rules).

• To prepare an inventory of hazardous waste under Rule 9 of Hazardous Waste (Management and Handling) Rules, 1989 as amended.

• To prepare and submit annual reports to Central Pollution Control Board (CPCB) with regard to implementation of Municipal Solid Waste (Management and Handling) Rules, 2000 (Rule 8); Batteries (Management and Handling) Rules, 2001 (Rule 12) and E-waste (Management and Handling) Rules,2011 (Rule 15).

Audit objectives• To assess whether:

• Systems adopted by PCBs to prevent, control and for abatement

of pollution are effective and efficient.

• Monitoring compliance of acts, rules and conditions, by the Board

is efficient.

• Fund management by the Board is economic and efficient

• Effective mechanism for Internal Control of Board functioning is

put in place and whether adequacy of man power is ensured

• Adequacy of steps for dissemination of information

Audit criteria

• Source of audit Criteria:

• The Water (Prevention and Control of Pollution) Act,1974

• The Water (Prevention and Control of Pollution) Cess Act,

1977

• The Air (Prevention and Control of Pollution) Act, 1981

• The Environment (Protection) Act,1986 and

• the rules made there under i.e. the Environment

(Protection)Rules, 1986 ; Noise (regulation and Control)

Rules, 2000 and the rules made for management and handling

of Bio-Medical Waste (1998), Municipal Solid Waste (1999),

Plastic Waste (1999), Batteries (2001), Hazardous Waste

(2002) and E-Waste (2011) as amended from time to time.

• Directions and notifications issued by CPCBs, GoI, State

Government

Audit Scope and methodology• 2010-11 to-2014-15

• Examination of records of PCB HQ, its subordinate offices,

municipality, PHED, UD&HD, transport department

• Physical verification with photographic evidence

• Analysis of data available with the board/ departments

• Collection of samples and their analysis

Issue analysis

Objective-1: Systems adopted by PCBs

to prevent, control and for abatement

of pollution are effective and efficient.

A-To assess system of planning for prevention, control and abatement of pollution.

1. Preparation of Inventory of polluting sources

• Whether Inventory of water polluting industry (Red,

Orange and Green Category), air polluting industries,

hazardous waste generated in the state was prepared?

• Whether it was based on records/ information or

physical visits?

• Whether Inventory of Biomedical waste, Municipal Solid

Waste, E-waste and Battery Waste prepared?

A-To assess comprehensive system of planning for prevention, control and abatement of pollution.

2. Assessment of pollution level

• Are the levels of pollution (Water/Air) being assessed and data

collected from time to time?

• Is it based on established procedures?

• Did the assessment include the quantum and type of pollutant

from each source separately?

• Is the increase/decrease in pollution assessed, based on a

reference base-line?

• Is the data so collected utilised in planning programmes and

preparing Action Plans for prevention, control and abatement of

pollution.

• Are the Programmes/Action Plans actually drawn implemented?

A-To assess comprehensive system of planning for prevention, control and abatement of pollution.

• Standards

• Are appropriate standards of Water Quality covering all water resources (like rivers/lakes/ground water) and air quality established?

• Are the standards for sewage and trade effluents and emissionof air pollutants laid down?

• Are standards generally followed for water polluting industries/ air polluting industries while granting consent to establish andconsent to operate.

• Whether SPCB have formulated its own standards using section17(1)(g) of Water Act and Air Act respectively.

• Whether the standards have been made stringent on the basis oflocal environmental conditions.

B-To assess whether the Board is having proper control on the setting up of and renewal of Industries/Plants/ Process/Activities having environmental

implications. • Are the consents (authorizations) for establishment of any industry/plant/process,

commencement of operations and their renewal, given based on a standard

procedure and after due verification of the capacity of the occupier/operator to

handle the wastes?

• Whether consent given in prescribed time?

• Whether specific conditions attached to consent?

• Whether adherence to specific conditions followed up?

• Whether technical committee exists for recommendation of CTE and CTO

conditions.

• In how many cases due to delay in giving consent, there were deemed consent and

for what period?

• Whether procedure adopted for granting consent to establish (CTE) and consent to

operate (CTO) appropriate

B-To assess whether the Board is having proper control on the setting up of and renewal of Industries/Plants/ Process/Activities having environmental implications.

• In how many cases due to delay in giving consent, there were deemed consent and for what

period?

• Whether the categorization of industries as Red , Orange and Green was done as per CPCB

guidelines

• What is the frequency of inspection of SPCB officials for red / orange / green category

industries to check compliance.

• What is frequency of SPCB official to draw waste water samples / stack emission test to

check the compliance.

• Is every dismantler or recycler of e-waste, producer of biomedical waste, registered with

the State Board?

• Are registrations renewed before expiry of validity of registration? Are there criteria

prescribed for registration/renewals?

• Are all the manufacturers of Plastic carry bags/recyclers of plastic carry bags etc., registered

with the State Board? Whether registrations are made within time limits prescribed?

C-To assess action plans/ programme for prevention,

control and abatement of pollution.

Water Pollution-Sewage• Whether data regarding total sewage generation in state (city-wise)

available?

• Whethter all sewage is being treated?

• Whether adequate number of Sewage Treatment Plant are there ineach city?

• Whether efficiency of sewage treatment plant w.r.t. BOD, SS, TDS,Coliform and other relevant parameters being monitored?

• Whether continuous effluent monitoring systems are installed insewage treatment plants

• Whether STPs are periodically inspected by SPCB?

• Whether the quality of recipient water bodies was checked before andafter discharge points.



Water Pollution-Municipal Solid Waste

• Whether data regarding total municipal waste generated in each city in the

state available?

• Whether segregation of waste is done ?

• Whether adequate facilities for its collection and transport are in place?

• Whether plastic wastes are segregated and if yes, mode of disposal

(recycling or disposal in landfill area).

• What type of MSW treatment system exists (Biomethanation, landfill,

incineration, RDF making etc.).

• Whether landfill sites have been created scientifically

• Whether quality of ground water and air pollution issues in dumping and

landfill site is per quality standard?


control and abatement of pollution.Water Pollution-Industrial pollutants

• How many ETPs are installed in the state for treatment of effluent from industries.

• Whether CETPs are established for SSI?

• Whether design aspects of ETP and performance of ETP is w.r.t. parameters notifiedunder EP Act.

• Whether discharge effluent quality from CETPs and recipient water bodies before andafter discharge point is as per norms?.

• Whether inspection and monitoring frequency of CETPs by SPCBs as prescribed?

• What are the percentage of small scale water polluting industries covered under CETPscheme.

• If SSI units are not joined CETP then what is the treatment scheme they followed.

• Are the sufficient number of facilities for treatment , storage and disposal (TSDF) forsolid municipal, bio-medical, plastics and hazardous wastes established?



Water Pollution-Hazarduous Waste

• Whether TSDF are functioning in state?

• What quantity of hazardous waste are going to TSDF for disposal.?

• Whether incinerator are also installed in TSDF for disposal of toxic waste?

• Whether SPCBs have approved the design of landfill and specification of

incinerator as required in Hazardous Waste Management Rules.

• Emission quality in incinerator is as per quality standard?

• Whether secondary leachate effluent are collected and analysed by SPCB to

check compliance.

• Whether frequency of inspection of TSDF is per rules?.


control and abatement of pollution.Water pollution-Biomedical waste management

• Whether all establishment requiring authorization are registered by PCB?

• Whether there are adequate facility for collection ,segregation ,treatment and disposal of BMW?

Water Pollution-monitoring

• Whether water quality monitoring stations are functioning in state and allparameters are monitored.

• Whether SPCB have the capability to monitor all parameters specified instandard.

• Whether Protocol followed for calibration of analyzers as per norms

• Whether analysed data are posted in Website of SPCB.

• Whether data collected are used for preparation of strategy for waterpollution control in the state.



Air Pollution-Industrial

• Whether polluting prevention aspects as recommended by CPCB are

implemented in SSI units (induction furnace, lime kiln, stone crusher,

brick kiln, DG Set etc.).

• What is the frequency of inspection to Air polluting units.

• Whether pollution controlling equipment and technique being provided

to polluting units

• What is the frequency of emission monitoring in Air polluting units.

• Are any measures taken to monitor ambient air quality by establishing

air quality monitoring stations and follow up actions?

• Whether SPCB are monitoring the quality of coal use in power plant

• Whether coal beneficiation regulation are enforced.


control and abatement of pollution.Air Pollution-vehicle

• Whether petrol / diesel quality checked by SPCB to ensure, whether it ismeeting the standards or not.

• Whether fuel adulteration issue are addressed by SPCB

• Whether inspection of vendors giving PUC certificate to vehicles done onregular basis?

Air Pollution-monitoring

• Whether air quality monitoring stations are functioning in state and parametersmonitored ?

• Whether SPCB have the capability to monitor all twelve parameters notified inAir Quality Standards, 2009.

• Whether protocol followed for calibration of analyser is as prescribed?

• Whether analysed data are posted in Website of SPCB.

• Whether data collected are used for preparation of strategy for air pollutioncontrol in the state?



Biomedical waste management

Whether all establishment requiring authorization are registered by PCB?

Whether there are adequate facility for collection ,segrgation ,treatment and

disposal of BMW

NUMBER OF 17 CATEGORIES OF HIGHLY POLLUTING

INDUSTRIES IN THE STATE AND STATUS OF COMPLIANCE OF

EMISSION AND EFFLUENT STANDARDS

• Provide the list of 17 categories of highly polluting industries inthe State.

• Provide the status of air and water pollution control by givingeffluent treatment scheme / air pollution control equipment to meetprescribed standards.

• Whether in consent order, standards and guidelines to be met byindustries are clearly specified.

• For highly water polluting industries, whether zero effluentdischarge (ZLD) conditions are prescribed.

• Status of hazardous waste disposal from 17 categories of highlypolluting industries in the state.

• Whether SPCBs are regularly monitoring the emission and effluentquality during inspection. What is the frequency of inspection.

C-To assess action plans/ programme for prevention, control

and abatement of pollution.

• Emphasis on clean technology

• Whether SPCB are aware about the clean technologies recommended by CPCB for each

category of industry.

• While granting consent, whether clean technology aspects are considered.

• Whether SPCB are encouraging industries to use clean process technologies to reduce

pollution load

• PROMOTE RECYCLING OF WASTE WATER AND PROMOTION OF ZERO LIQUID

DISCHARGE FROM WATER POLLUTING INDUSTRIES

• What is the state policy for ZLD.

• Whether SPCB are permitting to recycle and reuse of treated water.

• Whether treated water having TDS upto 2100 mg/l are permitted for use in gardening,

irrigation etc.

• How many industries and type of industries have been asked to go for ZLD.

• Whether residual solid waste is being disposed in appropriate manner

C-To assess action plans/ programme for prevention, control

and abatement of pollution.

• Co-processing

• Whether SPCB is permitting hazardous and non-hazardous waste to

co-process in cement plant as per basel convention.

• What is the quantity and quality of hazardous waste going to cement

plant for co-processing.

• Whether emission monitoring of these cement plant is done by SPCB

• Quantity of flyash from thermal power plant going to cement plant to

make flyash cement.

• Quantity and quality of RDF made from MSW in the state and how

much is going to cement plant for co-processing.

• Whether SPCBs are encouraging co-processing of waste in cement

plant as their policy.

B- To assess action plans/ programme for prevention,


• Infrastructure

• Are sufficient numbers of environmental laboratories established/recognized

for analysis of samples?

• Are there standard methods evolved by the environmental laboratories for

sampling and analysis of various types of environmental pollutants?

• Are the Government Analysts appointed/recognized possess requisite

qualifications?

• Is the taking of samples and their analysis based on a prescribed periodicity?

• Are the reports by the analysis, followed by appropriate action?

OBJECTIVE-2: WHETHER MONITORING COMPLIANCE OF RULES AND CONDITIONS, BY THE BOARD IS EFFICIENT?

• Whether the Board is overseeing the compliance of existing rulesand regulations with respect to Environmental rules and penaltieslevied as prescribed in rules?

• What is the mechanism followed to find out non-compliance inindustries.

• Whether cases are filed under relevant sections of Water act ordirection under Section 5 of EP Act are issued.

• Whether industries are given adequate opportunities as per law topresent their case.

• Whether notices and directions are drafted by law division or technicaldivision.

• Number of court cases filed and pending.

• Number of directions issued under Air / Water / EP Act and status ofthose directions.

• Closure notice issued under Air Act / Water Act / EP Act during lastfive year and what is the current status.

OBJECTIVE-2: WHETHER MONITORING COMPLIANCE OF RULES AND CONDITIONS, BY THE BOARD IS EFFICIENT?

• What punitive actions are taken by the Board in cases where

authorized persons fail to comply with the conditions of grant?

• Are any directions issued to the defaulting persons during the

course of suspension of authorization/registration?

• Are penalties levied and collected under the relevant Acts/Rules?

• Whether close environment statement and environment audit

report submitted by industries are analysed and action taken there

on?

OBJECTIVE 3: WHETHER FUND MANAGEMENT BY THE BOARD IS EFFICIENT TO SECURE OPTIMUM UTILISATION?

• Does the Board has an independent fund of its own?

• What are the sources of the fund?

• What is the scope of expenditure to be met from the fund?

• Is the Cess on water consumed by industries or local authorities being assessed, levied and collected as per prescribed procedures?

• Are the sums so collected are credited to Consolidated Fund of India?

• Whether Board is levying interest and penalty for delay in payment of Cess by the industries and local authorities?

• Is a Budget showing the estimated receipts and expenditure, prepared by the State Board in respect of each financial year?

OBJECTIVE 3: WHETHER FUND MANAGEMENT BY THE BOARD IS EFFICIENT TO SECURE OPTIMUM UTILISATION?

• Are the funds released according to budget prepared and relatable to annual

programme/action plan approved for implementation during the financial

year?

• Is there proper co-ordination for timely release of funds from

Government/Board down to the Regional Office?

• Are the available fund utilized optimally and efficiently?

• Is there a mechanism prescribed to account for receipts and accounts and

prepare annual accounts of the Board? Is any system for audit for accounts

prescribed?

• Whether expenditure out of cess fund as per norms?

WHETHER EFFECTIVE MECHANISM FOR INTERNAL CONTROL OF BOARD FUNCTIONING IS

PUT IN PLACE AND WHETHER ADEQUACY OF MAN POWER ensured?

• Whether adequate and qualified man power available?• Has the Board assessed requirement of staff to carry on the functions

assigned it by the Law in force and appointed the requisite number of officers and employees?

• Are officers and staffs qualified for job assigned to them?

• What is ratio of technical and administrative staff?

• Whether adequate avenue for promotion to staff available

• Are the persons deployed, trained in programmes relating to prevention, control or abatement of pollution?

• Are any training programmes organised in collaboration with Central Board for the purpose?

• Are any mass education programmes organised as part of programmes for creating awareness of problems related to pollution?

• Are any workshops & seminars conducted involving industries and stake holders?

• Are any other awareness programmes (like fairs) conducted?



• Whether adequate Internal Audit, Management InformationSystem (MIS) exists?

• Are there provisions in law requiring the Board to conduct meetings periodically? What is the periodicity of the meetings? Analyse agenda and minutes of board meeting?

• Are there visits/inspections (including surprise visits) conducted by the supervising Officers/higher Officers to check the quality of work turned out?

• Is there system of internal audit of the Board?

Is any Management Information System (MIS) created at various levels for monitoring the functions of the Board?

• Is any system of concurrent evaluation (through internal/external agencies) evolved?



• Whether account of SPCB are audited and annual report

prepared in time.

• Mechanism for monitoring of EC conditions given by MoEF /

SEIAA in different clearance letters.

• Papers published by SPCB scientists in last three year in Peer

Reviewed International Journals.

• Mechanism for redressal of public complaints.

• Technical reports have been published by SPCB in last three

years.

Thanks

Pollution in Mountain

• Solid waste specially plastics

• Increasing concentration along valleys

effectiveness in the functioning of state pollution...

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