Rules 11 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.
Rules 11 to 13 are the import chapter of the Hazardous and Other Wastes Rules. Rule 11 names the Ministry of Environment, Forest and Climate Change as the nodal ministry. Rule 12 sets the strategy: no import for disposal, import only for recycling, recovery, reuse and utilisation, and a different route for each part of Schedule III and a ban on Schedule VI wastes. Rule 13 gives the procedure and the forms.
These Rules are current as amended up to G.S.R. 636(E) dated 16 July 2026 (Chapter VIII on non-ferrous metal scrap in force from 1 April 2026). Later amendments, CPCB guidelines and State Board orders should be checked. If you import or plan to import waste or scrap, see our compliance documentation service.
No import for disposal is permitted; import is allowed only for recycling, recovery, reuse and utilisation including co-processing (rule 12(1)-(2)). Part A of Schedule III needs prior informed consent of the exporting country and the Ministry's permission; Part B needs the Ministry's permission; Part D needs no Ministry permission but information to Customs in Form 6; Schedule VI wastes cannot be imported. Actual users apply in Form 5 (rule 13).
Rule 11: the nodal ministry
The Ministry of Environment, Forest and Climate Change "shall be the nodal Ministry to deal with the transboundary movement of the hazardous and other wastes in accordance with the provisions of these rules".
Rule 12: the strategy for import and export
| Sub-rule | Provision |
|---|---|
| 12(1) | No import of hazardous and other wastes from any country to India for disposal shall be permitted |
| 12(2) | Import is permitted only for recycling, recovery, reuse and utilisation including co-processing |
| 12(3) | Import of hazardous waste in Part A of Schedule III may be allowed to actual users with the prior informed consent of the exporting country and requires the Ministry's permission |
| 12(4) | Import of other wastes in Part B of Schedule III may be allowed to actual users with the Ministry's permission |
| 12(5) | Import of other wastes in Part D of Schedule III is allowed as per the procedure in rule 13 and the note below the Schedule |
| 12(6) | No import of the wastes specified in Schedule VI is permitted |
| 12(6A) | Import of post-industrial or pre-consumer polyethylene wastes and Polymethyl Methacrylate against Basel Number B3010 in Schedule VI is permitted to units in Special Economic Zones and Export Oriented Units notified by the Central Government |
| 12(6B) | Import of post-industrial or pre-consumer polyethylene wastes is permitted "with a requirement to export at least thirty five percent of the total annual turnover" |
| 12(7) | Import and export of wastes not specified in Schedule III but showing the hazardous characteristics in Part C of Schedule III need the Ministry's prior written permission |
Rules 12(6A) and (6B) are the SEZ and EOU conditions. The 2021 amendment (G.S.R. 47(E)) introduced the exception for such units, and the 2024 amendment (G.S.R. 177(E)) substituted 12(6B). The text prints the turnover condition as thirty-five per cent of total annual turnover and says nothing further about how it is measured; the unit should read the condition in the Rules and the permission it receives.
Export is covered too: export of wastes in Parts A and B of Schedule III and in Schedule VI is with the Ministry's permission, and for Part A and Schedule VI wastes it is considered on the basis of the prior informed consent of the importing country. The export procedure is explained in rules 14 and 15.
Schedule III has Parts A, B, C and D, and Schedule VI is the list of wastes whose import is prohibited. The lists themselves are explained in our Schedules article. The Schedule III list was amended in December 2022 (G.S.R. 900(E)) and in 2023 (G.S.R. 500(E), in respect of Basel entry B1110).
Rule 13: the procedure
13(1) Parts A and B. Actual users who intend to import, or transit, wastes in Part A or Part B of Schedule III apply in Form 5, with the documents listed in it, to the Ministry, together with the prior informed consent of the exporting country for Part A wastes. A copy goes simultaneously to the concerned State Pollution Control Board for information, and the Board's acknowledgement is submitted to the Ministry with the application.
13(5) Decision. On receipt of a complete application, the Ministry examines it, considering comments from the State Boards, and "may grant the permission for import within a period of sixty days", subject to the importer having (i) environmentally sound facilities, (ii) adequate arrangements for treatment and disposal of wastes generated, (iii) a valid authorisation and consents from the State Board, and (iv) prior informed consent from the exporting country for Part A wastes.
13(6): the Ministry forwards a copy of the permission to the port and Customs authorities, the CPCB and the State Board.
13(2) Part D. For other wastes in Part D of Schedule III, the importer "shall not require the permission" of the Ministry, but must furnish information in Form 6 to the Customs authorities with these documents, in addition to those in Schedule VIII where applicable:
- the import licence from the Directorate General of Foreign Trade, if applicable;
- the valid consents under the Water Act and the Air Act and the authorisation under these Rules, and the authorisation under the e-waste rules as printed, whichever is applicable; and
- for an importer who is a trader importing on behalf of authorised actual users, a one-time authorisation: application in Form 7, authorisation in Form 7A, and a copy appended to Form 6.
For used electrical and electronic assemblies at serial numbers 4(e) to 4(i) of Schedule VIII (Basel number B1110), the rule says there is no specific requirement of documentation under these Rules; this follows the 2023 amendment. The foreign trade policy treatment of metallic scrap is explained in our article on paragraph 2.32 and 2.33 of the Foreign Trade Policy 2023.
13(3): for Part B, import of used electrical and electronic assemblies and parts that fall in the e-waste equipment schedule requires an extended producer responsibility authorisation as producer under the e-waste rules.
13(4): before clearing a consignment of Part D wastes, Customs verify the documents in column (3) of Schedule VIII.
13(7) and (8): the importer keeps records of wastes imported in Form 3, available for inspection, and files an annual return in Form 4 with the State Board by 30 June following the financial year.
13(9): samples for testing or research and development, up to 1000 gm or 1000 ml, are exempt from the need to take permission for import.
13(10): Port and Customs authorities ensure the shipment is accompanied by the movement document in Form 6 and, wherever applicable, a test report from a laboratory accredited or recognised by the exporting country; Customs may verify the analysis in case of doubt.
| Waste class | Route |
|---|---|
| Schedule III Part A | Form 5 to the Ministry, with the exporting country's prior informed consent; permission within sixty days of a complete application |
| Schedule III Part B | Form 5 to the Ministry; permission; EPR authorisation if the goods are electrical or electronic equipment |
| Schedule III Part D | No Ministry permission; Form 6 to Customs with the documents listed |
| Schedule III Part C (not otherwise listed) | Ministry's prior written permission |
| Schedule VI | Import not permitted (except the SEZ and EOU entry in rule 12(6A)) |
Before you import
Identify the waste by its Basel number and Schedule III or Schedule VI entry before ordering, confirm that the end use is recycling, recovery, reuse or utilisation, and check that you hold the consents and authorisation. The DGFT licence is a trade-law matter to be checked separately.
Example
Kolhapur Metal Reclaimers Private Limited, an actual user with valid consents and authorisation, wants to import a Part B waste. It applies in Form 5 with the documents listed and sends a copy to the State Board, whose acknowledgement it attaches. The Ministry takes comments from the Board and grants the permission within sixty days of a complete application. The consignment arrives with Form 6 and a test report from an accredited laboratory, the company enters it in its Form 3 record and later files its Form 4 return.
Need help with an import permission?
Import permissions depend on correct classification and a clean file. Our compliance documentation team can help you classify the waste, prepare Form 5 or Form 6 and assemble consents and authorisation.
Key takeaways
- No import for disposal; import only for recycling, recovery, reuse and utilisation.
- Part A needs prior informed consent and Ministry permission; Part B needs Ministry permission; Part D needs Form 6 to Customs; Schedule VI is prohibited.
- The Ministry may grant permission within sixty days of a complete application, subject to four conditions.
- SEZ and EOU units have a narrow route for certain polyethylene wastes with a turnover-linked export condition.
- Importers keep Form 3 records and file Form 4 by 30 June.
Read next
- Rules 14 and 15: export procedure and illegal traffic
- Rules 8-10: storage, utilisation and SOPs
- Paragraphs 2.32 and 2.33 of the Foreign Trade Policy 2023: import of metallic waste and scrap
- Schedules I to VIII of the HOWM Rules: what each lists
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.