Rules 38 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 38 to 41 close the duty chapter. Rule 38 gives the CPCB its coordination, standards and portal tasks; rule 39, the longest, lists fifty-four duties of urban local bodies; rule 40 divides rural duties among the District Panchayat, the Gram Panchayat and others; and rule 41 sets the State Board's role, including authorisation of processing facilities in Form I and Form II.
These Rules are current as amended up to their notification on 27 January 2026 (S.O. 388(E), in force 1 April 2026); no amendment found to 3 October 2026. Later amendments, CPCB guidelines and notifications should be checked. If you are a local body, concessionaire or facility operator, our compliance advisory team can help you turn the duty list into a plan.
Every urban local body must prepare a solid waste action plan within a year of the State policy, collect segregated waste door to door, frame bye-laws by 31 March 2027, notify the EBWGR certificate cost and report on the portal (rule 39). The State Board examines authorisation applications in Form I, issues authorisation in Form II within sixty days, renews it for five years and audits facilities every year (rule 41).
Rule 38: the CPCB
The CPCB coordinates with State Boards, formulates standards for groundwater, ambient air, noise and leachate for facilities, reviews standards, monitors implementation by local bodies, prepares an annual report for the Ministry by 30 September every year, publishes buffer zone guidelines for facilities of more than five tons per day, and formulates the proforma for the Solid Waste Action Plan (38(1)). It develops the certificate exchange mechanism (38(2)), constitutes the Central implementation committee which meets at least once in six months (38(3)), reviews new technology proposals within six months (38(4)), issues guidelines for authorisation of trading platforms (38(8)) and forms (38(9)), may order third-party audits through Registered Environment Auditors (38(11)) and is to develop norms for waste-to-energy and compressed biogas plants by 1 October 2026 (38(12)).
Rule 39: urban local bodies
The duties are numerous; grouped, they are as follows.
| Group | Sub-rules (39) | Content |
|---|---|---|
| Planning | (1), (2), (3), (12), (20) | Responsibility for solid waste management; solid waste action plan within one year from the date of notification of the State policy and strategy, covering ward-wise waste generation, five-year projection, collection plans, infrastructure mapping and other items; registration on the portal; a nodal officer; inventory of plants and facilities within one year, updated by 31 March each year |
| Collection and transport | (4), (7), (13), (15) to (17), (21), (28), (46), (47) | Door to door collection of segregated waste from all premises including slums; direct generators not to litter, burn or bury waste; scheduled collection from public places; no burning of leaves; separate sweeping waste; covered, compartmentalised vehicles; training of workers |
| Infrastructure | (8), (9), (23), (41), (43) to (45) | Set up infrastructure and geo-tag it; hundred per cent coverage; preference for on-site wet waste processing; decentralised composting units; MRFs; processing technologies including bio-methanation and waste to energy |
| Fees and bye-laws | (5), (6), (31), (36) to (38) | Bye-laws by 31 March 2027; user fee; criteria for spot fines; identify and geo-tag bulk waste generators by 1 April each year; notify the EBWGR certificate cost and issue certificates under the scheme in 39(38) with audit of actual waste against CPCB norms |
| Special waste | (48), (49), (51) | Special care waste deposition centres, one for an area of five square kilometers or part thereof; only non-usable, non-recyclable, non-biodegradable, non-combustible and inert waste to sanitary landfill; bin colours, green for wet waste, blue for dry waste and red for sanitary waste in public toilets where required |
| Reporting | (10), (11), (14), (27), (35), (39), (40) | Annual assessment of waste and infrastructure by 30 June; annual report in Form IV by 30 June with copies to the State department and State Board; monthly generation and collection reporting; online grievance redressal within one year, with annual returns on grievances |
| Large cities | (34) | Central control rooms for urban local bodies with population more than five lakhs, as per the timeline in Schedule I |
| People | (53), (54), (32) | Ward-wise database of personnel including waste pickers; integration of waste pickers; public awareness |
Rule 39(25) and (26) require an urban local body with waste of more than five metric tonnes per day, including sanitary landfills, to apply in Form I to the State Board for authorisation and to apply for renewal at least sixty days before expiry.
Rule 40: local bodies in rural areas
- District Panchayat (40(2)). Prepares a solid waste action plan within one year of the State policy; registers with the State Board on the portal; is encouraged to set up tracking and monitoring within twelve months; files annual returns by 30 June; sets up Gram Panchayat-wise or zone-wise composting units, MRFs and dry waste transport as per Schedule I; files its annual report in Form IV by 30 June; sets up a grievance mechanism within a year; and integrates waste pickers.
- Gram Panchayat (40(3)). Ensures village solid waste management under a Gram Panchayat action plan; sets up, operates and coordinates the system on its own or through agencies, with segregation, collection, storage, transport and channelisation of recyclable fractions to registered recyclers; infrastructure; awareness; stopping open dumping and burning; engaging civil society groups working with waste pickers; and submits data to the District Panchayat.
Rule 41: State Boards and authorisation
| Sub-rule | Content |
|---|---|
| 41(1)(i), (ii) | Enforce the Rules, review at least twice a year with the State departments, and monitor Schedule II and III conditions |
| 41(1)(iii), (iv) | Examine applications in Form I from the local body or its authorised agency; consider consents under other enactments and the views of agencies such as planning bodies, airport authorities, the Ground Water Board, railways and highway departments, who get four weeks |
| 41(1)(v), (vi) | Issue authorisation within sixty days in Form II, stipulating compliance criteria; synchronise its validity with the consents |
| 41(1)(vii) to (ix) | May suspend or cancel for failure to operate as conditioned, after notice; renew for five years on merit; refuse to grant or renew only after a reasonable opportunity of being heard and for reasons recorded in writing |
| 41(1)(xi), (xxi) | Monitor compliance at least once a year and get facilities audited every year |
| 41(1)(xiv) to (xv) | Register and authorise through the portal; may charge a registration fee and an annual fee per CPCB guidelines |
| 41(1)(xvii), (xviii) | Verify compliance through inspection and periodic audit, by itself or a Registered Environment Auditor, including audit of data using GST Network information |
| 41(1)(xxii), 41(3), 41(5), 41(6) | Audit local body annual reports; physical verification and audit; audit of authorised facilities every year by 30 September and publish audit reports by 31 December |
| 41(4) | Impose environmental compensation under CPCB guidelines, including for indiscriminate dumping by local authorities |
Forms I and II are the application for authorisation and the format for issue of authorisation; the Forms are described in the Schedules article. Rule 11 distances and landfill rules are in rules 11 to 14.
Who is affected
Municipal corporations and councils, district and Gram Panchayats, concessionaires and facility operators who need authorisation, State Boards, and bulk waste generators who buy certificates from the local body.
Example
Riverbend Municipal Corporation has a population above five lakhs. It prepares its action plan within one year of the State policy, sets up a central control room as per Schedule I, notifies the EBWGR certificate cost in its bye-laws and applies in Form I to the State Board for authorisation of its 120 tonne per day processing plant. The Board examines the application, gives other agencies four weeks to comment and issues Form II authorisation within sixty days.
Need help with authorisation or a local body action plan?
Authorisation, bye-laws and certificate costs involve the State Board, other agencies and the portal at once. Our compliance advisory team can help you prepare applications and the action plan.
Key takeaways
- Urban local bodies carry fifty-four listed duties, from action plans and door-to-door collection to bye-laws by 31 March 2027.
- Facilities above five tonnes per day need authorisation in Form I; the State Board decides within sixty days and renews for five years.
- District and Gram Panchayats have parallel rural duties.
- The CPCB sets standards, forms and portal and reports annually by 30 September.
- State Boards audit facilities every year and publish audit reports by 31 December.
Read next
- Schedules I to IV and the forms
- Rules 22 to 37: Ministries, departments and District Collectors
- Rules 15 to 21: dumpsites, compensation, committees and reports
- Waste management company registration: licenses, process and cost
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.