Rules 5 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 5 to 8 finish the procedure that rules 1 to 4 begin. They say what happens if the adjudicating officer is the wrong one, what the officer must weigh when fixing the amount of a penalty, when time limits can be stretched, and what an order must look like and where the money goes.
These Rules are current as amended up to their notification in 2024 (S.O. 4790(E), 4 November 2024); no amendment found to 3 October 2026. Later amendments and notifications should be checked. If an order is pending against you, see our legal dispute resolution service.
A complaint filed with an officer who lacks jurisdiction is transferred within fifteen days of receipt, with reasons in writing (rule 5). In fixing the quantum, the officer must have regard to the factors in section 15C(4) of the Act and ten more listed in rule 6, including undue gain and repetition. Time limits can be extended for reasons recorded (rule 7). Every order is dated, signed and communicated to all parties, and penalties go to the Environment Protection Fund (rule 8).
Rule 5: transfer of a complaint
If the adjudicating officer is of the view, or it is made to appear, that he has no jurisdiction to entertain a complaint, he "shall transfer the matter to the adjudicating officer concerned within fifteen days of the receipt of such complaint or information made to him after reasons to be recorded in writing". The officer to whom the case is transferred proceeds "from the stage it is transferred to him". Two practical results follow.
- A complaint filed in the wrong place is not dismissed; it moves, with written reasons.
- The proceeding does not start afresh. Notices and evidence already on record carry across.
Rule 6: the factors for fixing the penalty
Rule 6 says the adjudicating officer, while adjudicating the quantum of penalty, shall have due regard to all or any of the following factors "in addition to factor stated in sub-section (4) of section 15C of the Act". The section 15C(4) factors are in the sister article on sections 15C and 15D. The rule 6 list is:
| Clause | Factor |
|---|---|
| (a) | Place of operation of the project |
| (b) | Size of the project, whether large, medium or small |
| (c) | Category of industry |
| (d) | Type of contravention or violation, such as working without prior environmental clearance under the notification S.O. 1533(E) of 14 September 2006; non-compliance with environmental safeguards and standards prescribed under the Act; violation of conditions of environmental clearances granted under that notification; and non-compliance with orders or directions |
| (e) | Quantum of deviation or contravention from the standard prescribed under the Act |
| (f) | Health impacts or loss likely to be caused |
| (g) | Undue gain or benefit derived out of the contravention or non-compliance |
| (h) | The amount of disproportionate gain or unfair advantage, wherever quantifiable, made as a result of the contravention or non-compliance |
| (i) | The repetitive nature of the contravention or non-compliance |
| (j) | Any other factor the officer considers relevant for the protection of the environment |
The rule says "all or any", so the officer need not use every factor in each case. The order's reasons (rule 4(9) in the previous article) should show which were weighed. Clause (d) names the Environmental Impact Assessment notification of 2006 only by number and date; that notification is outside this series.
For a business the useful lesson is that the size of the project, the category of industry and any gain from non-compliance are written into the rules. A large unit that saved the cost of a treatment plant by running without it has factors (b), (g) and (h) pointing the same way. A small unit with a first, minor deviation and a prompt cure has a different story to tell under clauses (e), (f) and (i).
Rule 7: extension of time
The adjudicating officer may, "for reasons to be recorded in writing, where there is a reasonable cause for the delay or failure to act, extend any period specified in these rules till such period as he considers reasonable". Three points:
- It is the officer's power, and it applies to "any period specified in these rules": the thirty days to issue notice, the fifteen days to transfer, the six months for the proceeding.
- It needs recorded reasons and a reasonable cause for the delay or failure.
- The rule fixes no outer limit; the extension is "till such period as he considers reasonable".
If you need more time to reply or to produce evidence, apply in writing and state the cause. Lapse of a period by itself is not stated to end the proceeding; the Rules do not say so, and nothing here should be read as saying so.
Rule 8: the order and the penalties
Rule 8(1): every order under the Rules "shall be dated, signed and communicated to all the parties".
Rule 8(2): "All sums realised by way of penalties under these rules shall be credited to the Environment Protection Fund established under 16 of the Act." The Fund rules on payment and shares are explained in rules 1 to 5 of the Environmental (Protection) Fund Rules, 2026.
The contents of the order come from rule 4(8) and (9): a written order under the Act with the provision contravened and the reasons. An order that is not dated, signed or communicated does not meet rule 8(1). An appeal to the National Green Tribunal lies under section 15D of the Act; the sister article gives the period and the deposit. Do not rely on a general summary for the date from which time runs; read the Act and the order together.
Preparing for the penalty stage
- Build a record for each rule 6 factor: place, size, category, type of violation, quantum of deviation, health effects and any gain.
- Show cure and cooperation: this is not a listed factor, but clause (j) leaves room for any relevant factor.
- Check the order's reasons against the section 15C(4) list and the rule 6 list.
- Check formalities: date, signature and communication to all parties.
- Calendar the appeal period from the date you receive the order.
- Plan the payment: penalties are paid into the Environment Protection Fund as the Fund rules provide.
Example
A complaint about unreported effluent overflows from Kosi Textile Processors is filed with an adjudicating officer in a neighbouring State by mistake. The officer records that the plant is outside his jurisdiction and, within fifteen days, transfers the matter to the correct officer, who takes it up from the same stage. At the penalty stage, the company shows that the unit is small, that the overflow was a single event, that the deviation was minor and that it has since fitted a retention tank. The complainant points to the lack of any treatment before the event. The order is dated, signed and sent to both sides and records which factors were weighed.
Need help at the penalty stage?
The quantum of a penalty is argued on the factors above. Our legal dispute resolution team can help you build a factor-wise record, check an order for the formalities of rule 8 and plan an appeal.
Key takeaways
- A wrongly filed complaint is transferred within fifteen days, with written reasons, and continues from the same stage.
- Rule 6 adds ten factors to those in section 15C(4), including size, category, deviation, health impact, undue gain and repetition.
- The officer may extend any period in the Rules for recorded reasons where there is reasonable cause.
- Every order is dated, signed and communicated to all parties.
- Penalties go to the Environment Protection Fund under section 16.
Read next
- Rules 1-4 of the EP Inquiry and Penalty Rules: complaint and holding of inquiry
- Air Inquiry and Penalty Rules 2024: adjudicating officer procedure
- Sections 15C and 15D of the EP Act: adjudicating officer, inquiry and appeal
- Sections 14A and 14B of the EP Act: penalties for breach of standards and information duties
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.